6–5–01 Tuesday Vol. 66 No. 108 June 5, 2001 Pages 30057–30286
VerDate 11-MAY-2000 21:10 Jun 04, 2001 Jkt 194001 PO 00000 Frm 00001 Fmt 4710 Sfmt 4710 E:\FR\FM\05JNWS.LOC pfrm07 PsN: 05JNWS
1 II Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001
The FEDERAL REGISTER is published daily, Monday through SUBSCRIPTIONS AND COPIES Friday, except official holidays, by the Office of the Federal Register, National Archives and Records Administration, PUBLIC Washington, DC 20408, under the Federal Register Act (44 U.S.C. Subscriptions: Ch. 15) and the regulations of the Administrative Committee of Paper or fiche 202–512–1800 the Federal Register (1 CFR Ch. I). The Superintendent of Assistance with public subscriptions 512–1806 Documents, U.S. Government Printing Office, Washington, DC 20402 is the exclusive distributor of the official edition. General online information 202–512–1530; 1–888–293–6498 Single copies/back copies: The Federal Register provides a uniform system for making available to the public regulations and legal notices issued by Paper or fiche 512–1800 Federal agencies. These include Presidential proclamations and Assistance with public single copies 512–1803 Executive Orders, Federal agency documents having general FEDERAL AGENCIES applicability and legal effect, documents required to be published Subscriptions: by act of Congress, and other Federal agency documents of public interest. Paper or fiche 523–5243 Assistance with Federal agency subscriptions 523–5243 Documents are on file for public inspection in the Office of the Federal Register the day before they are published, unless the issuing agency requests earlier filing. For a list of documents currently on file for public inspection, see http://www.nara.gov/ fedreg. The seal of the National Archives and Records Administration authenticates the Federal Register as the official serial publication established under the Federal Register Act. Under 44 U.S.C. 1507, the contents of the Federal Register shall be judicially noticed. The Federal Register is published in paper and on 24x microfiche. It is also available online at no charge as one of the databases on GPO Access, a service of the U.S. Government Printing Office. The online edition of the Federal Register is issued under the authority of the Administrative Committee of the Federal Register as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6 a.m. each day the Federal Register is published and it includes both text and graphics from Volume 59, Number 1 (January 2, 1994) forward. GPO Access users can choose to retrieve online Federal Register documents as TEXT (ASCII text, graphics omitted), PDF (Adobe Portable Document Format, including full text and all graphics), or SUMMARY (abbreviated text) files. Users should carefully check retrieved material to ensure that documents were properly downloaded. On the World Wide Web, connect to the Federal Register at http:/ /www.access.gpo.gov/nara. Those without World Wide Web access can also connect with a local WAIS client, by Telnet to swais.access.gpo.gov, or by dialing (202) 512-1661 with a computer and modem. When using Telnet or modem, type swais, then log in as guest with no password. For more information about GPO Access, contact the GPO Access User Support Team by E-mail at [email protected]; by fax at (202) 512–1262; or call (202) 512–1530 or 1–888–293–6498 (toll free) between 7 a.m. and 5 p.m. Eastern time, Monday–Friday, except Federal holidays. The annual subscription price for the Federal Register paper edition is $638, or $697 for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $253. Six month subscriptions are available for one-half the annual rate. The charge for individual copies in paper form is $9.00 for each issue, or $9.00 for each group of pages as actually bound; or $2.00 for each issue in microfiche form. All prices include regular domestic postage and handling. International customers please add 25% for foreign handling. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard or Discover. Mail to: New Orders, Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250–7954. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 66 FR 12345.
.
VerDate 11-MAY-2000 21:10 Jun 04, 2001 Jkt 194001 PO 00000 Frm 00002 Fmt 4710 Sfmt 4710 E:\FR\FM\05JNWS.LOC pfrm07 PsN: 05JNWS
2 III
Contents Federal Register Vol. 66, No. 108
Tuesday, June 5, 2001
Agency for Toxic Substances and Disease Registry Education Department NOTICES NOTICES Meetings: Grants and cooperative agreements; availability, etc.: Asbestos exposure; medical testing, 30218 Federal student financial assistance programs; student aid reform initiative; experimental sites, 30177–30179 Agriculture Department See Forest Service Employment and Training Administration NOTICES NOTICES Grants and cooperative agreements; availability, etc.: Agency information collection activities: Rural empowerment zones designation, 30151–30157 Proposed collection; comment request, 30230–30231
Army Department Energy Department See Engineers Corps See Federal Energy Regulatory Commission
Arts and Humanities, National Foundation Engineers Corps See National Foundation on the Arts and the Humanities RULES Children and Families Administration Navigation regulations: St. Mary’s Falls Canal and Locks, MI; use, administration, NOTICES and navigation, 30063–30064 Organization, functions, and authority delegations: State Systems Office et al., 30215–30218 Environmental Protection Agency Coast Guard RULES RULES Pesticides; tolerances in food, animal feeds, and raw Ports and waterways safety: agricultural commodities: Lake Michigan, Holland, MI; safety zone, 30059–30061 Clethodim, 30073–30080 USS DOYLE port visit, Boston Inner Harbor, MA; safety Pryriproxyfen, 30065–30073 PROPOSED RULES zone, 30061–30063 Air quality implementation plans; approval and Commerce Department promulgation; various States: See Export Administration Bureau California, 30145–30148 See International Trade Administration NOTICES See National Oceanic and Atmospheric Administration Meetings: See Patent and Trademark Office Science Advisory Board, 30188 NOTICES Reports and guidance documents; availability, etc.: Agency information collection activities: Great Lakes Water Quality Agreement; Great Lakes Submission for OMB review; comment request, 30161– Strategy; meetings and comment request, 30187– 30162 30188
Commission of Fine Arts Executive Office of the President NOTICES See Presidential Documents Meetings, 30176 Export Administration Bureau Customs Service NOTICES NOTICES Export privileges, actions affecting: Automation program test: Fajardo, Miguel Angel, 30162–30163 International Trade Data System, 30265 Commercial laboratory accreditations: Federal Aviation Administration Approval— RULES Robinson International (USA) Inc., 30265 IFR altitudes, 30057–30059 PROPOSED RULES Defense Department Airworthiness directives: See Engineers Corps BAe Systems (Operations) Ltd., 30103–30105 Boeing, 30105–30107, 30109–30116 Defense Nuclear Facilities Safety Board McDonnell Douglas, 30095–30103 NOTICES Raytheon, 30093–30095, 30107–30109 Freedom of Information Act; implementation: Class D airspace, 30117–30121 Fee schedule, 30176–30177 NOTICES Exemption petitions; summary and disposition, 30261 Drug Enforcement Administration Meetings: NOTICES Aviation Rulemaking Advisory Committee, 30261 Applications, hearings, determinations, etc.: Passenger facility charges; applications, etc.: Penick Corp., 30230 Charlottesville-Albemarle Airport, VA, 30261–30262
VerDate 11
Federal Communications Commission Federal Transit Administration RULES NOTICES Common carrier services: Environmental statements; notice of intent: Federal-State Joint Board on Universal Service— Minneapolis and St. Cloud, MN; Central Corridor Project, Rural high-cost universal service; Multi-Association 30262–30264 Group plan, 30080–30090 Radio stations; table of assignments: Fine Arts Commission Maine, 30090–30091 See Commission of Fine Arts Texas, 30091 Texas and Louisiana, 30091–30092 Virginia and Maryland, 30092 Fish and Wildlife Service PROPOSED RULES Endangered and threatened species: Federal Deposit Insurance Corporation Findings on petitions, etc.— NOTICES Yellow-billed cuckoo, 30148–30149 Agency information collection activities: NOTICES Submission for OMB review; comment request, 30189 Endangered and threatened species permit applications, Meetings; Sunshine Act, 30189 30221–30222 Meetings: Federal Emergency Management Agency Hanford Reach National Monument Federal Advisory NOTICES Committee, 30222–30223 Agency information collection activities: Submission for OMB review; comment request, 30189– Food and Drug Administration 30190 NOTICES Disaster and emergency areas: Agency information collection activities: Colorado, 30190–30191 Submission for OMB review; comment request, 30218– Iowa, 30191 30219 Minnesota, 30190–30192 Puerto Rico, 30190 South Dakota, 30192 Forest Service NOTICES Environmental statements; notice of intent: Federal Energy Regulatory Commission San Juan National Forest, CO, 30159–30160 NOTICES Wallowa-Whitman National Forest, OR, 30158–30159 Electric rate and corporate regulation filings: Meetings: Biomasse Italia S.p.A. et al., 30179–30181 Eastern Washington Cascades Provincial Advisory Maclaren Energy, Inc., et al., 30181–30182 Committee et al., 30160 Environmental statements; availability, etc.: John Day/Snake Resource Advisory Council, 30160 Pacific Gas & Electric Co., 30182 Willamette Provincial Advisory Committee, 30161 Environmental statements; notice of intent: Tennessee Gas Pipeline Co., 30182–30184 Hydroelectric applications, 30184–30187 Health and Human Services Department Applications, hearings, determinations, etc.: See Agency for Toxic Substances and Disease Registry Duke Energy Mohave, LLC, 30179 See Children and Families Administration See Food and Drug Administration See Indian Health Service Federal Reserve System See Substance Abuse and Mental Health Services NOTICES Administration Federal Open Market Committee: NOTICES Domestic policy directives, 30193 Agency information collection activities: Meetings; Sunshine Act, 30193 Proposed collection; comment request, 30215 Reports and guidance documents; availability, etc.: Meetings: Payments system risk policy statements— Vital and Health Statistics National Committee, 30215 $50 million Fedwire securities transfer limit, 30193– 30195 Housing and Urban Development Department Depository institutions with self-assessed net debit caps; pledge of collateral to access daylight PROPOSED RULES overdraft capacity, 30199–30205 Mortgage and loan insurance programs: Electronic check presentments; daylight overdraft Home Equity Conversion Mortgage Program; insurance posting rules; modifications, 30195–30197 for mortgages to refinance existing loans, 30277– Foreign banking organizations; daylight overdraft 30281 NOTICES capacity, 30205–30208 Agency information collection activities: Interaffiliate transfers, 30198–30199 Proposed collection; comment request, 30220 Potential longer-term policy direction, 30208–30214 Submission for OMB review; comment request, 30221 Grant funding programs; faith-based and community Federal Retirement Thrift Investment Board organizations participation; regulatory, contracting, and NOTICES other programmatic obstacles; comment request, Meetings; Sunshine Act, 30214 30275–30276
VerDate 11
Indian Health Service National Park Service NOTICES NOTICES Grants and cooperative agreements; availability, etc.: Environmental statements; availability, etc.: Indians Into Medicine Program; correction, 30219 Maurice National Scenic and Recreational River, NJ, 30224 Interior Department Meetings: See Fish and Wildlife Service Boston Harbor Islands Advisory Council, 30224 See Land Management Bureau Cape Krusenstern National Monument and Kobuk Valley See Minerals Management Service National Park Subsistence Resource Commissions, See National Park Service 30224 NOTICES National Register of Historic Places: Meetings: Pending nominations, 30225 Exxon Valdez Oil Spill Public Advisory Group, 30221 Native American human remains and associated funerary objects: International Trade Administration Land Management Bureau, New Mexico State Office, NOTICES NM— Meetings: Anasazi inventory from various sites in New Mexico, U.S. Automotive Parts Advisory Committee, 30163–30164 30225–30226 Peabody Museum of Archaeology and Ethnology, Harvard Justice Department University, MA— See Drug Enforcement Administration Cultural items from Ursa Mound Group, Adams County, IL, 30226–30227 Labor Department Phoebe A. Hearst Museum of Anthropology, University of See Employment and Training Administration California-Berkeley, CA— See Mine Safety and Health Administration Inventory from Borego Valley, San Diego County, CA, 30227–30228 Land Management Bureau Karuk individual from Chinach village site, Humboldt County, CA, 30229 NOTICES Mandan individuals from North Dakota, 30227 Environmental statements; notice of intent: Sioux City Public Museum, IA— North Baja Pipeline Project, CA, 30223–30224 Inventory from Burleigh County, ND, 30229 Minerals Management Service National Science Foundation PROPOSED RULES NOTICES Royalty management: Agency information collection activities: Solid minerals reporting requirements, 30121–30134 Submission for OMB review; comment request, 30235 Mine Safety and Health Administration National Transportation Safety Board NOTICES NOTICES Safety standard petitions: Meetings; Sunshine Act, 30235 Fork Creek Mining Co. et al., 30232–30235 Nuclear Regulatory Commission National Archives and Records Administration NOTICES PROPOSED RULES Environmental statements; availability, etc.: Privacy Act; implementation, 30134–30141 Florida Power & Light Co. et al., 30236–30237 Meetings; Sunshine Act, 30237 National Foundation on the Arts and the Humanities Applications, hearings, determinations, etc.: NOTICES Duke Energy Corp., 30236 Meetings: Patent and Trademark Office Leadership Initiatives Advisory Panel, 30235 NOTICES Computer-implemented business method patent National Highway Traffic Safety Administration applications in Class 705; required and optional search NOTICES criteria; comment request, 30167–30176 Motor vehicle safety standards: Nonconforming vehicles— Postal Service Importation eligibility; determination, 30264–30265 RULES Domestic Mail Manual: National Oceanic and Atmospheric Administration Bound printed matters; attachments and enclosures; PROPOSED RULES eligibility requirements, 30064–30065 Fishery conservation and management: Northeastern United States fisheries— Presidential Documents Black sea bass, 30149–30150 EXECUTIVE ORDERS NOTICES Committees; establishment, renewal, termination, etc.: Agency information collection activities: President’s Information Technology Advisory Committee, Proposed collection; comment request, 30164–30166 amendment (EO 13215), 30283–30285 Meetings: Caribbean Fishery Management Council, 30166 Public Health Service Pacific Fishery Management Council, 30167 See Agency for Toxic Substances and Disease Registry
VerDate 11
See Food and Drug Administration See National Highway Traffic Safety Administration See Indian Health Service NOTICES See Substance Abuse and Mental Health Services Aviation proceedings: Administration Agreements filed; weekly receipts, 30260 Certificates of public convenience and necessity and Securities and Exchange Commission foreign air carrier permits; weekly applications, NOTICES 30260 Investment Company Act of 1940: Exemption applications— Treasury Department Sun Life Assurance Co. of Canada (U.S.) et al., 30244– See Customs Service 30251 NOTICES Self-regulatory organizations; proposed rule changes: Agency information collection activities: Chicago Board Options Exchange, Inc., 30251–30252 Submission for OMB review; comment request, 30265 National Association of Securities Dealers, Inc., 30252– 30256 Veterans Affairs Department New York Stock Exchange, Inc., 30256–30257 PROPOSED RULES Philadelphia Stock Exchange, Inc., 30258–30260 National Practitioner Data Bank; participation policy, Applications, hearings, determinations, etc.: 30141–30145 Public utility holding company filings, 30237–30244 NOTICES Privacy Act: Small Business Administration Systems of records, 30271–30273 NOTICES Disaster loan areas: Minnesota, 30260 Separate Parts In This Issue Meetings: National Small Business Development Center Advisory Part II Board, 30260 Department of Housing and Urban Development, 30275– 30276 Substance Abuse and Mental Health Services Administration Part III NOTICES Department of Housing and Urban Development, 30277– Meetings: 30281 Substance Abuse Prevention Center— Drug Testing Advisory Board, 30220 Part IV Toxic Substances and Disease Registry Agency The President, 30283–30285 See Agency for Toxic Substances and Disease Registry Transportation Department Reader Aids See Coast Guard Consult the Reader Aids section at the end of this issue for See Federal Aviation Administration phone numbers, online resources, finding aids, reminders, See Federal Transit Administration and notice of recently enacted public laws.
VerDate 11
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 Executive Orders: 13035 (amended by EO 13215)...... 30285 13092 (see EO 13215) ...... 30285 13113 (see EO 13215) ...... 30285 13200 (see EO 13215) ...... 30285 13215 14 CFR 95...... 30057 Proposed Rules: 39 (11 documents) ...... 30093, 30095, 30097, 30099, 30101, 30103, 30105, 30107, 30109, 30112, 30114 71 (4 documents) ...... 30117, 30118, 30119, 30120 24 CFR Proposed Rules: 206...... 30262 30 CFR Proposed Rules: 206...... 30121 210...... 30121 216...... 30121 218...... 30121 33 CFR 165 (2 documents) ...... 30059, 30061 207...... 30063 36 CFR Proposed Rules: 1202...... 30134 38 CFR Proposed Rules: 46...... 30141 39 CFR 111...... 30064 40 CFR 180 (2 documents) ...... 30065, 30073 Proposed Rules: 52...... 30145 47 CFR 36...... 30080 54...... 30080 73 (4 documents) ...... 30090, 30091, 30092 50 CFR Proposed Rules: 17...... 30148 648...... 30149
VerDate 11-MAY-2000 21:11 Jun 04, 2001 Jkt 194001 PO 00000 Frm 00001 Fmt 4711 Sfmt 4711 E:\FR\FM\05JNLS.LOC pfrm07 PsN: 05JNLS 30057
Rules and Regulations Federal Register Vol. 66, No. 108
Tuesday, June 5, 2001
This section of the FEDERAL REGISTER Monroney Aeronautical Center, 6500 Conclusion contains regulatory documents having general South MacArthur Blvd., Oklahoma City, applicability and legal effect, most of which OK 73169 (Mail Address: P.O. Box The FAA has determined that this are keyed to and codified in the Code of 25082 Oklahoma City, OK 73125) regulation only involves an established Federal Regulations, which is published under telephone: (405) 954–4164. body of technical regulations for which 50 titles pursuant to 44 U.S.C. 1510. SUPPLEMENTARY INFORMATION: This frequent and routine amendments are necessary to keep them operationally The Code of Federal Regulations is sold by amendment to part 95 of the Federal the Superintendent of Documents. Prices of Aviation Regulations (14 CFR part 95) current. It, therefore—(1) is not a new books are listed in the first FEDERAL amends, suspends, or revokes IFR ‘‘significant regulatory action’’ under REGISTER issue of each week. altitudes governing the operation of all Executive Order 12866; (2) is not a aircraft in flight over a specified route ‘‘significant rule’’ under DOT or any portion of that route, as well as Regulatory Policies and Procedures (44 DEPARTMENT OF TRANSPORTATION the changeover points (COPs) for FR 11034; February 26, 1979); and (3) Federal airways, jet routes, or direct does not warrant preparation of a Federal Aviation Administration routes as prescribed in part 95. regulatory evaluation as the anticipated impact is so minimal. For the same 14 CFR Part 95 The Rule reason, the FAA certifies that this [Docket No. 30251; Amdt. No. 429] The specified IFR altitudes, when amendment will not have a significant used in conjunction with the prescribed economic impact on a substantial IFR Altitudes; Miscellaneous changeover points for those routes, number of small entities under the Amendments ensure navigation aid coverage that is criteria of the Regulatory Flexibility Act. adequate for safe flight operations and AGENCY: List of Subjects in 14 CFR Part 95 Federal Aviation free of frequency interference. The Administration (FAA), DOT. reasons and circumstances that create Airspace, Navigation (air). ACTION: Final rule. the need for this amendment involve matters of flight safety and operational Issued in Washington, D.C. on May 30, SUMMARY: This amendment adopts 2001. miscellaneous amendments to the efficiency in the National Airspace System, are related to published Nicholas A. Sabatini, required IFR (instrument flight rules) Director, Flight Standards Service. altitudes and changeover points for aeronautical charts that are essential to certain Federal airways, jet routes, or the user, and provide for the safe and Adoption of the Amendment direct routes for which a minimum or efficient use of the navigable airspace. maximum en route authorized IFR In addition, those various reasons or Accordingly, pursuant to the altitude is prescribed. This regulatory circumstances require making this authority delegated to me by the action is needed because of changes amendment effective before the next Administrator, part 95 of the Federal occurring in the National Airspace scheduled charting and publication date Aviation Regulations (14 CFR part 95) is of the flight information to assure its System. These changes are designed to amended as follows effective at 0901 timely availability to the user. The provide for the safe and efficient use of UTC, July 12, 2001: effective date of this amendment reflects the navigable airspace under instrument those considerations. In view of the PART 95—[AMENDED] conditions in the affected areas. close and immediate relationship EFFECTIVE DATE: 0901 UTC, July 12, between these regulatory changes and 1. The authority citation for part 95 2001. safety in air commerce, I find that notice continues to read as follows: FOR FURTHER INFORMATION CONTACT: and public procedure before adopting Authority: 49 U.S.C. 106(g), 40103, 40106, Donald P. Pate, Flight Procedure this amendment are impracticable and 40113, 40114, 40120, 44502, 44514, 44719, Standards Branch (AMCAFS–420), contrary to the public interest and that 44721. Flight Technologies and Programs good cause exists for making the Division, Flight Standards Service, amendment effective in less than 30 2. Part 95 is amended to read as Federal Aviation Administration, Mike days. follows:
REVISIONS TO IFR ALTITUDES AND CHANGEOVER POINTS [Amendment 429 effective date: July 12, 2001]
From To MEA
§ 95.1001 Direct Routes—U.S. is Amended by Adding Atlantic Routes—A315
HODGY, BS FIX ...... *AMBIS, BS FIX ...... 7000 *16500—MRA AMBIS, BS FIX ...... DUNNO, BS FIX ...... 7000
VerDate 11
REVISIONS TO IFR ALTITUDES AND CHANGEOVER POINTS—Continued [Amendment 429 effective date: July 12, 2001]
From To MEA
Amended To Read in Part Atlantic Routes—A555
NASSAU, BS VOR/DME ...... LEPAS, BS FIX ...... 3000 LEPAS, BS FIX ...... BOSAR, BS FIX ...... 3000 BOSAR, BS FIX ...... GEROT, OA FIX ...... 3000
Bahama Routes—7 LIMA
NASSAU, BS NDB ...... HIROC, BS FIX ...... *2000 * 1500—MOCA
§ 95.6001 Victor Routes—U.S. is Amended to Read in Part § 95.6011 VOR Federal Airway 11
GREENE COUNTY, MS VORTAC ...... *SOSOE, MS FIX ...... **3000 *4000—MRA *1800—MOCA SOSOE, MS FIX ...... *RAKIN, MS FIX ...... **3000 * 3000—MRA ** 2400—MOCA
§ 95.6013 VOR Federal Airway 13
MC ALLEN, TX VOR/DME ...... HARLINGEN, TX VOR/DME ...... 2000 HARLINGEN, TX VOR/DME ...... ASCOT, TX FIX ...... *5000 *1500—MOCA DES MOINES, IA VORTAC ...... *ANKEN, IA FIX ...... 2700 *3500—MCA ANKEN FIX N BND ANKEN, IA FIX ...... NEVAD, IA FIX ...... 4000 NEVAD, IA FIX ...... ALOCK, IA FIX ...... * 3300 *2700—MOAC ALOCK, IA FIX ...... MASON CITY, IA VORTAC ...... 3000
§ 95.6017 VOR Federal Airway 17
BROWNSVILLE, TX VORTAC ...... HARLINGEN, TX VOR/DME ...... *8000 * 2000—MOCA
§ 95.6070 VOR Federal Airway 70
BROWNSVILLE, TX VORTAC ...... *RAYMO, TX FIX ...... 1600 *5000—MRA RAYMO, TX FIX ...... JIMIE, TX FIX ...... *4000 * 1500—MOCA
§ 95.6135 VOR Federal Airway 135
BEATTY, NV VORTAC ...... TEZUM, NV FIX ...... *11000 * 9600—MOCA
§ 95.6161 VOR Federal Airway 161
DES MOINES, IA VORTAC ...... *ANKEN, IA FIX ...... 2700 *3500—MCA ANKEN FIX N BND ANKEN, IA FIX ...... NEVAD, IA FIX ...... 4000 NEVAD, IA FIX ...... ALOCK, IA FIX ...... *3300 *2700—MOCA ALOCK, IA FIX ...... MASON CITY, IA VORTAC ...... 3000
§ 95.6163 VOR Federal Airway 163
MANNY, TX FIX ...... ASCOT, TX FIX ...... *5000 *1500—MOCA
§ 95.6222 VOR Federal Airway 222
EATON, MS VORTAC ...... PICAN, MS FIX ...... 2300 PICAN MS FIX ...... MONROEVILLE, AL VORTAC ...... 2000
VerDate 11
REVISIONS TO IFR ALTITUDES AND CHANGEOVER POINTS—Continued [Amendment 429 effective date: July 12, 2001]
From To MEA
§ 95.6257 VOR Federal Airway 257
GRAND CANYON, AZ VOR/DME ...... *DOZIT, AZ FIX ...... ** 14500 *14500—MCA DOZIT FIX S BND **11200—MOCA DOZIT, AZ FIX ...... JALMA, AZ FIX ...... *14500 *11200—MOCA JALMA, AZ FIX ...... KACIR, AZ FIX ...... *13000 * 11000—MOCA KACIR, AZ FIX ...... BRYCE CANYON, UT VORTAC ...... 11600
§ 95.6271 VOR Federal Airway 271
MUSKEGON, MI VORTAC ...... WELKO, MI FIX ...... *3000 *2400—MOCA WELKO, MI FIX ...... MANISTEE, MI VOR/DME ...... *4000 *2100—MOCA .
§ 95.6285 VOR Federal Airway 285
WHITE CLOUD, MI VORTAC ...... MANISTEE, MI VOR/DME ...... *4000 *2400—MOCA .
§ 95.6465 VOR Federal Airway 465
LUNDI, ID FIX ...... JACKSON HOLE, WY VOR/DME ...... *15000 *129000—MOCA
Changeover Points From To Distance From
§ 95.8003 VOR Federal Airway Changeover Points V–135 Is Amended by Adding Changeover Point
Airway Segment: BEATTY, NV VORTAC ...... TONOPAH, NV VORTAC ...... 34 BEATTY #COP 53 NM FROM AND UTILIZES COALDALE, NV VORTAC ON THE 129 M RAD
V–257 Is Amended To Modify Changeover Point
GRAND CANYON, AZ VOR/DME ...... BRYCE CANYON, UT VORTAC ...... 36 GRAND CANYON
[FR Doc. 01–14107 Filed 6–4–01; 8:45 am] safety zone is necessary for the 83rd Street, Suite D, Burr Ridge, Illinois BILLING CODE 4910–13–M protection of passengers and vessels and are available for inspection or during a planned rocket launch show copying between 7:30 a.m. and 4 p.m. over Lake Michigan. The safety zone is Monday through Friday, except Federal DEPARTMENT OF TRANSPORTATION intended to restrict vessel traffic from holidays. the waters of Lake Michigan off FOR FURTHER INFORMATION CONTACT: Coast Guard Holland, Michigan. MST2 Mike Hogan, U.S. Coast Guard Marine Safety Office, 215 W. 83rd 33 CFR PART 165 DATES: This temporary final rule is effective from 9 a.m. (local) and Street, Burr Ridge, Illinois 60521. The [CGD09–01–032] terminates at 2 p.m. (local), June 2, telephone number is (630) 986–2175. SUPPLEMENTARY INFORMATION: RIN 2115–AA97 2001. ADDRESSES: Regulatory Information Safety Zone: U.S. Aerospace Comments and material Challenge, Holland, MI received from the public, as well as We did not publish a notice of documents indicated in this preamble as proposed rulemaking (NPRM) for this AGENCY: Coast Guard, DOT. being available in the docket, are part of regulation. Under 5 U.S.C. 553(b)(B), the ACTION: Temporary final rule. docket CDG09–01–032 and are available Coast Guard finds that good cause exists for inspection or copying at: U.S. Coast for not publishing an NPRM, and, under SUMMARY: The Coast Guard is Guard Marine Safety Office Chicago, 5 U.S.C. 553(d)(3), good cause exists for establishing a temporary safety zone 215 W. 83rd Street, Chicago, Illinois making this rule it effective less than 30 encompassing a portion of Lake 60521 or deliver them to the Coast days after publication in the Federal Michigan near Holland, Michigan. This Guard Marine Safety Office, 215 W. Register. The permit application was
VerDate 11
not received in time to publish an expects insignificant adverse impact to Small businesses may send comments NPRM followed by a temporary final mariners from the zones’ activation. on the actions of Federal employees rule that would be effective before the who enforce, or otherwise determine Small Entities necessary date. Publication of a notice compliance with, Federal regulations to of proposed rulemaking and delay of Under the Regulatory Flexibility Act the Small Business and Agriculture effective date would be contrary to the (5 U.S.C. 601–612), we have considered Regulatory Enforcement Ombudsman public interest because immediate whether this proposed rule would have and the Regional Small Business action is necessary to prevent possible a significant impact on a substantial Regulatory Fairness Boards. The loss of life, injury, or damage to number of small entities. The term Ombudsman evaluates these actions property or the environment. ‘‘small entities’’ comprises small annually and rates each agency’s Background and Purpose businesses, not-for-profit organizations responsiveness to small business. If you that are independently owned and wish to comment on actions by A temporary safety zone is required to operated and are not dominant in their employees of the Coast Guard, call 1– ensure safety of vessels and spectators fields, and governmental jurisdictions 888–REG–FAIR (1–888–734–3247). from hazards associated with rocket with populations of less than 50,000. Collection of Information launches. Entry into, transit through, or The Coast Guard certifies under 5 anchoring within this safety zone is U.S.C. 605(b) that this proposed rule This proposed rule would call for no prohibited unless authorized by the would not have a significant economic new collection of information under the Captain of the Port, Chicago or the impact on a substantial number of small Paperwork Reduction Act of 1995 (44 designated Patrol Commander. The entities. U.S.C. 3501–3520). designated Patrol Commander on scene This proposed rule would affect the may be contacted on VHF Channel 16. Federalism following entities, some of which might The safety zone will encompass all be small entities: The owners or We have analyzed this proposed rule waters of Lake Michigan bounded by the operators of commercial vessels under Executive Order 13132 and have lines of a triangle with corners at intending to transit a portion of an determined that this rule does not have approximate positions 42° 46′24″ N, activated safety zone. implications for federalism under that 086°12′57″ W; 42°46′25″ N, 086°14′08″ Order. W; 42°47′09″ N, 086°13′33″ W. The This safety zone will not have a rockets will be launched for the end of significant economic impact on a Unfunded Mandates Reform Act the Holland State Park Northern Pier. substantial number of small entities for The Unfunded Mandates Reform Act The Captain of the Port Chicago or his the following reasons: the proposed of 1995 (2 U.S.C. 1531–1538) governs designated on scene representative have zone is only in effect for few hours on the issuance of Federal regulations that the authority to terminate the event. the day of the event; vessel traffic can require unfunded mandates. An All persons and vessels shall comply safely pass outside the proposed safety unfunded mandate is a regulation that with the instructions of the Coast Guard zone during the event; and traffic may requires a state, local, or tribal Captain of the Port or the designated on be allowed to pass through the safety government or the private sector to scene patrol personnel. Entry into, zone under Coast Guard escort with the incur direct costs without the Federal transiting, or anchoring within the permission of the Captain of the Port Government’s having first provided the safety zone is prohibited unless Chicago. Before the effective period, we funds to pay those costs. This proposed authorized by the Captain of the Port will issue maritime advisories widely rule would not impose an unfunded Chicago or his designated on scene available to users of Lake Michigan by mandate. representative. The Captain of the Port the Ninth Coast Guard District Local or his designated on scene Notice to Mariners, Marine information Taking of Private Property representative may be contacted via broadcasts, and facsimile broadcasts This proposed rule would not effect a VHF Channel 16. may also be made. taking of private property or otherwise If you think that your business, have taking implications under Regulatory Evaluation organization, or governmental Executive Order 12630, Governmental This proposed rule is not a jurisdiction qualifies as a small entity Actions and Interference with ‘‘significant regulatory action’’ under and that this rule would have a Constitutionally Protected Property section 3(f) of Executive Order 12866 significant economic impact on it, Rights. and does not require an assessment of please submit a comment (see potential costs and benefits under ADDRESSES) explaining why you think it Civil Justice Reform section 6(a)(3) of that order. The Office qualifies and how and to what degree This proposed rule meets applicable of Management and Budget has not this rule would economically affect it. standards in sections 3(a) and 3(b) (2) of reviewed this rule under that order. It is Assistance for Small Entities Executive Order 12988, Civil Justice not significant under the regulatory Reform, to minimize litigation, policies and procedures of the Under section 213(a) of the Small eliminate ambiguity, and reduce Department of Transportation (DOT) (44 Business Regulatory Enforcement burden. FR 11040, February 26, 1979). We Fairness Act of 1996 (Pub. L. 104–121), expect the economic impact of this we want to assist small entities in Protection of Children proposed rule to be so minimal that a understanding this rule so that they can The Coast Guard has analyzed this full Regulatory Evaluation under better evaluate its effects and participate proposed rule under Executive Order paragraph 10(e) of the regulatory in the rulemaking process. If the rule 13045, Protection of Children from policies and procedures of DOT is would affect your small business, Environmental Health Risks and Safety unnecessary. organization, or governmental Risks. This rule is not an economically This determination is based on the jurisdiction and you have questions significant rule and does not concern an minimal time that vessels will be concerning its provisions or options for environmental risk to health or risk to restricted from the zone, and the zone compliance, please contact Marine safety that may disproportionately affect is in an area where the Coast Guard Safety Office Chicago (see ADDRESSES). children.
VerDate 11
Environment Dated: May 16, 2001. Register publication. Due to security We have considered the R. E. Seebald, concerns for the vessel, information environmental impact of this proposed Captain, U.S. Coast Guard, Captain of the about the port call of the USS DOYLE rule and concluded that, under figure 2– Port, Chicago. was not provided to the Coast Guard 1, paragraph 34(g) of Commandant [FR Doc. 01–14097 Filed 6–4–01; 8:45 am] until May 14, 2001, making it Instruction M16475.1C, this proposed BILLING CODE 4910–15–U impossible to draft or publish a NPRM rule is categorically excluded from or a final rule 30 days in advance of its further environmental documentation. effective date. Any delay encountered in A written categorical exclusion DEPARTMENT OF TRANSPORTATION this regulation’s effective date would be determination is available in the docket unnecessary and contrary to public for inspection or copying where Coast Guard interest since immediate action is indicated under ADDRESSES. needed to protect the maritime 33 CFR Part 165 community from hazards created by a Indian Tribal Governments large naval vessel’s transit through [CGD01–01–075] This rule does not have tribal Boston Harbor. In addition, immediate implications under Executive Order RIN 2115–AA97 action is needed to safeguard the USS 13175, Consultation and Coordination DOYLE, the public and the surrounding with Indian Tribal Governments, Safety Zone: USS DOYLE Port Visit— area from sabotage or other subversive because it does not have a substantial Boston, Massachusetts acts, accidents, or other events of a similar nature. This temporary safety direct effect on one or more Indian AGENCY: Coast Guard, DOT. tribes, on the relationship between the zone is only effective for a three day ACTION: Federal Government and Indian tribes, Temporary final rule. long port call and should have negligible impact on vessel transits due or on the distribution of power and SUMMARY: The Coast Guard is to the fact that vessels can safely transit responsibilities between the Federal establishing a temporary safety zone for around the zone and that they are not Government and Indian tribes. the USS DOYLE port visit from 7 a.m. precluded from using any portion of the List of Subjects in 33 CFR Part 165 June 1, 2001 until 2 p.m. June 4, 2001 waterway except the safety zone area in Boston, MA. The safety zone Harbors, Marine safety, Navigation itself. temporarily closes all waters of Boston (water), Reporting and record keeping Inner Harbor within a seventy five (75) Background and Purpose requirements, Security measures, foot radius of the USS DOYLE. The Waterways. This regulation establishes a moving safety zone prohibits entry into or For the reasons discussed in the safety zone on the waters of Boston movement within this portion of Boston Inner Harbor seventy five (75) foot preamble, the Coast Guard amends 33 Inner Harbor during the effective period CFR Part 165 as follows: radius of the USS DOYLE during its without Captain of the Port inbound and outbound transits between PART 165—REGULATED NAVIGATION authorization. The safety zone is needed the BG buoy and Pier One in the AREAS AND LIMITED ACCESS AREAS to protect the maritime community from Charlestown Navy Yard in Boston Inner the hazards caused by the transit of a Harbor. A stationary safety zone will 1. The authority citation for Part 165 large naval vessel, as well as to remain effective while at its temporary continues to read as follows: safeguard the USS DOYLE, the public berth at Pier One in the Charlestown Authority: 33 U.S.C. 1231; 50 U.S.C. 191, and the surrounding area from sabotage Navy Yard. The safety zone is in effect 33 CFR 1.05–1(g), 6.04–1, 6.04–6 and 160.5; or other subversive acts, accidents, or from 7 a.m. June 1 until 2 p.m. June 4, 49 CFR 1.46. other events of a similar nature. 2001. This safety zone prohibits entry 2. A new temporary § 165.T09–914 is DATES: This rule is effective from 7 a.m. into or movement within this portion of added to read as follows: Friday, June 1 until 2 p.m. Monday, Boston Harbor and is needed to protect June 4, 2001. the maritime community from hazards § 165.T09–914 Safety Zone: Lake ADDRESSES: Documents as indicated in created by a large naval vessel’s transit, Michigan, Holland, MI. this preamble are part of docket CGD01– to safeguard the USS DOYLE, the public (a) Location. The following area is a 01–75 and are available for inspection and the surrounding area from sabotage safety zone: The waters of Lake or copying at Marine Safety Office or other subversive acts, accidents, or Michigan off Holland State Park North Boston, 455 Commercial Street, Boston, other events of a similar nature. Marine Pier, bounded by the sides of a triangle MA between the hours of 8 a.m. and 3 traffic may transit safely outside of the with corners in approximate positions: safety zone during the inbound and ° ′ ″ ° ′ ″ ° ′ ″ p.m., Monday through Friday, except 42 46 24 N, 086 12 57 W; 42 46 25 N, Federal holidays. outbound transit between the BG buoy 086°14′08″ W; 42°47′09″ N, 086°13′33″ and Pier One in the Charlestown Navy FOR FURTHER INFORMATION CONTACT: W. Yard, and while the vessel is moored in Lieutenant (junior grade) Dave Sherry, (b) Effective Date. This safety zone is the Charlestown Navy Yard. The Marine Safety Office Boston, Waterways effective from 9 a.m. (local) until 2 p.m. Captain of the Port does not anticipate Management Division, at (617) 223– (local), June 2, 2001. any negative impact on vessel traffic 3006. (c) Regulations. This safety zone is due to the establishment of this safety being established to protect the boating SUPPLEMENTARY INFORMATION: zone. Public notifications will be made public in the vicinity of a planned Regulatory History prior to the effective period via local rocket launch show over Lake Michigan. notice to mariners and marine In accordance with the general Pursuant to 5 U.S.C. 553, a notice of information broadcasts. regulations in 165.23 of this part, entry proposed rulemaking (NPRM) was not into this zone is prohibited unless published for this regulation. Good Regulatory Evaluation authorized by the Coast Guard Captain cause exists for not publishing a NPRM This rule is not a ‘‘significant of the Port, Chicago, or the designated and for making this regulation effective regulatory action’’ under section 3(f) of Patrol Commander. in less than 30 days after Federal Executive Order 12866 and does not
VerDate 11
require an assessment of potential costs Regulatory Enforcement Fairness Act of Indian Tribal Governments and benefits under section 6(a)(3) of that 1996 (Pub. L. 104–121). This rule does not have tribal Order. The Office of Management and Small businesses may send comments implications under Executive Order Budget has not reviewed it under that on the actions of Federal employees 13175, Consultation and Coordination Order. It is not significant under the who enforce, or otherwise determine with Indian Tribal Governments. A rule regulatory policies and procedures of compliance with, Federal regulations to with tribal implications has a the Department of Transportation (DOT) the Small Business and Agriculture substantial direct effect on one or more (44 FR 11040, February 26, 1979). Regulatory Enforcement Ombudsman Indian tribes, on the relationship The Coast Guard expects the and the Regional Small Business between the Federal Government and economic impact of this rule to be so Regulatory Fairness Boards. The Indian tribes, or on the distribution of minimal that a full Regulatory Ombudsman evaluates these actions power and responsibilities between the Evaluation under paragraph 10e of the annually and rates each agency’s Federal Government and Indian tribes. regulatory policies and procedures of responsiveness to small business. If you Environment DOT is unnecessary. wish to comment on actions by Although this regulation prevents employees of the Coast Guard, call 1– The Coast Guard considered the traffic from transiting a portion of 888–REG–FAIR (1–888–734–3247). environmental impact of this rule and Boston Harbor, the effect of this concluded that, under figure 2–1, regulation will not be significant for Collection of Information (34)(g), of Commandant Instruction several reasons: the minimal time that This rule calls for no new collection M16475.lC, this proposed rule is vessels will be restricted from the area, of information under the Paperwork categorically excluded from further the limited extent of the safety zone, the Reduction Act of 1995 (44 U.S.C. 3501– environmental documentation. A ability for vessels to safely transit 3520). ‘‘Categorical Exclusion Determination’’ outside of the safety zone, and the is available in the docket where advance notifications which will be Federalism indicated under ADDRESSES. made to the local maritime community The Coast Guard analyzed this rule List of Subjects in 33 CFR Part 165 by marine information broadcasts. under E.O. 13132 and has determined Harbors, Marine safety, Navigation Small Entities that this rule does not have implications (water), Reporting and record keeping for federalism under that Order. Under the Regulatory Flexibility Act requirements, Security measures, (5 U.S.C. 601–612), the Coast Guard Unfunded Mandates Reform Act Waterways. considered whether this rule would For the reasons discussed in the have a significant economic impact on The Unfunded Mandates Reform Act preamble, the Coast Guard proposes to a substantial number of small entities. of 1995 (2 U.S.C. 1531–1538) governs amend 33 CFR part 165 as follows: The term ‘‘small entities’’ comprises the issuance of Federal regulations that small businesses, not-for-profit require unfunded mandates. An PART 165—REGULATED NAVIGATION organizations that are independently unfunded mandate is a regulation that AREAS AND LIMITED ACCESS AREAS requires a State, local, or tribal owned and operated and are not 1. The authority citation for part 165 government or the private sector to dominant in their fields, and continues to read as follows: incur direct costs without the Federal governmental jurisdictions with Authority: 33 U.S.C. 1231; 50 U.S.C. 191; populations of less than 50,000. Government’s having first provided the funds to pay those costs. This rule 33 CFR 1.05–1(g), 6.04–1, 6.04–6, and 160.5; The Coast Guard certifies under 5 would not impose an unfunded 49 CFR 1. U.S.C. 605(b) that this rule will not have mandate. a significant economic impact on a 2. Add temporary § 165.T01–075 to substantial number of small entities. Taking of Private Property read as follows: This rule will affect the following § 165.T01–075 Safety Zone: USS DOYLE entities, some of which may be small This rule would not effect a taking of Port Visit—Boston, Massachusetts. private property or otherwise have entities: the owners or operators of (a) Location. The following area is a taking implications under E.O. 12630, vessels intending to transit or anchor in safety zone: All waters of Boston Inner Governmental Actions and Interference a portion of Boston Inner Harbor Harbor within a seventy five (75) foot with Constitutionally Protected Property between 7 a.m. on June 1, 2001 and 2 radius of the USS DOYLE during its Rights. p.m. on June 4, 2001. This safety zone inbound and outbound transits between will not have a significant economic Civil Justice Reform the ‘‘BG’’ Buoy and Pier One at the impact on a substantial number of small Charlestown Navy Yard. The safety zone entities for the following reasons: the This rule meets applicable standards shall remain in effect while the USS safety zone is only 75 feet surrounding in sections 3(a) and 3(b)(2) of E.O. DOYLE it moored at Pier One in the the USS DOYLE, permitting vessel 12988, Civil Justice Reform, to minimize Charlestown Navy Yard. traffic to safely pass outside of the safety litigation, eliminate ambiguity, and (b) Effective Date. This section is zone, the safety zone is limited in reduce burden. effective from 7 a.m. on Friday, June 1, duration, and the Coast Guard will issue Protection of Children 2001 until 2 p.m. on Monday, June 4, marine information broadcasts before 2001. the effective period widely available to The Coast Guard analyzed this rule (c) Regulations. (1) In accordance with users of the Harbor. under E.O. 13045, Protection of the general regulations in § 165.23 of Children from Environmental Health Assistance for Small Entities this part, entry into or movement within Risks and Safety Risks. This rule is not this zone will be prohibited unless Due to the short notice of the need for an economically significant rule and authorized by the Captain of the Port this regulation the Coast Guard did not does not pose an environmental risk to Boston. have time to assist small entities under health or risk to safety that may (2) All vessel operators shall comply section 213(a) of the Small Business disproportionately affect children. with the instructions of the COTP or the
VerDate 11
designated on-scene U.S. Coast Guard ADDRESSES: U.S. Army Corps of explosives are prohibited from patrol personnel. On-scene Coast Guard Engineers, ATTN: CECW–OD, 441 G transiting the U.S. Locks. patrol personnel include commissioned, Street, NW., Washington, DC 20314– This final rule is not a major rule for warrant, and petty officers of the Coast 1000. the purposes of Executive Order 12866. Guard on board Coast Guard, Coast As required by the Regulatory Guard Auxiliary, local, state, and federal FOR FURTHUR INFORMATION CONTACT: Mr. Flexibility Act, the Corps certifies that law enforcement vessels. Jim Hilton, Dredging and Operations this final rule will not have a significant Branch (CECW–OD) at (202) 761–4669 impact on small business entities. Dated: May 17, 2001. or Mr. David L. Dulong, Chief, B. M. Salerno, Engineering Technical Services, Detroit Comments on the Proposed Rule Captain, U.S. Coast Guard, Captain of the District at (313) 226–6794. Three comments were received to the Port, Boston, Massachusetts. SUPPLEMENTARY INFORMATION: Pursuant January 23, 2001, Federal Register [FR Doc. 01–14098 Filed 6–4–01; 8:45 am] to its authority in Section 4 of the Rivers proposed rule and the January 23, 2001, BILLING CODE 4910–15–U and Harbors Act of August 18, 1894 (40 public notice issued by the Detroit Stat. 266; 33 U.S.C. 1), the Corps is District. Two industry comments amending the regulations in 33 CFR requested a clarifying phrase be added DEPARTMENT OF DEFENSE 207.441(b)(4) and (5). The regulation to § 207.441(4)(ii)(iii) to allow the release of a vessel from the lock in the Department of the Army, Corps of governing the operation of the St. Marys direction of a approaching tank vessel, Engineers Falls Canal and Locks, 33 CFR 207.441 was adopted on March 6, 1954, (19 FR if the tanker is certified gas free and 33 CFR Part 207 1275) and has been amended at various allow tankers certified gas free to transit times. the lock when MacArthur Lock park is St. Marys Falls Canal and Locks, Paragraph (b) is amended to delete open. We concur with adding the phrase Michigan; Use, Administration and reference to classes of vessels permitted ‘‘unless the vessel is certified gas free or Navigation to transit the U.S. locks or enter any of is carrying non-combustible products’’. the United States approach canals. One comment requested that U.S. AGENCY: Army Corps of Engineers, DoD. Paragraph (b)(4) is further amended by vessels of war and public vessels, as ACTION: Final rule. deleting reference to oil tankers being defined in 46 U.S.C. 2101, be exempt from the provision of being prohibited SUMMARY: The U.S. Army Corps of permitted to transit through the from transiting the U.S. Locks carrying Engineers is amending its regulations on Canadian lock, as the Canadian lock has explosives. We concur with this procedures to navigate the St. Marys been refurbished and can no longer exemption. Falls Canal and Soo Locks at Sault St. accommodate oil tankers. In addition, Marie, Michigan, to incorporate changes paragraph (b)(4) is amended by deleting List of Subjects in 33 CFR Part 207 reference to personnel smoking onboard in navigation safety procedures Navigation (water), Penalties, published in three Notice to Navigation tankers while in the lock area, as prohibiting smoking is included in 33 Reporting and recordkeeping Interests issued on March 29, 2000. The requirements, Waterways. St. Marys Falls Canal and Locks CFR 207.440(s). Paragraph (b)(4) is navigation regulation is amended to amended and rewritten to improve For reasons set out in the preamble, delete reference to oil tankers having vessel safety by adding subparagraphs Title 33, Chapter II of the Code of draft and beam permitting transit (i), (ii), and (iii). Subparagraph (b)(4)(i) Federal Regulations is amended as through the Canadian lock, since the prohibits the cleaning and gas freeing of follows: tanks on all hazardous material cargo Canadian lock no longer handles oil PART 207—NAVIGATION vessels (as defined in 49 CFR part 171), tankers. The regulation will also REGULATIONS prohibit the cleaning and gas freeing of while the vessel is either in the lock or tanks on all hazardous material cargo in any part of the Soo Locks approach 1. The authority citation for part 207 vessels while either in the lock or while canals from the outer end of the east continues to read as follows: in any part of the Soo Locks approach center pier to the outer end of the Authority: 40 Stat. 266 (33 U.S.C. 1). canals. As an additional vessel safety southwest pier. Subparagraph (b)(4) (ii) 2. Section 207.441 is amended by measure, whenever a tank vessel is is added for safety purposes to limit revising paragraphs (b)(4) and (b)(5) to within the limits of the lock piers either vessel movement to a single vessel read as follows: above or below the locks, vessel whenever a tank vessel carrying movement will be limited to a single hazardous cargo is within the limits of § 207.441 St. Marys Falls Canal and Locks, vessel, unless the tanker is certified gas the lock piers either above or below the Mich.; security. free or is carrying non-combustible locks, unless the vessel is certified gas * * * * * products. The regulation will allow free or is carrying non-combustible (b) Restrictions on transit of vessels. tankers with any type cargo to transit products. Subparagraph (b)(4)(iii) is *** the MacArthur Lock when the locks added to allow tankers carrying any (1) Tanker vessels—(i) Hazardous park is closed, while tankers carrying type of cargo to transit MacArthur Lock material. Cleaning and gas freeing of non-combustible products or tankers when the locks park is closed. Tankers tanks on all hazardous material cargo certified gas free will be allowed to certified gas free or carrying non- vessels (as defined in 49 CFR part 171) transit the MacArthur Lock when the combustible products that will not react shall not take place in a lock or any part park is open. The regulation clarifies hazardously with water will be allowed of the Soo Locks approach canals from that vessels, except U.S. vessels of war to transit MacArthur Lock when the the outer end of the east center pier to and public vessels (as defined in 46 park is open. the outer end of the southwest pier. U.S.C. 2101), carrying explosives are Paragraph (b)(5) is amended to add a (ii) Approaching. Whenever a tank prohibited from transiting U.S. Locks. phrase to clarify that vessels, except vessel is approaching the Soo Locks and DATES: The final rule is effective July 5, U.S. vessels of war or public vessels as within the limits of the lock piers (outer 2001. defined in 46 U.S.C. 2101, carrying ends of the southwest and east center
VerDate 11
piers) either above or below the locks, POSTAL SERVICE sells the item, represented value, market no other vessel will be released from the value, or other amount. locks in the direction of the approaching 39 CFR Part 111 In sum, some of the nonprint tank vessel, unless the tank vessel is attachments and enclosures permitted Eligibility Requirements for certified gas free or is carrying non- with Bound Printed Matter under the Attachments and Enclosures With current standard would also be combustible products, until the tank Bound Printed Matter vessel is within the lock chamber or permissible under the new standard, securely moored to the approach pier. AGENCY: Postal Service. while some of these attachments and enclosures would not be permitted Whenever a tank vessel is within a Soo ACTION: Final rule. under the new standard. In addition, Lock Chamber, the tank vessel, unless SUMMARY: This final rule revises the some matter not permitted as certified gas free or is carrying non- Domestic Mail Manual (DMM) to attachments and enclosures under the combustible products, will not be implement changes to the standards current standard would be permissible released from the lock until the channel governing permissible attachments and under the new standard. within the limits of the lock piers either enclosures with Bound Printed Matter. The Postal Service received 23 above or below the lock, in the direction EFFECTIVE DATE: June 14, 2001. comments in response to the proposal. of the tank vessel, is clear of vessels or Twenty-two comments supported the FOR FURTHER INFORMATION CONTACT: vessels therein are securely moored to proposal to replace the current standard Jerome M. Lease, 703–292–4184. the approach pier. This limits with an objective standard based on the SUPPLEMENTARY INFORMATION: movement to a single vessel whenever On March weight and value of attachments and 26, 2001, the Postal Service published a a tank vessel is within the limits of the enclosures. A number of these proposed rule in the Federal Register lock piers either above or below the comments stated that the objective (66 FR 16431) soliciting comments locks, unless the tank vessel is certified standards would be easier for mailers concerning the standards in the and postal personnel to understand and gas free or is carrying non-combustible Domestic Mail Manual (DMM) products. Tank vessels to which this use, and thus would facilitate the governing permissible attachments and preparation of mailings and acceptance paragraph (b)(4)(ii) applies include enclosures with Bound Printed Matter those vessels carrying fuel oil, gasoline, of mail. Some comments also noted that (BPM) eligible to be mailed at BPM efforts to revise standards in this crude oil or other flammable liquids in rates. manner are appropriate in view of the bulk, including vessels that are not Under current postal standards, the changes taking place in the publishing certified gas free where the previous only attachments and enclosures industry. Of the 22 favorable comments, cargo was one of these liquids. authorized to be mailed with qualifying 18 fully supported the proposed weight (iii) Locks park. Except as provided in Bound Printed Matter at BPM rates are and value standards. Three commenters paragraph (b)(5) of this section, tankers printed matter mailable as Standard requested that the weight limit on with any type cargo will be permitted to Mail and merchandise samples meeting nonprint attachments and enclosures be transit the MacArthur Lock when the prescribed conditions. The proposed increased from 25 percent to 50 percent locks park is closed. The exact dates and change would rescind the provision and one commenter requested that the concerning merchandise samples. In its times that the park is closed varies, but limit be increased from 25 percent to 49 place, the Postal Service proposed the generally these periods are from percent. inclusion of ‘‘nonprint’’ attachments The Postal Service has given midnight to 6 a.m. June through and enclosures so long as the amount of September with one or two hour closure consideration to these requests to the attachments and enclosures is increase the weight of nonprint extensions in the early and late seasons. relatively modest compared to the attachments and enclosures. However, Tankers carrying non-combustible amount of qualifying Bound Printed the Postal Service is mindful that Bound products that will not react hazardously Matter and each has minimal value. In Printed Matter rates are intended for with water or tankers that have been each case, objective standards were printed matter. This is not to say that a purged of gas or hazardous fumes and proposed for application of the tests. modest amount of nonprint attachments certified gas free will be allowed to That is, the proposed rule allows for the and enclosures should be prohibited, transit the MacArthur Lock when the inclusion of nonprint attachments and and indeed some nonprint matter has park is open. enclosures so long as the combined been permitted under current standards. (5) Carrying explosives. All vessels, weight of all nonprint attachments and The Postal Service is concerned that except U.S. vessels of war and public enclosures in the mailpiece is less than either of these higher ratios proposed by vessels as defined in 46 U.S.C. 2101, or equal to 25 percent of the weight of commenters would serve to cloud the carrying explosives are prohibited from the Bound Printed Matter in the distinction between bona fide Bound transiting the U.S. Locks. mailpiece. In addition, the individual Printed Matter and other Package cost of each nonprint attachment or Services mail, such as Parcel Post, or * * * * * enclosure must be less than or equal to Standard Mail. Therefore, neither of the Dated: May 23, 2001. the cost of a ‘‘low-cost’’ item as defined suggested higher weight limits is Alfred H. Foxx, in DMM E670.5.11, and the combined adopted in this final rule. Colonel, U.S. Army, Executive Director of cost of all nonprint attachments and Of the comments supporting the Civil Works. enclosures may not exceed two times proposed standards, five comments the cost of a low-cost item as defined in [FR Doc. 01–14023 Filed 6–4–01; 8:45 am] sought a specific ruling concerning DMM E670.5.11. The ‘‘low-cost’’ ‘‘binders’’ as bona fide elements of BILLING CODE 3710–92–P amount for calendar year 2001 is $7.60 Bound Printed Matter. These requests and this amount is adjusted for inflation are beyond the scope of this rulemaking annually by the Internal Revenue and are not addressed in this final rule. Service. For purposes of this test, ‘‘cost’’ The remaining comment, although is the actual cost to the mailer for the taking ‘‘no position on the merits of the item, rather than the price for which it proposed change,’’ suggested that the
VerDate 11
proposal would expand the permissible E712 Bound Printed Matter ADDRESSES: Written objections and attachments and enclosures beyond * * * * * hearing requests may be submitted by those contemplated in the Domestic mail, in person, or by courier. Please Mail Classification Schedule (DMCS), 1.0 BASIC STANDARDS follow the detailed instructions for each and would be beyond the authority of * * * * * method as provided in Unit VI.. of the the Postal Service to adopt. The Postal SUPPLEMENTARY INFORMATION. To ensure Service respectfully disagrees. Under 1.2 Enclosures and Attachments proper receipt by EPA, your objections DMCS 544.2, Bound Printed Matter may (Revise 1.2 to add new standards for and hearing requests must identify contain attachments and enclosures ‘‘as attachments and enclosures as follows:) docket control number OPP–301131 in specified by the Postal Service.’’ The In addition to the basic standards in the subject line on the first page of your comment appears to suggest that this E710, BPM may have the following response. discretion is limited by the additional attachments and enclosures: FOR FURTHER INFORMATION CONTACT: By phrase ‘‘and as described in subsections a. Any printed matter mailable as mail: Hoyt Jamerson, Registration a and e of section 523.1,’’ which Standard Mail. Division (7505C), Office of Pesticide concerns order forms with books and b. Nonprint attachments and Programs, Environmental Protection sound recordings. Under the reading enclosures. The combined weight of all Agency, 1200 Pennsylvania Ave., apparently favored by the commenter, nonprint attachments and enclosures in NW.,Washington, DC 20460; telephone the permissible attachments and the mailpiece must be less than or equal number: (703) 308–9368; and e-mail enclosures under DMCS 544.2 would be to 25 percent of the weight of the Bound address: [email protected]. limited to these order forms in Printed Matter in the mailpiece. The SUPPLEMENTARY INFORMATION: accordance with standards prescribed individual cost of each nonprint by the Postal Service. In contrast, the attachment or enclosure must be less I. General Information Postal Service believes that the two than or equal to the cost of a ‘‘low cost’’ A. Does this Action Apply to Me? parts of section 544.2 should be read item as defined in E670.5.11. In independently. That is, the permissible addition, the combined cost of all You may be affected by this action if attachments and enclosures include the nonprint attachments and enclosures you are an agricultural producer, food order forms described in 523.1, and, in must not exceed two times the cost of manufacturer, or pesticide addition to that, any other attachment a ‘‘low cost’’ item as defined in manufacturer. Potentially affected and enclosure specified by the Postal E670.5.11. categories and entities may include, but Service. Nevertheless, the Postal Service are not limited to: * * * * * agrees with the commenter that the This change will be published in a permissible attachments and enclosures Examples of poten- future issue of the Domestic Mail Categories NAICS tially affected enti- should not be without limits. Indeed, as codes Manual. An appropriate amendment to ties explained above, the Postal Service 39 CFR 111.3 to reflect these changes believes that the amount of nonprint will be published. Industry 111 Crop production attachments and enclosures should be 112 Animal production relatively small in comparison to the Stanley F. Mires, 311 Food manufacturing qualifying Bound Printed Matter, and Chief Counsel, Legislative. 32532 Pesticide manufac- turing rejected requests that the ratio be [FR Doc. 01–13973 Filed 6–4–01; 8:45 am] increased beyond the standard BILLING CODE 7710–12–U proposed. This listing is not intended to be After full consideration of the exhaustive, but rather provides a guide comments received and for the reasons for readers regarding entities likely to be ENVIRONMENTAL PROTECTION affected by this action. Other types of discussed above, the Postal Service AGENCY adopts, without revisions, the proposed entities not listed in the table could also be affected. The North American changes in the Domestic Mail Manual, 40 CFR Part 180 which is incorporated by reference in Industrial Classification System the Code of Federal Regulations (see 39 [OPP–301131; FRL–6782–5] (NAICS) codes have been provided to assist you and others in determining CFR part 111). RIN 2070–AB78 whether or not this action might apply List of Subjects in 39 CFR Part 111 Pyriproxyfen; Pesticide Tolerance to certain entities. If you have questions Administrative practice and regarding the applicability of this action procedure, Postal Service. AGENCY: Environmental Protection to a particular entity, consult the person Agency (EPA). listed under FOR FURTHER INFORMATION PART 111—[AMENDED] ACTION: Final rule. CONTACT.
1. The authority citation for 39 CFR SUMMARY: This regulation establishes a B. How Can I Get Additional part 111 continues to read as follows: tolerance for residues of pyriproxyfen in Information, Including Copies of this Authority: 5 U.S.C. 552(a); 39 U.S.C. 101, or on pistachio. The Interregional Document and Other Related 401, 403, 404, 3001–3011, 3201–3219, 3403– Research Project Number 4 (IR-4) Documents? 3406, 3621, 3626, 5001. requested this tolerance under the 1. Electronically.You may obtain Federal Food, Drug, and Cosmetic Act, 2. Revise Domestic Mail Manual electronic copies of this document, and as amended by the Food Quality E712.1.2, as follows: certain other related documents that Protection Act of 1996. might be available electronically, from Domestic Mail Manual DATES: This regulation is effective June the EPA Internet Home Page at http:// * * * * * 5, 2001. Objections and requests for www.epa.gov/. To access this hearings, identified by docket control document, on the Home Page select E ELIGIBILITY number OPP–301131, must be received ‘‘Laws and Regulations,’’ ‘‘Regulations * * * * * by EPA on or before August 6, 2001. and Proposed Rules,’’ and then look up
VerDate 11
the entry for this document under the of the Federal Food, Drug, and Cosmetic infants and children from aggregate ‘‘Federal Register—Environmental Act (FFDCA), 21 U.S.C. 346a as exposure to the pesticide chemical Documents.’’ You can also go directly to amended by the Food Quality Protection residue. . . .’’ theFederal Register listings at http:// Act of 1996 (FQPA) (Public Law 104– EPA performs a number of analyses to www.epa.gov/fedrgstr/. A frequently 170) announcing the filing of a pesticide determine the risks from aggregate updated electronic version of 40 CFR petition (PP 0E6081) for tolerance by IR- exposure to pesticide residues. For part 180 is available at http:// 4, Technology Center of New Jersey, further discussion of the regulatory www.access.gpo.gov/nara/cfr/ Rutgers, The State University of New requirements of section 408 and a _ _ _ cfrhtml 00/Title 40/40cfr180 00.html, a Jersey, 681 U.S. Highway #1 South, complete description of the risk beta site currently under development. North Brunswick, NJ 08902–3390. This assessment process, see the final rule on To access the OPPTS Harmonized notice included a summary of the Bifenthrin Pesticide Tolerances (62 FR Guidelines referenced in this document, petition prepared by Valent U.S.A. 62961, November 26, 1997) (FRL–5754– go directly to the guidelines at http:// Corporation, 1333 North California 7). www.epa.gov/opptsfrs/home/ Blvd., P.O. Box 8025, Walnut Creek, CA guidelin.htm. 94596–8025, the registrant. There were III. Aggregate Risk Assessment and 2. In person. The Agency has no comments received in response to Determination of Safety established an official record for this the notice of filing. Consistent with section 408(b)(2)(D), action under docket control number The petition requested that 40 CFR EPA has reviewed the available OPP–301131. The official record 180.510 be amended by establishing a scientific data and other relevant consists of the documents specifically tolerance for residues of the insecticide information in support of this action. referenced in this action, and other pyriproxyfen, 2-[1-methyl-2-(4- information related to this action, EPA has sufficient data to assess the phenoxyphenoxy)ethoxypyridine, in or including any information claimed as hazards of and to make a determination on pistachio at 0.02 part per million Confidential Business Information (CBI). on aggregate exposure, consistent with (ppm). This official record includes the section 408(b)(2), for a tolerance for documents that are physically located in Section 408(b)(2)(A)(i) of the FFDCA residues of pyriproxyfen on pistachio at the docket, as well as the documents allows EPA to establish a tolerance (the 0.2 ppm. EPA’s assessment of exposures that are referenced in those documents. legal limit for a pesticide chemical and risks associated with establishing The public version of the official record residue in or on a food) only if EPA the tolerance follows. does not include any information determines that the tolerance is ‘‘safe.’’ A. Toxicological Profile claimed as CBI. The public version of Section 408(b)(2)(A)(ii) defines ‘‘safe’’ to the official record, which includes mean that ‘‘there is a reasonable EPA has evaluated the available printed, paper versions of any electronic certainty that no harm will result from toxicity data and considered its validity, comments submitted during an aggregate exposure to the pesticide completeness, and reliability as well as applicable comment period is available chemical residue, including all the relationship of the results of the for inspection in the Public Information anticipated dietary exposures and all studies to human risk. EPA has also and Records Integrity Branch (PIRIB), other exposures for which there is considered available information Rm. 119, Crystal Mall #2, 1921 Jefferson reliable information.’’ This includes concerning the variability of the Davis Hwy., Arlington, VA, from 8:30 exposure through drinking water and in sensitivities of major identifiable a.m. to 4 p.m., Monday through Friday, residential settings, but does not include subgroups of consumers, including excluding legal holidays. The PIRIB occupational exposure. Section infants and children. The nature of the telephone number is (703) 305–5805. 408(b)(2)(C) requires EPA to give special toxic effects caused by pyriproxyfen are consideration to exposure of infants and discussed in the following Table 1 as II. Background and Statutory Findings children to the pesticide chemical well as the no observed adverse effect In the Federal Register of April 4, residue in establishing a tolerance and level (NOAEL) and the lowest observed 2001 (66 FR 17883) (FRL–6772–4), EPA to ‘‘ensure that there is a reasonable adverse effect level (LOAEL) from the issued a notice pursuant to section 408 certainty that no harm will result to toxicity studies reviewed.
TABLE 1.—SUBCHRONIC, CHRONIC, AND OTHER TOXICITY
Guideline No. Study Type Results
870.3100 Subchronic feeding in rats (13 NOAEL = 23.49 mg/kg/day in males 27.68 mg/kg/day in females weeks) LOAEL = 117.79 milligram/kilogram/day (mg/kg/day) in males and 141.28 mg/ kg/day in females based on higher mean total cholesterol and phospholipids; decreased mean red blood cells, hematocrit and hemoglobin counts and in- creased liver weight.
870.3150 Subchronic oral toxicity in dogs NOAEL = 100 mg/kg/day (13 weeks) LOAEL = 300 mg/kg/day based on increased absolute and relative liver weight in males and hepatocellular hypertrophy in females. These findings were also observed at 1,000 mg/kg/day and may represent adaptive changes at both 300 mg/kg/day and the limit dose of 1,000 mg/kg/day.
870.3200 21-Day dermal toxicity (rat) NOAEL = >1,000 mg/kg/day There was no dermal or systemic toxicity at the 1,000 mg/kg/day dose, highest dose tested (HDT).
VerDate 11
TABLE 1.—SUBCHRONIC, CHRONIC, AND OTHER TOXICITY—Continued
Guideline No. Study Type Results
870.3700a Prenatal developmental (rat) Maternal NOAEL = 100 mg/kg/day LOAEL = 300 mg/kg/day based on increased incidences in mortality and clin- ical signs at 1,000 mg/kg/day with decreases in food consumption, body weight, and body weight gain together with increases in water consumption at 300 and 1,000 mg/kg/day. Developmental NOAEL = 300 mg/kg/day LOAEL = 1,000 mg/kg/day based on increased incidences of skeletal variations and unspecified visceral variations at 1,000 mg/kg/day.
870.3700b Prenatal developmental (rabbit) Maternal NOAEL = 100 mg/kg/day LOAEL = 300 mg/kg/day based on based on premature delivery/abortions, soft stools, emaciation, decreased activity and bradypnea. Developmental NOAEL = 300 mg/kg/day LOAEL = 1,000 mg/kg/day. There were no effects observed in the 4 litters ex- amined.
870.3800 Reproduction and fertility effects Parental/systemic NOAEL = 76 mg/kg/day in males and 87 mg/kg/day in fe- (rat) males LOAEL = 386 mg/kg/day and males 442mg/kg/day in females based on de- creased body weight, weight gain and food consumption in both sexes and both generations. Increased liver weight in both sexes of the F1 generation and liver and kidney histopathology in F1 males. Reproductive NOAEL = 386 mg/kg/day in males and 442 mg/kg/day in females (highest dose tested). Offspring NOAEL = 97 mg/kg/day in males and 105 mg/kg/day in females LOAEL = 519 mg/kg/day in males and 554 mg/kg/day in females based on de- creased pup body weight on lactation.
870.3800 Perinatal and postnatal study of Maternal NOAEL: 100 mg/kg/day pyriproxyfen orally administered Maternal LOAEL: 300 mg/kg/day based on increased clinical signs, decreased to rats body weight gains, and decreased food consumption Pup NOAEL: 100 mg/kg/day Pup LOAEL: 300 mg/kg/day based on decreased body weight and increased incidence of dilation of the renal pelvis. At 500 mg/kg/day, there was an in- crease in pup mortality during lactation Pup Reproductive, Developmental, and Learning NOAEL: 500 mg/kg/day LOAEL: ≥500 mg/kg/day
870.3800 Non-guideline study of rats orally Parental NOAEL = 100 mg/kg/day exposed prior to and in the Parental LOAEL = 300 mg/kg/day based on increased clinical signs, decreased early stages of pregnancy body weight gains, and increased water consumption in both sexes, and in- creased food consumption, changes in organ weights, and gross pathological findings in the males only. Developmental NOAEL = 1,000 mg/kg/day Developmental LOAEL = 1,000 mg/kg/day
870.4300 Chronic toxicity/oncogenicity (rat) NOAEL = 35.1 mg/kg/day (females) LOAEL = 182.7 mg/kg/day (females) based on decrease in body weight gain in females at 182.70 mg/kg/day. There was no evidence of carcinogenic re- sponse.
870.4100 1-Year chronic feeding (dog) NOAEL = 100 mg/kg/day LOAEL = 300 mg/kg/day based on decreased weight gain, increased absolute and relative liver weight, mild anemia, increased cholesterol and triglycerides in both sexes and slight anemia in males.
870.4200 Carcinogenicity mice NOAEL = 84 mg/kg/day in males and 109 mg/kg/day in females LOAEL = 320 mg/kg/day in males and 547 mg/kg/day in females based on renal lesions in both sexes. No statistically significant increase in tumor inci- dence relative to controls were observed in either sex at any dose up to the highest dose tested.
870.5100 Gene Mutation Assay (Ames Test) Negative for induction of gene mutation measured as the reversion to histidine Reverse Mutation protrophy of 5 S. typhimurium strains and E. coli WP2 uvra at doses from 10 to 5,000 µg/plated with and withour S-9 activation.
870.5300 Gene Mutation Negative for induction of gene mutation in Chinese hamster V79 cells with and without metabolic activation up to cytotoxic doses.
VerDate 11
TABLE 1.—SUBCHRONIC, CHRONIC, AND OTHER TOXICITY—Continued
Guideline No. Study Type Results
870.5380 Structural Nonclastogenic in Chinese hamster ovary cells both with and without S-9 acti- ChromosomalAbberation In vivo vation up to cytotoxic doses.
870.5550 Unscheduled DNA Synthesis Did not induce an increase in unscheduled DNA synthesis both with and with- out activation in HeLa cells exposed up to insoluble doses ranging to 6.4 µg/ mL without activation and 51.2 µg/mL with activation.
870.7485 Metabolism Rats were orally dosed with 14C-labeled pyriproxyfen at 2 or 1,000 mg/kg and at repeated oral doses 14 daily doses of unlabeled pyriproxyfen at 2 mg/kg followed by administration of a single oral dose of labeled pyriproxyfen at 2 mg/kg. Most radioactivity was excreted in the feces 81-92% and urine 5-12% over a 7 day collection period. Expired air was not detected. Tissue radioac- tivity levels were very low less than 0.3% except for fat. Examination of urine, feces, liver, kidney, bile and blood metabolites yielded numerous > 20 identified metabolites when compared to synthetic standards. The major bio- transformation reactions of pyriproxyfen include: 1. Oxidation of the 4’ - posi- tion of the terminal phenyl group; 2. Oxidation at the 5’ - position of pyridine; 3. Cleavage of the ether linkage and conjugation of the resultant phenols with sulfuric acid.
870.7600 Dermal penetration
B. Toxicological Endpoints the RfD is equal to the NOAEL divided assumes that any amount of exposure The dose at which no adverse effects by the appropriate UF (RfD = NOAEL/ will lead to some degree of cancer risk. are observed (the NOAEL) from the UF). Where an additional safety factor is A Q* is calculated and used to estimate toxicology study identified as retained due to concerns unique to the risk which represents a probability of appropriate for use in risk assessment is FQPA, this additional factor is applied occurrence of additional cancer cases used to estimate the toxicological level to the RfD by dividing the RfD by such (e.g., risk is expressed as 1 x 10-6 or one of concern (LOC). However, the lowest additional factor. The acute or chronic in a million). Under certain specific dose at which adverse effects of concern Population Adjusted Dose (aPAD or circumstances, MOE calculations will are identified (the LOAEL) is sometimes cPAD) is a modification of the RfD to be used for the carcinogenic risk used for risk assessment if no NOAEL accommodate this type of FQPA Safety assessment. In this non-linear approach, was achieved in the toxicology study Factor. a ‘‘point of departure’’ is identified selected. An uncertainty factor (UF) is For non-dietary risk assessments below which carcinogenic effects are (other than cancer) the UF is used to applied to reflect uncertainties inherent not expected. The point of departure is determine the LOC. For example, when in the extrapolation from laboratory typically a NOAEL based on an 100 is the appropriate UF (10X to animal data to humans and in the endpoint related to cancer effects account for interspecies differences and variations in sensitivity among members though it may be a different value of the human population as well as 10X for intraspecies differences) the derived from the dose response curve. other unknowns. An UF of 100 is LOC is 100. To estimate risk, a ratio of To estimate risk, a ratio of the point of routinely used, 10X to account for the NOAEL to exposures (margin of interspecies differences and 10X for exposure (MOE) = NOAEL/exposure) is departure to exposure (MOE cancer = intraspecies differences. calculated and compared to the LOC. point of departure/exposures) is For dietary risk assessment (other The linear default risk methodology calculated. A summary of the than cancer) the Agency uses the UF to (Q*) is the primary method currently toxicological endpoints for pyriproxyfen calculate an acute or chronic reference used by the Agency to quantify used for human risk assessment is dose (acute RfD or chronic RfD) where carcinogenic risk. The Q* approach shown in the following Table 2:
TABLE 2.— SUMMARY OF TOXICOLOGICAL DOSE AND ENDPOINTS FOR PYRIPROXYFEN FOR USE IN HUMAN RISK ASSESSMENT
FQPA SF* and Level of Exposure Scenario Dose Used in Risk Assess- Concern for Risk Assess- Study and Toxicological Effects ment, UF ment
Acute dietary all populations Not applicable Not applicable No effects that could be attributed to a single exposure were observed in oral toxicity stud- ies.
Chronic dietary all populations NOAEL= 35.1 mg/kg/day FQPA SF = 1X 2-Year chronic feeding study in rats UF = 100 cPAD = chronic RfD LOAEL = 182.7 mg/kg/day based on a de- Chronic RfD = 0.35 mg/kg/ ÷FQPA SF crease in body weight gains in females. day =0.35 mg/kg/day
VerDate 11
TABLE 2.— SUMMARY OF TOXICOLOGICAL DOSE AND ENDPOINTS FOR PYRIPROXYFEN FOR USE IN HUMAN RISK ASSESSMENT—Continued
FQPA SF* and Level of Exposure Scenario Dose Used in Risk Assess- Concern for Risk Assess- Study and Toxicological Effects ment, UF ment
Short-term dermal and inhala- Not applicable Not applicable 21-Day dermal toxicity study lack of dermal or tion (1 to 7 days) (residential) Absorption rate = not more systemic toxicity at the limit-dose of 1,000 than 10% mg/kg/day.
Intermediate-term dermal and Not applicable Not applicable 21-Day dermal toxicity study inhalation (1 week to several Absorption rate = not more Lack of dermal or systemic toxicity at the limit- months) (residential) than 10% dose of 1,000 mg/kg/day.
Long-term dermal and inhalation 35.1 mg/kg/day LOC for MOE = 100 Chronic toxicity/carcinogenicity in rats (several months to lifetime) (residential) LOAEL = 182.7 mg/kg/day based on de- (residential) creased weight gain in female rats.
Cancer (oral, dermal, inhalation) ‘‘Group E’’ human car- Not applicable There is no evidence of carcinogenic potential. cinogen *The reference to the FQPA Safety Factor refers to any additional safety factor retained due to concerns unique to the FQPA.
C. Exposure Assessment Surveys of Food Intake by Individuals incorporate an index reservoir 1. Dietary exposure from food and (CSFII) and accumulated exposure to environment in place of the previous feed uses. Tolerances have been the chemical for each commodity. The pond scenario. The PRZM/EXAMS established (40 CFR 180.510) for the following assumptions were made for model includes a percent crop area combined residues of pyriproxyfen, in the chronic exposure assessments: The factor as an adjustment to account for or on a variety of raw agricultural chronic dietary exposure analysis for the maximum percent crop coverage commodities. Permanent tolerances are pyriproxyfen assumed tolerance level within a watershed or drainage basin. established under 40 CFR 180.510(a) for residues and 100% crop treated for all None of these models include residues of pyriproxyfen in/on the commodities with established or consideration of the impact processing following commodities: pome fruits proposed tolerances. (mixing, dilution, or treatment) of raw (crop group 11) (0.2 ppm), citrus fruits iii. Cancer. A cancer dietary exposure water for distribution as drinking water (crop group 10) (0.3 ppm), fruiting assessment was not performed since would likely have on the removal of vegetables (except cucurbits) (crop there was no evidence of pesticides from the source water. The group 8) (0.2 ppm), tree nuts (crop carcinogenicity in studies conducted primary use of these models by the group 14) (0.02 ppm), cotton seed (0.05 with rats and mice. Agency at this stage is to provide a ppm), cotton gin byproducts (2.0 ppm), 2. Dietary exposure from drinking coarse screen for sorting out pesticides almond hulls (2.0 ppm), citrus oil (20 water. The Agency lacks sufficient for which it is highly unlikely that ppm), and citrus pulp, dried (2.0 ppm). monitoring exposure data to complete a drinking water concentrations would Tolerances are also proposed by comprehensive dietary exposure ever exceed human health levels of McLaughlin Gormley King Company for analysis and risk assessment for concern. residues of pyriproxyfen in/on all food pyriproxyfen in drinking water. Because Since the models used are considered commodities at 0.10 ppm from use of the Agency does not have to be screening tools in the risk the pesticide in food handling comprehensive monitoring data, assessment process, the Agency does establishments. Risk assessments were drinking water concentration estimates not use estimated environmental conducted by EPA to assess dietary are made by reliance on simulation or concentrations (EECs) from these exposures from pyriproxyfen in food as modeling taking into account data on models to quantify drinking water follows: the physical characteristics of exposure and risk as a %RfD or %PAD. i. Acute exposure. Acute dietary risk pyriproxyfen. Instead drinking water levels of assessments are performed for a food- The Agency uses the Generic comparison (DWLOCs) are calculated use pesticide if a toxicological study has Estimated Environmental Concentration and used as a point of comparison indicated the possibility of an effect of (GENEEC) or the Pesticide Root Zone/ against the model estimates of a concern occurring as a result of a 1 day Exposure Analysis Modeling System pesticide’s concentration in water. or single exposure. An acute dose and (PRZM/EXAMS) to estimate pesticide DWLOCs are theoretical upper limits on endpoint were not selected for any concentrations in surface water and a pesticide’s concentration in drinking population subgroup because no effects Screening Concentrations in Ground water in light of total aggregate exposure that could be attributed to a single Water (SCI-GROW), which predicts to a pesticide in food, and from exposure were observed in oral toxicity pesticide concentrations in ground residential uses. Since DWLOCs address studies. Therefore, an acute exposure water. In general, EPA will use GENEEC total aggregate exposure to pyriproxyfen assessment was not conducted. (a tier 1 model) before using PRZM/ they are further discussed in the ii. Chronic exposure. In conducting EXAMS (a tier 2 model) for a screening- aggregate risk sections below. this chronic dietary risk assessment the level assessment for surface water. The Based on the PRZM/EXAMS and SCI- Dietary Exposure Evaluation Model GENEEC model is a subset of the PRZM/ GROW models, the EECs of (DEEM) analysis evaluated the EXAMS model that uses a specific high- pyriproxyfen for acute exposures are individual food consumption as end runoff scenario for pesticides. estimated to be 0.46 parts per billion reported by respondents in the USDA GENEEC incorporates a farm pond (ppb) for surface water and 0.006 ppb 1989–1992–nationwide Continuing scenario, while PRZM/EXAMS for ground water. The EECs for chronic
VerDate 11
exposures are estimated to be 0.11 ppb Bifenthrin Pesticide Tolerances (62 FR in water (EECs). DWLOC values are not for surface water and 0.006 ppb for 62961, November 26, 1997). regulatory standards for drinking water. ground water. DWLOCs are theoretical upper limits on D. Safety Factor for Infants and 3. From non-dietary exposure. The a pesticide’s concentration in drinking Children term ‘‘residential exposure’’ is used in water in light of total aggregate exposure this document to refer to non- 1. Safety factor for infants and to a pesticide in food and residential occupational, non-dietary exposure children—i. In general. FFDCA section uses. In calculating a DWLOC, the (e.g., for lawn and garden pest control, 408 provides that EPA shall apply an Agency determines how much of the indoor pest control, termiticides, and additional tenfold margin of safety for acceptable exposure (i.e., the PAD) is flea and tick control on pets). infants and children in the case of available for exposure through drinking Pyriproxyfen is currently registered threshold effects to account for prenatal water e.g., allowable chronic water for use on residential non-dietary sites. and postnatal toxicity and the exposure (mg/kg/day) = cPAD - (average Pyriproxyfen is the active ingredient in completeness of the data base on food + residential exposure). This many registered residential (indoor, toxicity and exposure unless EPA allowable exposure through drinking nonfood) products for flea and tick determines that a different margin of water is used to calculate a DWLOC. control. Formulations include foggers, safety will be safe for infants and A DWLOC will vary depending on the aerosol sprays, emulsifiable children. Margins of safety are toxic endpoint, drinking water concentrates and impregnated materials incorporated into EPA risk assessments consumption, and body weights. Default (pet collars). Pyriproxyfen residues from either directly through use of a margin body weights and consumption values residential exposure to pet collars was of exposure (MOE) analysis or through as used by the USEPA Office of Water estimated using the following using uncertainty (safety) factors in are used to calculate DWLOCs: 2L/70 kg assumptions: an application rate of 0.58 calculating a dose level that poses no (adult male), 2L/60 kg (adult female), mg ai/day (product label), average body appreciable risk to humans. and 1L/10 kg (child). Default body weight for a 1 to 6–year old child of 10 ii. Prenatal and postnatal sensitivity. weights and drinking water kg, the active ingredient dissipates There is no indication of increased consumption values vary on an uniformly through 365 days (the label susceptibility of rats or rabbit fetuses to individual basis. This variation will be instructs to change the collar once a in utero and/or postnatal exposure in taken into account in more refined year), and 1% of the active ingredient is the developmental and reproductive screening-level and quantitative available for dermal and inhalation toxicity studies. drinking water exposure assessments. exposure per day (assumption from iii. Conclusion. There is a complete Different populations will have different Draft HED Standard Operating toxicity data base for pyriproxyfen and DWLOCs. Generally, a DWLOC is Procedures (SOPs) for Residential exposure data are complete or are calculated for each type of risk Exposure Assessments, December 18, estimated based on data that reasonably assessment used: Acute, short-term, 1997). The assessment also assumes an accounts for potential exposures. EPA intermediate-term, chronic, and cancer. absorption rate of 100%. This is a determined that the 10X safety factor to When EECs for surface water and conservative assumption since the protect infants and children should be ground water are less than the dermal absorption was estimated to be removed (reduced to 1X). The FQPA calculated DWLOCs, OPP concludes 10%. factor is removed because: (1) The with reasonable certainty that exposures 4. Cumulative exposure to substances toxicology data base is complete; (2) to the pesticide in drinking water (when with a common mechanism of toxicity. there is no indication of increased considered along with other sources of Section 408(b)(2)(D)(v) requires that, susceptibility of rats or rabbit fetuses to exposure for which OPP has reliable when considering whether to establish, in utero and/or postnatal exposure in data) would not result in unacceptable modify, or revoke a tolerance, the the developmental and reproductive levels of aggregate human health risk at Agency consider ‘‘available toxicity studies; (3) a developmental this time. Because OPP considers the information’’ concerning the cumulative neurotoxicity study is not required; (4) aggregate risk resulting from multiple effects of a particular pesticide’s dietary (food) exposure estimates are exposure pathways associated with a residues and ‘‘other substances that unrefined (assuming tolerance level pesticide’s uses, levels of comparison in have a common mechanism of toxicity.’’ residues and 100% crop treated) and drinking water may vary as those uses EPA does not have, at this time, likely result in an overestimate of the change. If new uses are added in the available data to determine whether actual dietary exposure; (5) the models future, OPP will reassess the potential pyriproxyfen has a common mechanism are used for ground and surface source impacts of residues of the pesticide in of toxicity with other substances or how drinking water exposure assessments drinking water as a part of the aggregate to include this pesticide in a cumulative result in estimates that are upper-bound risk assessment process. risk assessment. Unlike other pesticides concentrations; and (6) the Draft 1. Acute risk. An acute dietary dose for which EPA has followed a Standard Operating Procedures for and endpoint was not identified. Thus cumulative risk approach based on a Residential Exposure Assessments have the risk from acute aggregate exposure is common mechanism of toxicity, been used as the basis for all considered to be negligible. pyriproxyfen does not appear to calculations which normally rely on one 2. Chronic risk. Using the exposure produce a toxic metabolite produced by or more upper-percentile assumptions assumptions described in this unit for other substances. For the purposes of and are considered to be protective. chronic exposure, EPA has concluded this tolerance action, therefore, EPA has that exposure to pyriproxyfen from food not assumed that pyriproxyfen has a E. Aggregate Risks and Determination of will utilize 0.9% of the cPAD for the common mechanism of toxicity with Safety U.S. population, 1.6 % of the cPAD for other substances. For information To estimate total aggregate exposure all infants (< year) and 2.6% of the regarding EPA’s efforts to determine to a pesticide from food, drinking water, cPAD for children (1-6 years). With the which chemicals have a common and residential uses, the Agency exception of the pet collar uses, mechanism of toxicity and to evaluate calculates DWLOCs which are used as a residential uses of pyriproxyfen result the cumulative effects of such point of comparison against the model in short-term, intermittent exposures. chemicals, see the final rule for estimates of a pesticide’s concentration Chronic residential postapplication risk
VerDate 11
assessments were conducted to estimate exceed EPA level of concern (MOEs> water, EPA does not expect the the potential risk from the pet collar 100). In addition, there is potential for aggregate exposure to exceed 100% of uses. The estimated chronic term MOE chronic dietary exposure to the cPAD, as shown in the following is 61,000 for children and 430,000 for pyriproxyfen in drinking water. After Table 3: adults. The risk estimates indicate that calculating DWLOCs and comparing potential risks from pet collar use do not them to the EECs for surface and ground
TABLE 3.—AGGREGATE RISK ASSESSMENT FOR CHRONIC (NON-CANCER) EXPOSURE TO PYRIPROXYFEN
Surface Water Ground Water Chronic DWLOC Population Subgroup cPAD mg/kg/day %cPAD (Food) EEC (ppb) EEC (ppb) (ppb)
U.S. Population 0.35 0.9% 0.11 0.006 12,000
All Infants (<1 year) 0.35 1.6% 0.11 0.006 3,400
Children (1-6 years) 0.35 2.6% 0.11 0.006 3,400
Females (13-50 years) 0.35 0.7% 0.11 0.006 10,000
3. Short-term risk. Short-term 305–5229; e-mail address: number OPP–301131 in the subject line aggregate exposure takes into account [email protected]. on the first page of your submission. All residential exposure plus chronic requests must be in writing, and must be B. International Residue Limits exposure to food and water (considered mailed or delivered to the Hearing Clerk to be a background exposure level). There are no CODEX, Canadian, or on or before August 6, 2001. Though residential exposure could Mexican tolerances for pyriproxyfen 1. Filing the request. Your objection occur with the use of pyriproxyfen, no residues in/on pistachios. Therefore, must specify the specific provisions in toxicological effects have been international harmonization is not an the regulation that you object to, and the identified for short-term toxicity. issue at this time. grounds for the objections (40 CFR 178.25). If a hearing is requested, the Therefore, the aggregate risk is the sum V. Conclusion of the risk from food and water, which objections must include a statement of do not exceed the Agency’s level of Therefore, the tolerance is established the factual issues(s) on which a hearing concern. for residues of pyriproxyfen in or on is requested, the requestor’s contentions 4. Aggregate cancer risk for U.S. pistachio at 0.02 ppm. on such issues, and a summary of any population. Pyriproxyfen is classified as VI. Objections and Hearing Requests evidence relied upon by the objector (40 Group E for human carcinogenicity; not CFR 178.27). Information submitted in carcinogenic in animal studies in two Under section 408(g) of the FFDCA, as connection with an objection or hearing species. amended by the FQPA, any person may request may be claimed confidential by file an objection to any aspect of this 5. Determination of safety. Based on marking any part or all of that regulation and may also request a these risk assessments, EPA concludes information as CBI. Information so hearing on those objections. The EPA that there is a reasonable certainty that marked will not be disclosed except in procedural regulations which govern the no harm will result to the general accordance with procedures set forth in submission of objections and requests population, and to infants and children 40 CFR part 2. A copy of the for hearings appear in 40 CFR part 178. from aggregate exposure to pyriproxyfen information that does not contain CBI Although the procedures in those residues. must be submitted for inclusion in the regulations require some modification to public record. Information not marked IV. Other Considerations reflect the amendments made to the confidential may be disclosed publicly FFDCA by the FQPA of 1996, EPA will A. Analytical Enforcement Methodology by EPA without prior notice. continue to use those procedures, with Mail your written request to: Office of The gas-chromotography/nitrogen- appropriate adjustments, until the the Hearing Clerk (1900), Environmental phosphorous specific flame ionization necessary modifications can be made. Protection Agency, 1200 Pennsylvania detector (NPD) and high-pressure liquid The new section 408(g) provides Ave., NW., Washington, DC 20460. You chromotography/fluorescence (FLD) essentially the same process for persons may also deliver your request to the method RM-33N-2 is adequate for to ‘‘object’’ to a regulation for an Office of the Hearing Clerk in Rm. C400, collecting data on residues of exemption from the requirement of a Waterside Mall, 401 M St., SW., pyriproxyfen in/on nutmeat. Adequate tolerance issued by EPA under new Washington, DC 20460. The Office of method validation data have been section 408(d), as was provided in the the Hearing Clerk is open from 8 a.m. submitted for this method and EPA has old FFDCA sections 408 and 409. to 4 p.m., Monday through Friday, successfully validated the analytical However, the period for filing objections excluding legal holidays. The telephone method for analysis of nutmeat. The is now 60 days, rather than 30 days. number for the Office of the Hearing limit of quantitation (LOQ) is 0.02 ppm Clerk is (202) 260–4865. for residues of pyriproxyfen in/on A. What Do I Need to Do to File an 2. Tolerance fee payment. If you file nutmeat. Objection or Request a Hearing? an objection or request a hearing, you The method may be requested from: You must file your objection or must also pay the fee prescribed by 40 Calvin Furlow, PIRIB, IRSD (7502C), request a hearing on this regulation in CFR 180.33(i) or request a waiver of that Office of Pesticide Programs, accordance with the instructions fee pursuant to 40 CFR 180.33(m). You Environmental Protection Agency, 1200 provided in this unit and in 40 CFR part must mail the fee to: EPA Headquarters Pennsylvania Ave., NW., Washington, 178. To ensure proper receipt by EPA, Accounting Operations Branch, Office DC 20460; telephone number: (703) you must identify docket control of Pesticide Programs, P.O. Box
VerDate 11
360277M, Pittsburgh, PA 15251. Please contrary; and resolution of the factual ‘‘substantial direct effects on the States, identify the fee submission by labeling issues(s) in the manner sought by the on the relationship between the national it ‘‘Tolerance Petition Fees.’’ requestor would be adequate to justify government and the States, or on the EPA is authorized to waive any fee the action requested (40 CFR 178.32). distribution of power and requirement ‘‘when in the judgement of responsibilities among the various the Administrator such a waiver or VII. Regulatory Assessment Requirements levels of government.’’ This final rule refund is equitable and not contrary to directly regulates growers, food This final rule establishes a tolerance the purpose of this subsection.’’ For processors, food handlers and food under FFDCA section 408(d) in additional information regarding the retailers, not States. This action does not waiver of these fees, you may contact response to a petition submitted to the alter the relationships or distribution of James Tompkins by phone at (703) 305– Agency. The Office of Management and power and responsibilities established 5697, by e-mail at Budget (OMB) has exempted these types [email protected], or by mailing a of actions from review under Executive by Congress in the preemption request for information to Mr. Tompkins Order 12866, entitled Regulatory provisions of FFDCA section 408(n)(4). at Registration Division (7505C), Office Planning and Review (58 FR 51735, For these same reasons, the Agency has of Pesticide Programs, Environmental October 4, 1993). This final rule does determined that this rule does not have Protection Agency, 1200 Pennsylvania not contain any information collections any ‘‘tribal implications’’ as described Ave., NW., Washington, DC 20460. subject to OMB approval under the in Executive Order 13175, entitled If you would like to request a waiver Paperwork Reduction Act (PRA), 44 Consultation and Coordination with of the tolerance objection fees, you must U.S.C. 3501 et seq., or impose any Indian Tribal Governments (65 FR mail your request for such a waiver to: enforceable duty or contain any 67249, November 6, 2000). Executive James Hollins, Information Resources unfunded mandate as described under Order 13175, requires EPA to develop and Services Division (7502C), Office of Title II of the Unfunded Mandates an accountable process to ensure Pesticide Programs, Environmental Reform Act of 1995 (UMRA) (Public ‘‘meaningful and timely input by tribal Protection Agency, 1200 Pennsylvania Law 104–4). Nor does it require special officials in the development of Ave., NW., Washington, DC 20460. considerations as required by Executive regulatory policies that have tribal 3. Copies for the Docket. In addition Order 12898, entitled Federal Actions to implications.’’ ‘‘Policies that have tribal to filing an objection or hearing request Address Environmental Justice in implications’’ is defined in the with the Hearing Clerk as described in Minority Populations and Low-Income Executive Order to include regulations Unit VI.A., you should also send a copy Populations (59 FR 7629, February 16, that have ‘‘substantial direct effects on of your request to the PIRIB for its 1994); or require OMB review or any one or more Indian tribes, on the inclusion in the official record that is Agency action under Executive Order relationship between the Federal described in Unit I.B.2. Mail your 13045, entitled Protection of Children government and the Indian tribes, or on copies, identified by docket control from Environmental Health Risks and the distribution of power and number OPP–301131, to: Public Safety Risks (62 FR 19885, April 23, responsibilities between the Federal Information and Records Integrity 1997). This action does not involve any Branch, Information Resources and technical standards that would require government and Indian tribes.’’ This Services Division (7502C), Office of Agency consideration of voluntary rule will not have substantial direct Pesticide Programs, Environmental consensus standards pursuant to section effects on tribal governments, on the Protection Agency, 1200 Pennsylvania 12(d) of the National Technology relationship between the Federal Ave., NW., Washington, DC 20460. In Transfer and Advancement Act of 1995 government and Indian tribes, or on the person or by courier, bring a copy to the (NTTAA), Public Law 104–113, section distribution of power and location of the PIRIB described in Unit 12(d) (15 U.S.C. 272 note). Since responsibilities between the Federal I.B.2. You may also send an electronic tolerances and exemptions that are government and Indian tribes, as copy of your request via e-mail to: opp- established on the basis of a petition specified in Executive Order 13175. [email protected]. Please use an ASCII under FFDCA section 408(d), such as Thus, Executive Order 13175 does not file format and avoid the use of special the tolerance in this final rule, do not apply to this rule. characters and any form of encryption. require the issuance of a proposed rule, VIII. Submission to Congress and the Copies of electronic objections and the requirements of the Regulatory hearing requests will also be accepted Flexibility Act (RFA) (5 U.S.C. 601 et Comptroller General on disks in WordPerfect 6.1/8.0 or seq.) do not apply. In addition, the The Congressional Review Act, 5 ASCII file format. Do not include any Agency has determined that this action U.S.C. 801 et seq., as added by the Small CBI in your electronic copy. You may will not have a substantial direct effect Business Regulatory Enforcement on States, on the relationship between also submit an electronic copy of your Fairness Act of 1996, generally provides the national government and the States, request at many Federal Depository that before a rule may take effect, the Libraries. or on the distribution of power and responsibilities among the various agency promulgating the rule must B. When Will the Agency Grant a levels of government, as specified in submit a rule report, which includes a Request for a Hearing? Executive Order 13132, entitled copy of the rule, to each House of the A request for a hearing will be granted Federalism(64 FR 43255, August 10, Congress and to the Comptroller General if the Administrator determines that the 1999). Executive Order 13132 requires of the United States. EPA will submit a material submitted shows the following: EPA to develop an accountable process report containing this rule and other There is a genuine and substantial issue to ensure ‘‘meaningful and timely input required information to the U.S. Senate, of fact; there is a reasonable possibility by State and local officials in the the U.S. House of Representatives, and that available evidence identified by the development of regulatory policies that the Comptroller General of the United requestor would, if established resolve have federalism implications.’’ ‘‘Policies States prior to publication of this final one or more of such issues in favor of that have federalism implications’’ is rule in the Federal Register. This final the requestor, taking into account defined in the Executive Order to rule is not a ‘‘major rule’’ as defined by uncontested claims or facts to the include regulations that have 5 U.S.C. 804(2).
VerDate 11
List of Subjects in 40 CFR Part 180 Dated: May 17, 2001. 2. Section 180.510 is amended by James Jones, revising the introductory text in Environmental protection, paragraph (a)(1) and alphabetically Administrative practice and procedure, Director, Registration Division, Office of adding the commodity ‘‘pistachio’’ to Agricultural commodities, Pesticides Pesticide Programs. the table to read as follows: and pests, Reporting and recordkeeping Therefore, 40 CFR chapter I is requirements. amended as follows: § 180.510 Pyriproxyfen; tolerances for residues. PART 180—[AMENDED] (a) General. (1) Tolerances are 1. The authority citation for part 180 established for residues of the continues to read as follows: insecticide pyriproxyfen 2-[1-methyl-2- Authority: 21 U.S.C. 321(q), 346(a) and (4-phenoxyphenoxy)ethoxypyridine in 371. or on the following food commodities:
Commodity Parts per million
***** Pistachio ...... 0.02 ** ***
* * * * * number OPP–301133, must be received be affected. The North American [FR Doc. 01–14085 Filed 6–4–01; 8:45 am] by EPA on or before August 6, 2001. Industrial Classification System ADDRESSES (NAICS) codes have been provided to BILLING CODE 6560–50–S : Written objections and hearing requests may be submitted by assist you and others in determining mail, in person, or by courier. Please whether or not this action might apply ENVIRONMENTAL PROTECTION follow the detailed instructions for each to certain entities. If you have questions AGENCY method as provided in Unit VI. of the regarding the applicability of this action SUPPLEMENTARY INFORMATION. To ensure to a particular entity, consult the person 40 CFR Part 180 proper receipt by EPA, your objections listed under FOR FURTHER INFORMATION and hearing requests must identify CONTACT. [OPP–301133; FRL–6783–5] docket control number OPP–301133 in B. How Can I Get Additional the subject line on the first page of your Information, Including Copies of this RIN 2070–AB78 response. Document and Other Related FOR FURTHER INFORMATION CONTACT: By Documents? Clethodim; Pesticide Tolerance mail: Shaja R. Brothers, Registration 1. Electronically. You may obtain Division (7505C), Office of Pesticide AGENCY: Environmental Protection electronic copies of this document, and Programs, Environmental Protection Agency (EPA). certain other related documents that Agency, 1200 Pennsylvania Ave., NW., ACTION: might be available electronically, from Final rule. Washington, DC 20460; telephone the EPA Internet Home Page at http:// number: (703) 308–3194; and e-mail SUMMARY: This regulation establishes a www.epa.gov/. To access this address: [email protected]. tolerance for combined residues of document, on the Home Page select clethodim in or on the root vegetable SUPPLEMENTARY INFORMATION: ‘‘Laws and Regulations,’’ ‘‘Regulations (except sugar beet) subgroup. The I. General Information and Proposed Rules,’’ and then look up Interregional Research Project Number 4 the entry for this document under the (IR-4) requested this tolerance under the A. Does this Action Apply to Me? ‘‘Federal Register—Environmental Federal Food, Drug, and Cosmetic Act You may be affected by this action if Documents.’’ You can also go directly to (FFDCA), as amended by the Food you are an agricultural producer, food theFederal Register listings at http:// Quality Protection Act (FQPA) of 1996. manufacturer, or pesticide www.epa.gov/fedrgstr/. A frequently This final rule establishes permanent manufacturer. Potentially affected updated electronic version of 40 CFR tolerances for clethodim and as part of categories and entities may include, but part 180 is available at http:// that process the Agency has reassessed are not limited to: www.access.gpo.gov/nara/cfr/ existing tolerances. By law, EPA is cfrhtml_00/Title_40/40cfr180_00.html, a required to reassess 66% of the Examples of poten- beta site currently under development. tolerances in existence on August 2, NAICS Categories codes tially affected enti- 2. In person. The Agency has 1996, by August 2002, or about 6,400 ties established an official record for this tolerances. All permanent tolerances for action under docket control number clethodim that existed on August 2, Industry 111 Crop production 112 Animal production OPP–301133. The official record 1996, were previously reassessed by 311 Food manufacturing consists of the documents specifically April 1998. Consequently, regarding the 32532 Pesticide manufac- referenced in this action, and other actions in this final rule, no tolerance turing information related to this action, reassessments are counted toward the including any information claimed as August 2002 review deadline of FFDCA This listing is not intended to be Confidential Business Information (CBI). section 408(q). exhaustive, but rather provides a guide This official record includes the DATES: This regulation is effective June for readers regarding entities likely to be documents that are physically located in 5, 2001. Objections and requests for affected by this action. Other types of the docket, as well as the documents hearings, identified by docket control entities not listed in the table could also that are referenced in those documents.
VerDate 11
The public version of the official record for carrot and radish roots, which are the relationship of the results of the does not include any information members of the root vegetable (except studies to human risk. EPA has also claimed as CBI. The public version of sugar beet) subgroup, in the final rule of considered available information the official record, which includes March 14, 2001, but not the subgroup concerning the variability of the printed, paper versions of any electronic since EPA had not completed its sensitivities of major identifiable comments submitted during an evaluation of the residue data submitted subgroups of consumers, including applicable comment period is available in support of the subgroup tolerance. infants and children. The nature of the for inspection in the Public Information EPA has now completed the review of toxic effects caused by clethodim are and Records Integrity Branch (PIRIB), the residue data and has concluded that discussed in Unit III.A. of the Federal Rm. 119, Crystal Mall #2, 1921 Jefferson the data support a tolerance for Register of March 14, 2001. Davis Hwy., Arlington, VA, from 8:30 combined residues of clethodim and its B. Toxicological Endpoints a.m. to 4 p.m., Monday through Friday, metabolites in or on the root vegetable excluding legal holidays. The PIRIB (except sugar beet) subgroup at 1.0 ppm. The dose at which no adverse effects telephone number is (703) 305–5805. Section 408(b)(2)(A)(i) of the FFDCA are observed (the NOAEL) from the allows EPA to establish a tolerance (the toxicology study identified as II. Background and Statutory Findings legal limit for a pesticide chemical appropriate for use in risk assessment is In the Federal Register of March 29, residue in or on a food) only if EPA used to estimate the toxicological level 2000 (65 FR 16602) (FRL–6495–5), EPA determines that the tolerance is ‘‘safe.’’ of concern (LOC). However, the lowest issued notice pursuant to section 408 of Section 408(b)(2)(A)(ii) defines ‘‘safe’’ to dose at which adverse effects of concern the Federal Food, Drug, and Cosmetic mean that ‘‘there is a reasonable are identified (the LOAEL) is sometimes Act (FFDCA), 21 U.S.C. 346a as certainty that no harm will result from used for risk assessment if no NOAEL amended by the Food Quality Protection aggregate exposure to the pesticide was achieved in the toxicology study Act of 1996 (FQPA) (Public Law 104– chemical residue, including all selected. An uncertainty factor (UF) is 170) announcing the filing of pesticide anticipated dietary exposures and all applied to reflect uncertainties inherent petition (PP 0E6097) for tolerances by other exposures for which there is in the extrapolation from laboratory IR-4, Rutgers, the State University of reliable information.’’ This includes animal data to humans and in the New Jersey, 681 U.S. Highway No. 1 exposure through drinking water and in variations in sensitivity among members South, North New Brunswick, NJ 08902 residential settings, but does not include of the human population as well as and Valent USA Corporation, Walnut occupational exposure. Section other unknowns. An UF of 100 is Creek, CA 94596–8025. This notice 408(b)(2)(C) requires EPA to give special routinely used, 10X to account for included a summary of the petition consideration to exposure of infants and interspecies differences and 10X for prepared by Valent USA Corporation, children to the pesticide chemical intraspecies differences. the registrant. residue in establishing a tolerance and For dietary risk assessment (other The petition requested that 40 CFR to ‘‘ensure that there is a reasonable than cancer) the Agency uses the UF to 180.458 be amended by establishing certainty that no harm will result to calculate an acute or chronic reference tolerances for combined residues of the infants and children from aggregate dose (acute RfD or chronic RfD) where ± herbicide clethodim, [(E)-( )-2-[1-[[(3- exposure to the pesticide chemical the RfD is equal to the NOAEL divided chloro-2-propenyl)oxy]imino]propyl]-5- residue. . . .’’ by the appropriate UF (RfD = NOAEL/ [2-(ethylthio)propyl]-3-hydroxy-2- EPA performs a number of analyses to UF). Where an additional safety factor is cyclohexen-1-one] and its metabolites determine the risks from aggregate retained due to concerns unique to the containing the 5-(2- exposure to pesticide residues. For FQPA, this additional factor is applied (ethylthiopropyl)cyclohexene-3-one and further discussion of the regulatory to the RfD by dividing the RfD by such 5-(2-(ethylthiopropyl)-5- requirements of section 408 and a additional factor. The acute or chronic hydroxycyclohexene-3-one moieties and complete description of the risk Population Adjusted Dose (aPAD or their sulphoxides and sulphones, on assessment process, see the final rule on cPAD) is a modification of the RfD to various commodities with the following Bifenthrin Pesticide Tolerances (62 FR accommodate this type of FQPA Safety tolerance levels at parts per million 62961, November 26, 1997) (FRL–5754– Factor. (ppm): root vegetables subgroup at 1.0 7). For non-dietary risk assessments ppm, leaves of root and tuber vegetables (other than cancer) the UF is used to group at 2.0 ppm, leafy petiole III. Aggregate Risk Assessment and determine the LOC. For example, when vegetables subgroup at 0.5 ppm, melon Determination of Safety 100 is the appropriate UF (10X to subgroup at 2.0 ppm, squash/cucumber Consistent with section 408(b)(2)(D), account for interspecies differences and subgroup at 0.5 ppm, cranberry at 0.5 EPA has reviewed the available 10X for intraspecies differences) the ppm, clover forage at 10 ppm, clover scientific data and other relevant LOC is 100. To estimate risk, a ratio of hay at 20.0 ppm, and strawberry at 5.0 information in support of this action. the NOAEL to exposures (margin of ppm. In response to IR-4’s petition, EPA EPA has sufficient data to assess the exposure (MOE) = NOAEL/exposure) is issued a final rule in the Federal hazards of and to make a determination calculated and compared to the LOC. Register of March 14, 2001 (66 FR on aggregate exposure, consistent with The linear default risk methodology 14829) (FRL–6770–8) establishing section 408(b)(2), for a tolerance for (Q*) is the primary method currently tolerances for combined residues of combined residues of clethodim on the used by the Agency to quantify clethodim and its metabolites in or on root vegetable (except sugar beet) carcinogenic risk. The Q* approach carrots at 0.50 ppm, radish roots at 0.50 subgroup at 1.0 ppm. EPA’s assessment assumes that any amount of exposure ppm, radish tops at 0.70 ppm, leaf of exposures and risks associated with will lead to some degree of cancer risk. petioles subgroup at 0.60 ppm, melon establishing this tolerance follows. A Q* is calculated and used to estimate subgroup at 2.0 ppm, squash/cucumber risk which represents a probability of subgroup at 0.50 ppm, cranberry at 0.5 A. Toxicological Profile occurrence of additional cancer cases ppm, strawberry at 3.0 ppm, clover EPA has evaluated the available (e.g., risk is expressed as 1 x 10-6 or one forage at 10.0 ppm, and clover hay at toxicity data and considered its validity, in a million). Under certain specific 20.0 ppm. Tolerances were established completeness, and reliability as well as circumstances, MOE calculations will
VerDate 11
be used for the carcinogenic risk endpoint related to cancer effects calculated. A summary of the assessment. In this non-linear approach, though it may be a different value toxicological endpoints for clethodim a ‘‘point of departure’’ is identified derived from the dose response curve. used for human risk assessment is below which carcinogenic effects are To estimate risk, a ratio of the point of shown in the following Table 1: not expected. The point of departure is departure to exposure (MOE cancer = typically a NOAEL based on an point of departure/exposures) is
TABLE 1.—SUMMARY OF TOXICOLOGICAL DOSE AND ENDPOINTS FOR CLETHODIM FOR USE IN HUMAN RISK ASSESSMENT
FQPA SF* and Levelof Exposure Scenario Dose Used in Risk Assess- Concern (LOC) for Risk As- Study and Toxicological Effects ment, UF sessment
Acute dietary all populations N/A N/A None selected. There were no effects observed in oral toxicity studies including developmental toxicity stud- ies in rats and rabbits that could be attrib- utable to a single dose (exposure). There- fore, a dose and endpoint were not selected for this risk assessment.
Chronic dietary all populations NOAEL= 1.0 mg/kg/day FQPA SF = 1 Chronic toxicity-dog (1 year). UF = 100 cPAD =chronic RfD Alterations in hematology and clinical chemistry Chronic RfD = 0.01 mg/kg/ FQPA SF = 0.01 mg/kg/day parameters and increased absolute and rel- day ative liver weights observed at the LOAEL of 75 mg/kg/day.
Short-term dermal (1 to 7 days) Oral study maternal LOC for MOE = 100 Developmental toxicity-rat. (residental) NOAEL= 100 mg/kg/day (residential) LOAEL = 350 mg/kg/day based on decreased (dermal absorption rate = body weight gain and clinical signs of toxicity 30%) (salivation).
Intermediate-term dermal (1 Oral study NOAEL = LOC for MOE = 100 Subchronic toxicity-dog (90 days). week to several months) 25 mg/kg/day (residential) LOAEL = 75 mg/kg/day based on increased (residential) (dermal absorption rate = absolute and relative liver weights. 30%)
Long-term dermal (several Oral study NOAEL = 1.0 LOC for MOE =100 Chronic toxicity-dog (1 year). months to lifetime) mg/kg/day (residential) LOAEL = 75 mg/kg/day based on alterations in (residential) (dermal absorption rate = hematology and clinical chemistry param- 30%) eters as well as increases in absolute and relative liver weights.
Short-term inhalation (1 to 7 Oral study maternal LOC for MOE =100 Developmental-rat. days) NOAEL= 100 mg/kg/day (residential) LOAEL = 350 mg/kg/day based on decreased (residential) (inhalation absorption rate body weight gain and clinical signs of toxicity = 100%) (salivation).
Intermediate-term inhalation (1 Oral study NOAEL = 25 LOC for MOE = 100 Subchronic toxicity-dog (90 days). week to several months) mg/kg/day (residential) LOAEL = 75 mg/kg/day based on increased (residential) (inhalation absorption rate absolute and relative liver weights. = 100%)
Long-term inhalation (several Oral study NOAEL = LOC for MOE = 100 Chronic toxicity-dog (1 year). months to lifetime) 1.0 mg/kg/day (residential) LOAEL = 75 mg/kg/day based on alterations in (residential) (dermal absorption rate = hematology and clinical chemistry param- 30%) eters as well as increases in absolute and relative liver weights.
Cancer (oral, dermal, inhalation) N/A N/A Clethodim is classified as a ‘‘Not Likely’’ car- cinogen. * The reference to the FQPA Safety Factor refers to any additional safety factor retained due to concerns unique to the FQPA.
C. Exposure Assessment the related tuberous and corm vegetable or single exposure. An endpoint was not subgroup at 1.0 ppm. Risk assessments identified for acute dietary exposure 1. Dietary exposure from food and were conducted by EPA to assess and risk assessment because no effects feed uses. Tolerances have been dietary exposures from clethodim in were observed in oral toxicity studies established (40 CFR 180.458) for the food as follows: including developmental toxicity residues of clethodim in or on a variety i. Acute exposure. Acute dietary risk studies in rats or rabbits that could be of food commodities: including the assessments are performed for a food- attributable to a single dose (exposure). representative commodities of the root use pesticide if a toxicological study has Therefore, an acute dietary exposure vegetable (except sugar beet) subgroup indicated the possibility of an effect of assessment was not performed. (carrots and radish roots at 0.5 ppm) and concern occurring as a result of a 1 day
VerDate 11
ii. Chronic exposure. In conducting weighted average of the PCT reasonably 7), they are likely to remain in the this chronic dietary risk assessment the represents a person’s dietary exposure aqueous phase, where they are subject Dietary Exposure Evaluation Model over a lifetime, and is unlikely to to rapid photolysis and biodegradation. (DEEM) analysis evaluated the underestimate exposure to an individual Clethodim does not show a significant individual food consumption as because of the fact that pesticide use potential for bio-accumulation in reported by respondents in the USDA patterns (both regionally and nationally) aquatic organisms. Although they have [1989–1992] nationwide Continuing tend to change continuously over time, not been individually tested, the Surveys of Food Intake by Individuals such that an individual is unlikely to be primary degradates are highly polar, and (CSFII) and accumulated exposure to exposed to more than the average PCT would not be expected to bio- the chemical for each commodity. The over a lifetime. For acute dietary accumulate. following assumptions were made for exposure estimates, EPA uses an The Agency lacks sufficient the chronic exposure assessments: The estimated maximum PCT. The exposure monitoring exposure data to complete a 3–day average of consumption for each estimates resulting from this approach comprehensive dietary exposure sub-population is combined with reasonably represent the highest levels analysis and risk assessment for residues to determine average exposure to which an individual could be clethodim in drinking water. Because as milligram/kilogram/day (mg/kg/day). exposed, and are unlikely to the Agency does not have The chronic analysis was performed underestimate an individual’s acute comprehensive monitoring data, using tolerance level residues for all dietary exposure. The Agency is drinking water concentration estimates crops and animal commodities. The reasonably certain that the percentage of are made by reliance on simulation or weighted average percent of crop treated the food treated is not likely to be an modeling taking into account data on data for existing registrations, and 100 underestimation. As to Conditions 2 and the physical characteristics of percent crop treated (PCT) data (for new 3, regional consumption information clethodim. uses) were used for the analyses. and consumption information for The Agency uses the Generic iii. Cancer. Clethodim has been significant subpopulations is taken into Estimated Environmental Concentration classified as a group E carcinogen. account through EPA’s computer-based (GENEEC) or the Pesticide Root Zone/ Therefore, a cancer risk assessment was model for evaluating the exposure of Exposure Analysis Modeling System not performed. significant subpopulations including (PRZM/EXAMS) to estimate pesticide iv. Anticipated residue and PCT several regional groups. Use of this concentrations in surface water and information. Section 408(b)(2)(F) states consumption information in EPA’s risk Screening Concentrations in Ground that the Agency may use data on the assessment process ensures that EPA’s Water (SCI-GROW), which predicts actual percent of food treated for exposure estimate does not understate pesticide concentrations in ground assessing chronic dietary risk only if the exposure for any significant water. In general, EPA will use GENEEC Agency can make the following subpopulation group and allows the (a tier 1 model) before using PRZM/ findings: Condition 1, that the data used Agency to be reasonably certain that no EXAMS (a tier 2 model) for a screening- are reliable and provide a valid basis to regional population is exposed to level assessment for surface water. The show what percentage of the food residue levels higher than those GENEEC model is a subset of the PRZM/ derived from such crop is likely to estimated by the Agency. Other than the EXAMS model that uses a specific high- contain such pesticide residue; data available through national food end runoff scenario for pesticides. Condition 2, that the exposure estimate consumption surveys, EPA does not GENEEC incorporates a farm pond does not underestimate exposure for any have available information on the scenario, while PRZM/EXAMS significant subpopulation group; and regional consumption of food to which incorporate an index reservoir Condition 3, if data are available on clethodim may be applied in a environment in place of the previous pesticide use and food consumption in particular area. pond scenario. The PRZM/EXAMS a particular area, the exposure estimate 2. Dietary exposure from drinking model includes a percent crop area does not understate exposure for the water. Known environmental factor as an adjustment to account for population in such area. In addition, the characteristics of clethodim depict a the maximum percent crop coverage Agency must provide for periodic compound which is stable to hydrolysis, within a watershed or drainage basin. evaluation of any estimates used. To except in acid conditions, but highly None of these models include provide for the periodic evaluation of susceptible to photolysis and consideration of the impact processing the estimate of PCT as required by metabolism. (mixing, dilution, or treatment) of raw section 408(b)(2)(F), EPA may require Parent clethodim is mobile, but has a water for distribution as drinking water registrants to submit data on PCT. short metabolic half-life of 1–3 days in would likely have on the removal of The Agency used PCT information as soil under aerobic conditions. pesticides from the source water. The follows: Therefore, parent compound should not primary use of these models by the Cotton 3%, onions 8%, peanuts 3%, be a ground water concern in most Agency at this stage is to provide a soybeans 4%, sugar beets 15%, and environments. In the event that parent coarse screen for sorting out pesticides tomatoes 1%. clethodim did reach ground water, the for which it is highly unlikely that The Agency believes that the three available routes of disappearance would drinking water concentrations would conditions listed above have been met. be dilution, some metabolism to ever exceed human health levels of With respect to Condition 1, PCT persistent degradates, and slow concern. estimates are derived from Federal and hydrolysis with the rate depending on Since the models used are considered private market survey data, which are the pH of the ground water. to be screening tools in the risk reliable and have a valid basis. EPA uses The environmental fate data indicate assessment process, the Agency does a weighted average PCT for chronic that clethodim, and its sulphoxide and not use estimated environmental dietary exposure estimates. This sulphone metabolites may migrate into concentrations (EECs) from these weighted average PCT figure is derived surface water bodies through run-off models to quantify drinking water by averaging State-level data for a which occurs shortly after application exposure and risk as a %RfD or %PAD. period of up to 10 years, and weighting (e.g., rainfall). Since they are not Instead drinking water levels of for the more robust and recent data. A adsorbed readily to soil (Kds of < 0.1 to comparison (DWLOCs) are calculated
VerDate 11
and used as a point of comparison substances. For the purposes of this allowable exposure through drinking against the model estimates of a tolerance action, therefore, EPA has not water is used to calculate a DWLOC. pesticide’s concentration in water. assumed that clethodim has a common A DWLOC will vary depending on the DWLOCs are theoretical upper limits on mechanism of toxicity with other toxic endpoint, drinking water a pesticide’s concentration in drinking substances. For information regarding consumption, and body weights. Default water in light of total aggregate exposure EPA’s efforts to determine which body weights and consumption values to a pesticide in food, and from chemicals have a common mechanism as used by the USEPA Office of Water residential uses. Since DWLOCs address of toxicity and to evaluate the total aggregate exposure to clethodim, cumulative effects of such chemicals, are used to calculate DWLOCs: 2L/70 kg they are further discussed in the see the final rule for Bifenthrin Pesticide (adult male), 2L/60 kg (adult female), aggregate risk sections below. Tolerances (62 FR 62961, November 26, and 1L/10 kg (child). Default body Based on the GENEEC and SCI-GROW 1997). weights and drinking water models, the EECs of clethodim for consumption values vary on an chronic exposures are estimated to be D. Safety Factor for Infants and individual basis. This variation will be 24.2 ppb for surface water and 0.49 ppb Children taken into account in more refined for ground water. 1. Safety factor for infants and screening-level and quantitative 3. From non-dietary exposure. The children—i. In general. FFDCA section drinking water exposure assessments. term ‘‘residential exposure’’ is used in 408 provides that EPA shall apply an Different populations will have different this document to refer to non- additional tenfold margin of safety for DWLOCs. Generally, a DWLOC is occupational, non-dietary exposure infants and children in the case of calculated for each type of risk (e.g., for lawn and garden pest control, threshold effects to account for prenatal assessment used: acute, short-term, indoor pest control, termiticides, and and postnatal toxicity and the intermediate-term, chronic, and cancer. flea and tick control on pets). completeness of the data base on Clethodim is not registered for use on When EECs for surface water and toxicity and exposure unless EPA ground water are less than the any sites that would result in residential determines that a different margin of exposure. Based on clethodim labels, calculated DWLOCs, EPA concludes safety will be safe for infants and Select and Select 2EC are both available with reasonable certainty that exposures children. Margins of safety are for weed control use in residential and/ incorporated into EPA risk assessments to the pesticide in drinking water (when or public areas. However, the registrant either directly through use of a margin considered along with other sources of has indicated that the product is not for of exposure (MOE) analysis or through exposure for which EPA has reliable use by homeowners. Therefore, using uncertainty (safety) factors in data) would not result in unacceptable homeowners will not handle clethodim calculating a dose level that poses no levels of aggregate human health risk at products, and a non-occupational appreciable risk to humans. this time. Because EPA considers the handler exposure assessment is not aggregate risk resulting from multiple necessary. Following treatment by ii. Prenatal and postnatal sensitivity. The oral perinatal and prenatal data exposure pathways associated with a professional applicators, the public pesticide’s uses, levels of comparison in could potentially come into contact demonstrated no indication of increased drinking water may vary as those uses with clethodim residues in areas such as sensitivity of rats or rabbits to in utero change. If new uses are added in the patios, along driveways and around golf exposure to clethodim. courses and fence lines. However, weed 2. Conclusion. There is a complete future, EPA will reassess the potential control with clethodim in theses areas toxicity data base for clethodim and impacts of residues of the pesticide in generally consists of a spot treatment, exposure data are complete or are drinking water as a part of the aggregate resulting in a very small treated area, estimated based on data that reasonably risk assessment process. and it is unlikely that children would be account for potential exposures. Based 1. Acute risk. An endpoint for acute exposed to these treated areas. on the above, EPA determined that the dietary exposure was not identified Therefore, a non-occupational 1X safety factor to protect infants and since no effects were observed in oral postapplication exposure assessment children should be removed. toxicity studies that could be was not performed. E. Aggregate Risks and Determination of attributable to a single dose. 4. Cumulative exposure to substances Safety with a common mechanism of toxicity. 2. Chronic risk. Using the exposure Section 408(b)(2)(D)(v) requires that, To estimate total aggregate exposure assumptions described in this unit for when considering whether to establish, to a pesticide from food, drinking water, chronic exposure, EPA has concluded modify, or revoke a tolerance, the and residential uses, the Agency that exposure to clethodim from food Agency consider ‘‘available calculates DWLOCs which are used as a will utilize 29% of the cPAD for the information’’ concerning the cumulative point of comparison against the model U.S. population, 43% of the cPAD for effects of a particular pesticide’s estimates of a pesticide’s concentration all infants (< 1 year) and 60% of the residues and ‘‘other substances that in water (EECs). DWLOC values are not cPAD for children 1-6 years old. There have a common mechanism of toxicity.’’ regulatory standards for drinking water. are no residential uses for clethodim EPA does not have, at this time, DWLOCs are theoretical upper limits on that result in chronic residential available data to determine whether a pesticide’s concentration in drinking exposure to clethodim. In addition, clethodim has a common mechanism of water in light of total aggregate exposure there is potential for chronic dietary toxicity with other substances or how to to a pesticide in food and residential exposure to clethodim in drinking include this pesticide in a cumulative uses. In calculating a DWLOC, the water. After calculating DWLOCs and risk assessment. Unlike other pesticides Agency determines how much of the comparing them to the EECs for surface for which EPA has followed a acceptable exposure (i.e., the PAD) is and ground water, EPA does not expect cumulative risk approach based on a available for exposure through drinking the aggregate exposure to exceed 100% common mechanism of toxicity, water e.g., allowable chronic water of the cPAD, as shown in the following clethodim does not appear to produce a exposure (mg/kg/day) = cPAD - (average Table 2. toxic metabolite produced by other food + residential exposure). This
VerDate 11
TABLE 2.—AGGREGATE RISK ASSESSMENT FOR CHRONIC (NON-CANCER) EXPOSURE TO CLETHODIM
Surface Ground Chronic Population Subgroup cPAD (mg/ % cPAD Water EEC Water EEC DWLOC kg) (Food) (ppb) (ppb) (ppb)
U.S. population (total) 0.01 29 24.2 0.49 250
All infants (< 1 year) 0.01 43 24.2 0.49 57
Children 1-6 years 0.01 60 24.2 0.49 40
Children 7-12 years 0.01 42 24.2 0.49 58
Females 13-50 years 0.01 22 24.2 0.49 230
3. Short-term and intermediate-term available and is suitable for residue data continue to use those procedures, with risk. Short-term and intermediate-term collection and as a residue analytical appropriate adjustments, until the aggregate exposure takes into account methold to enforce tolerances. Both necessary modifications can be made. residential exposure plus chronic methods have been forwarded to FDA The new section 408(g) provides exposure to food and water (considered for inclusion in a future edition of the essentially the same process for persons to be a background exposure level). Pesticide Analytical Manual, Volume II to ‘‘object’’ to a regulation for an Clethodim is not registered for use on (PAM II). exemption from the requirement of a any sites that would result in residential The methods may be requested from: tolerance issued by EPA under new exposure. Therefore, the aggregate risk Francis Griffith, Analytical Chemistry section 408(d), as was provided in the is the sum of the risk from food and Branch, Environmental Science Center, old FFDCA sections 408 and 409. water, which do not exceed the 701 Mapes Road, Fort George G. Mead, However, the period for filing objections Agency’s level of concern. Maryland, 20755–5350; telephone is now 60 days, rather than 30 days. 4. Aggregate cancer risk for U.S. number: (410) 305–2905; e-mail address: A. What Do I Need to Do to File an population. Clethodim has been [email protected]. classified as a group E carcinogen. Objection or Request a Hearing? Therefore, clethodim is not expected to B. International Residue Limits You must file your objection or pose a cancer risk to humans. There are no established Codex request a hearing on this regulation in 5. Determination of safety. Based on maximum residue limits (MRLs) for accordance with the instructions these risk assessments, EPA concludes residues of clethodim and its provided in this unit and in 40 CFR part that there is a reasonable certainty that metabolites in/on commodity members 178. To ensure proper receipt by EPA, no harm will result to the general of the root vegetable (except sugar beet you must identify docket control population, and to infants and children subgroup); therefore, there are no number OPP–301133 in the subject line from aggregate exposure to clethodim questions with respect to Codex/U.S. on the first page of your submission. All residues. tolerance compatibility. requests must be in writing, and must be IV. Other Considerations mailed or delivered to the Hearing Clerk V. Conclusion on or before August 6, 2001. A. Analytical Enforcement Methodology Therefore, this tolerance is 1. Filing the request. Your objection Method RM-26B-2 was validated by established for combined residues of must specify the specific provisions in IR-4 for the analyses of residues of clethodim, [[(E)-(±)-2-[1-[[(3-chloro-2- the regulation that you object to, and the clethodim in/on radish and carrots. The propenyl)oxy]imino]propyl]-5-[2- grounds for the objections (40 CFR limit of quantitation (LOQ) was (ethylthio)propyl]-3-hydroxy-2- 178.25). If a hearing is requested, the determined to be 0.1 ppm for carrots cyclohexen-1-one] and its metabolites objections must include a statement of and 0.16 ppm for radish. Average containing the 5-(2- the factual issues(s) on which a hearing recoveries were within the acceptable (ethylthiopropyl)cyclohexene-3-one and is requested, the requestor’s contentions range for all fortification levels tested 5-(2-(ethylthiopropyl)-5- on such issues, and a summary of any and all commodities. The method RM- hydroxycyclohexene-3-one moieties and evidence relied upon by the objector (40 26B-2 for the determination of their sulphoxides and sulphones, in or CFR 178.27). Information submitted in clethodim and its metabolites in radish on the root vegetable (except sugar beet) connection with an objection or hearing and carrots is acceptable for data subgroup at 1.0 ppm. request may be claimed confidential by collection and meets the requirements marking any part or all of that VI. Objections and Hearing Requests for a residue analytical method to information as CBI. Information so enforce tolerances. Under section 408(g) of the FFDCA, as marked will not be disclosed except in The common moiety method RM-26B- amended by the FQPA, any person may accordance with procedures set forth in 3 for the determination of clethodim file an objection to any aspect of this 40 CFR part 2. A copy of the and its metabolites is similar to the regulation and may also request a information that does not contain CBI common moiety method RM-26B-2. The hearing on those objections. The EPA must be submitted for inclusion in the method RM-26B-2 and RM-26D-2 have procedural regulations which govern the public record. Information not marked completed an Independent Laboratory submission of objections and requests confidential may be disclosed publicly Validation (ILV) and also have for hearings appear in 40 CFR part 178. by EPA without prior notice. completed Tolerance Methods Although the procedures in those Mail your written request to: Office of Validations (TMVs) in the Agency’s regulations require some modification to the Hearing Clerk (1900), Environmental laboratory. Additionally, the compound reflect the amendments made to the Protection Agency, 1200 Pennsylvania specific method, EPA-RM-26D-2 is also FFDCA by the FQPA of 1996, EPA will Ave., NW., Washington, DC 20460. You
VerDate 11
may also deliver your request to the CBI in your electronic copy. You may Agency has determined that this action Office of the Hearing Clerk in Rm. C400, also submit an electronic copy of your will not have a substantial direct effect Waterside Mall, 401 M St., SW., request at many Federal Depository on States, on the relationship between Washington, DC 20460. The Office of Libraries. the national government and the States, the Hearing Clerk is open from 8 a.m. or on the distribution of power and B. When Will the Agency Grant a to 4 p.m., Monday through Friday, responsibilities among the various Request for a Hearing? excluding legal holidays. The telephone levels of government, as specified in number for the Office of the Hearing A request for a hearing will be granted Executive Order 13132, entitled Clerk is (202) 260–4865. if the Administrator determines that the Federalism(64 FR 43255, August 10, 2. Tolerance fee payment. If you file material submitted shows the following: 1999). Executive Order 13132 requires an objection or request a hearing, you There is a genuine and substantial issue EPA to develop an accountable process must also pay the fee prescribed by 40 of fact; there is a reasonable possibility to ensure ‘‘meaningful and timely input CFR 180.33(i) or request a waiver of that that available evidence identified by the by State and local officials in the fee pursuant to 40 CFR 180.33(m). You requestor would, if established resolve development of regulatory policies that must mail the fee to: EPA Headquarters one or more of such issues in favor of have federalism implications.’’ ‘‘Policies Accounting Operations Branch, Office the requestor, taking into account that have federalism implications’’ is of Pesticide Programs, P.O. Box uncontested claims or facts to the defined in the Executive Order to 360277M, Pittsburgh, PA 15251. Please contrary; and resolution of the factual include regulations that have identify the fee submission by labeling issues(s) in the manner sought by the ‘‘substantial direct effects on the States, it ‘‘Tolerance Petition Fees.’’ requestor would be adequate to justify on the relationship between the national EPA is authorized to waive any fee the action requested (40 CFR 178.32). government and the States, or on the requirement ‘‘when in the judgement of VII. Regulatory Assessment distribution of power and the Administrator such a waiver or Requirements responsibilities among the various refund is equitable and not contrary to levels of government.’’ This final rule the purpose of this subsection.’’ For This final rule establishes a tolerance directly regulates growers, food additional information regarding the under FFDCA section 408(d) in processors, food handlers and food waiver of these fees, you may contact response to a petition submitted to the retailers, not States. This action does not James Tompkins by phone at (703) 305– Agency. The Office of Management and alter the relationships or distribution of 5697, by e-mail at Budget (OMB) has exempted these types power and responsibilities established [email protected], or by mailing a of actions from review under Executive by Congress in the preemption request for information to Mr. Tompkins Order 12866, entitled Regulatory provisions of FFDCA section 408(n)(4). at Registration Division (7505C), Office Planning and Review (58 FR 51735, For these same reasons, the Agency has of Pesticide Programs, Environmental October 4, 1993). This final rule does determined that this rule does not have Protection Agency, 1200 Pennsylvania not contain any information collections any ‘‘tribal implications’’ as described Ave., NW., Washington, DC 20460. subject to OMB approval under the in Executive Order 13175, entitled If you would like to request a waiver Paperwork Reduction Act (PRA), 44 Consultation and Coordination with of the tolerance objection fees, you must U.S.C. 3501 et seq., or impose any Indian Tribal Governments (65 FR mail your request for such a waiver to: enforceable duty or contain any 67249, November 6, 2000). Executive James Hollins, Information Resources unfunded mandate as described under Order 13175, requires EPA to develop and Services Division (7502C), Office of Title II of the Unfunded Mandates an accountable process to ensure Pesticide Programs, Environmental Reform Act of 1995 (UMRA) (Public ‘‘meaningful and timely input by tribal Protection Agency, 1200 Pennsylvania Law 104–4). Nor does it require any officials in the development of Ave., NW., Washington, DC 20460. special considerations as required by regulatory policies that have tribal 3. Copies for the Docket. In addition Executive Order 12898, entitled Federal implications.’’ ‘‘Policies that have tribal to filing an objection or hearing request Actions to Address Environmental implications’’ is defined in the with the Hearing Clerk as described in Justice in Minority Populations and Executive Order to include regulations Unit VI.A., you should also send a copy Low-Income Populations (59 FR 7629, that have ‘‘substantial direct effects on of your request to the PIRIB for its February 16, 1994); or require OMB one or more Indian tribes, on the inclusion in the official record that is review or any Agency action under relationship between the Federal described in Unit I.B.2. Mail your Executive Order 13045, entitled government and the Indian tribes, or on copies, identified by docket control Protection of Children from the distribution of power and number OPP–301133, to: Public Environmental Health Risks and Safety responsibilities between the Federal Information and Records Integrity Risks (62 FR 19885, April 23, 1997). government and Indian tribes.’’ This Branch, Information Resources and This action does not involve any rule will not have substantial direct Services Division (7502C), Office of technical standards that would require effects on tribal governments, on the Pesticide Programs, Environmental Agency consideration of voluntary relationship between the Federal Protection Agency, 1200 Pennsylvania consensus standards pursuant to section government and Indian tribes, or on the Ave., NW., Washington, DC 20460. In 12(d) of the National Technology distribution of power and person or by courier, bring a copy to the Transfer and Advancement Act of 1995 responsibilities between the Federal location of the PIRIB described in Unit (NTTAA), Public Law 104–113, section government and Indian tribes, as I.B.2. You may also send an electronic 12(d) (15 U.S.C. 272 note). Since specified in Executive Order 13175. copy of your request via e-mail to: opp- tolerances and exemptions that are Thus, Executive Order 13175 does not [email protected]. Please use an ASCII established on the basis of a petition apply to this rule. file format and avoid the use of special under FFDCA section 408(d), such as characters and any form of encryption. the tolerance in this final rule, do not VIII. Submission to Congress and the Copies of electronic objections and require the issuance of a proposed rule, Comptroller General hearing requests will also be accepted the requirements of the Regulatory The Congressional Review Act, 5 on disks in WordPerfect 6.1/8.0 or Flexibility Act (RFA) (5 U.S.C. 601 et U.S.C. 801 et seq., as added by the Small ASCII file format. Do not include any seq.) do not apply. In addition, the Business Regulatory Enforcement
VerDate 11
Fairness Act of 1996, generally provides List of Subjects in 40 CFR Part 180 Authority: 21 U.S.C. 321(q), 346(a) and that before a rule may take effect, the Environmental protection, 371. agency promulgating the rule must Administrative practice and procedure, 2. Section 180.458 is amended by submit a rule report, which includes a Agricultural commodities, Pesticides alphabetically adding the entry copy of the rule, to each House of the and pests, Reporting and recordkeeping vegetable, root (except sugar beet) Congress and to the Comptroller General requirements. subgroup to the table in paragraph of the United States. EPA will submit a Dated: May 23, 2001. (a)(3), by revising the entry for report containing this rule and other vegetable, tuberous and corm group, and required information to the U.S. Senate, James Jones, by deleting the entries for carrot and the U.S. House of Representatives, and radish roots to read as follows: the Comptroller General of the United Director, Registration Division, Office of States prior to publication of this final Pesticide Programs. § 180.458 [((E)-(±)-2-[1-[[(3-chloro-2- rule in the Federal Register. This final Therefore, 40 CFR chapter I is propenyl)oxy]imino]propyl]-5-[2- rule is not a ‘‘major rule’’ as defined by amended as follows: (ethylthio)propyl]-3-hydroxy-2-cyclohexen- 1-one); tolerances for residues. 5 U.S.C. 804(2). PART 180—[AMENDED] (a) * * * 1. The authority citation for part 180 (3) * * * continues to read as follows:
Commodity Parts per million
***** Vegetable, root (except sugar beet) subgroup ...... 1.0 ***** Vegetable, tuberous and corm, subgroup ...... 1.0
* * * * * Register announcing the effective date • We adopt a ‘‘rural growth factor’’ [FR Doc. 01–14086 Filed 6–4–01; 8:45 am] of those sections. that allows the high-cost loop support fund to grow based on annual changes BILLING CODE 6560–50–S FOR FURTHER INFORMATION CONTACT: Genaro Fullano, Paul Garnett, or Greg in the Gross Domestic Product-Chained Guice, Attorney, Common Carrier Price Index (GDP–CPI) and the total Bureau, Accounting Policy Division, number of working loops of rural FEDERAL COMMUNICATIONS (202) 418–7400. carriers. We find that allowing the fund COMMISSION to grow in this fashion over the next five SUPPLEMENTARY INFORMATION: This is a years will enable rural carriers to make 47 CFR Parts 36 and 54 summary of the Commission’s prudent investments in rural America. Fourteenth Report and Order, Twenty- • We adopt the Rural Task Force’s [CC Docket Nos. 96–45 and 00–256; FCC Second Order on Reconsideration in CC recommendation to freeze the national 01–157] Docket No. 96–45 and Report and Order average loop cost at $240.00. We in CC Docket No. 00–256 released on Federal-State Joint Board on Universal conclude that freezing the national May 23, 2001. The full text of this Service; Multi-Association Group average loop cost will provide rural document is available for public (MAG) Plan for Regulation of Interstate carriers with greater certainty as to their inspection during regular business Services of Non-Price Cap Incumbent eligibility for high-cost loop support. hours in the FCC Reference Center, • Local Exchange Carriers and We adopt a modified version of the Room CY–A257, 445 Twelfth Street, Interexchange Carriers Rural Task Force’s proposal as it relates SW., Washington, DC, 20554. to corporate operations expenses. We AGENCY: Federal Communications I. Executive Summary revise the corporate operations expense Commission. limitation calculation so that the dollar ACTION: Final rule. 1. In this Order, we take the following values in the formula are re-based and actions in response to the Rural Task indexed by the GDP–CPI. SUMMARY: In this document, the Force’s recommended reforms to rural • We also raise the minimum cap in Commission takes actions in response to high-cost universal service support and the revised corporate operations the Rural Task Force’s recommended the proposals made by the Multi- expense limitation formula. reforms to rural high-cost universal Association Group (MAG) relating to Specifically, we permit small rural service support and the proposals made this mechanism: carriers to receive support for corporate by the Multi-Association Group (MAG) • We adopt the Rural Task Force’s operations expenses of up to $600,000 relating to this universal service support recommendation to re-base the high-cost or amounts derived from the revised mechanism. loop support fund for rural telephone corporate operations expense formula, DATES: Effective June 5, 2001, except for companies and retain an indexed cap on whichever is greater. We find that §§ 36.605(c)(2), 36.611, 54.305(f), the the fund. We conclude that re-basing the raising the minimum cap from $300,000 amendments to § 54.307(b), §§ 54.313(b) indexed fund will ensure that rural to $600,000 will enable small rural and (c), 54.314, and 54.315, which carriers are able to are able tocontinue carriers to receive more support for contain information collection providing supported services at corporate operations expenses without requirements that have not been affordable and reasonably comparable having to file for waiver of our rules. approved by the Office of Management rates during the transition to a more • We adopt a modified version of the Budget (OMB). The Commission will permanent high-cost support Rural Task Force’s proposed ‘‘safety net publish a document in the Federal mechanism for rural carriers. additive’’ so that a carrier will receive
VerDate 11
support for its incremental expense • We find that the Rural Task Force’s which establishes a number of adjustment associated with new proposed framework, with certain principles for the preservation and investment, rather than 50 percent of modifications, shall remain in place for advancement of universal service in a the difference between capped and five years and implementation shall competitive telecommunications uncapped support in a given year as begin as of July 1, 2001. environment. The Commission initiated proposed by the Rural Task Force. By • We adopt the use of a wireless this proceeding to consider the modifying safety net support in this mobile customer’s billing address as the Recommended Decision of the Joint way, we ensure that carriers that meet basis for determining the customer’s Board regarding a rural universal service the threshold requirement for eligibility location for purposes of delivering high- plan developed by the Rural Task Force. will receive support for their cost universal service support. In this Order, consistent with the incremental investment, but do not • We conclude that states should file recommendation of the Joint Board, we recover more than the costs incurred as annual certifications with the adopt interim rules for determining a result of the additional investment. Commission to ensure that eligible high-cost universal service support for • Consistent with the Rural Task telecommunications carriers providing rural telephone companies based upon Force’s recommendation, we retain service in the service area of a rural the modified embedded cost mechanism § 54.305 of the Commission’s rules, carrier use universal service support proposed by the Rural Task Force. which provides that a carrier acquiring ‘‘only for the provision, maintenance These rules should benefit all rural exchanges from an unaffiliated carrier and upgrading of facilities and services carriers because they will result in shall receive the same per-line levels of for which the support is intended’’ predictable levels of support so that high-cost support for which the consistent with section 254(e) of the rural carriers can continue to provide acquired exchanges were eligible prior Act. affordable service in rural America, to their transfer. We modify the rule, • Consistent with the Rural Task while ensuring that consumers in all however, to provide a ‘‘safety valve’’ Force’s recommendation, the Joint regions of the Nation, including rural that provides support for additional Board on Universal Service is currently areas, have access to affordable and investment made in the acquired considering the definition of supported quality telecommunications services. exchanges. services. We agree with the Rural Task 4. In this Order, we take the following • We decline at this time to adopt the Force that our universal service policies actions in response to the Rural Task Rural Task Force’s proposal to freeze should not inadvertently create barriers Force’s recommended reforms to the high-cost loop support upon to the provision of access to advanced rural high-cost loop support mechanism competitive entry in rural carrier study services, and believe that our current and the proposals made by the MAG areas. The proposal may be of limited universal service system does not create relating to these rules. First, we adopt benefit in serving its intended purpose such barriers. We commit to further the Rural Task Force’s recommendation of preventing excessive fund growth, consideration of the Rural Task Force’s to re-base the high-cost loop support and in some circumstances might proposed ‘‘no barriers to advanced fund for rural telephone companies and increase high-cost loop support levels. services’’ policy in the future. retain an indexed cap on the fund. • We also conclude that the Rural Task We find the Rural Task Force’s Second, we adopt a rural growth factor Force’s proposal would be recommended principles for access that allows growth in the high-cost loop administratively burdensome and may reform to be reasonable and generally support fund based on the annual have the unintended consequence of consistent with prior Commission increases in the Gross Domestic discouraging investment in rural actions to reform the access rate Product-Chained Price Index (GDP–CPI) America. structure of price cap carriers. These and growth in the total number of • We address the Rural Task Force’s principles will aid our consideration of working loops of rural carriers. Third, concerns regarding frequency of access charge reform issues in the we adopt a modified version of the reporting and the lag in support in study pending MAG proceeding. We recognize Rural Task Force’s proposal as it relates areas with competitive eligible the importance of completing access to corporate operations expense. We telecommunications carriers. First, we reform for rate-of-return carriers and revise the corporate operations expense require all eligible telecommunications intend to act expeditiously to resolve limitation calculation so that the dollar carriers serving such areas to report issues raised in the MAG proceeding. values in the formula are re-based and updated line counts on a regular II. Procedural Matters indexed by the GDP–CPI. We also raise quarterly basis. Second, we clarify that the minimum cap for those carriers with competitive eligible A. Final Regulatory Flexibility Analysis 6,000 or fewer loops. In the revised telecommunications carriers may 2. As required by the Regulatory corporate operations expense formula, submit data and receive high-cost loop Flexibility Act (RFA), an Initial we allow these carriers to receive support on a regular quarterly basis. Regulatory Flexibility Analysis (IRFA) support for corporate operations • We adopt, with certain was incorporated in the Further Notice expenses of up to $600,000 or amounts modifications, the three paths for the of Proposed Rulemaking (FNPRM), 66 derived from the revised corporate disaggregation and targeting of high-cost FR 7725, January 25, 2001. The operations expense formula, whichever universal service support proposed by Commission sought written public is greater. Fourth, we adopt a modified the Rural Task Force. We also adopt the comment on the proposals in the version of the Rural Task Force’s general requirements that the Rural Task FNPRM, including comment on the proposed safety net additive so that if Force proposed for all disaggregation IRFA. This present Final Regulatory certain criteria are met, a carrier may plans. We find that providing rural Flexibility Analysis (FRFA) conforms to receive support for its incremental carriers flexibility in the methods of the RFA. expense adjustment associated with disaggregation and targeting is a new investment. Fifth, while we retain reasonable approach to address the 1. Need for, and Objectives of, the Order § 54.305 of the Commission’s rules significant diversity among such carriers 3. The 1996 Act requires the which provides that a carrier acquiring and will facilitate competitive entry in Commission to consult with the Joint exchanges from an unaffiliated carrier rural areas. Board in implementing section 254, shall receive the same per-line levels of
VerDate 11
high-cost support for which the 2. Summary of Significant Issues Raised determinations in other, non-RFA acquired exchanges were eligible prior by Public Comments in Response to the contexts. to their transfer, we also modify the rule IRFA 10. Local Exchange Carriers. Neither to provide safety valve support for the Commission nor the SBA has 7. No comments were submitted in additional investment made in the developed a definition for small response to the IRFA, nor did acquired exchanges. Sixth, we adopt, providers of local exchange services. commenters address the potential with certain modifications, the three The closest applicable definition under impact of these interim rules on small paths for the disaggregation and the SBA rules is for telephone business. The Commission, however, communications companies other than targeting of high-cost universal service did consider the burden that certain radiotelephone (wireless) companies. support proposed by the Rural Task provisions contained in the Order may According to the most recent Trends in Force. We also adopt the general have on smaller carriers and sought to Telephone Service report, 1,335 requirements that the Rural Task Force minimize that burden. For example, as incumbent carriers reported that they proposed for all disaggregation plans. the Commission states in this Order, to were engaged in the provision of local Seventh, we adopt the Rural Task reduce the need for small carriers to exchange services. We do not have data Force’s proposed framework, with the seek a waiver under the corporate specifying the number of these carriers noted modifications, and it shall remain operations expense rules, we raise the that are either dominant in their field of in place for five years. Finally, we minimum cap on allowable corporate operations, are not independently conclude that states should file annual operations expenses supported by owned and operated, or have more than certifications with the Commission to universal service to $600,000 or 1,500 employees, and thus are unable at ensure that rural carriers and amounts derived from the revised this time to estimate with greater competitive eligible corporate operations expense formulas, precision the number of local exchange telecommunications carriers providing whichever is greater. This eliminates the carriers that would qualify as small service in the service area of a rural burden and expense associated with the business concerns under the SBA’s local exchange carrier use universal waiver process for those carriers. definition. Of the 1,335 incumbent carriers, 13 entities are price cap carriers service support ‘‘only for the provision, 3. Description and Estimate of the that are not subject to these rules. maintenance and upgrading of facilities Number of Small Entities to Which the Consequently, we estimate that fewer and services for which the support is Notice Will Apply intended’’ consistent with section 254(e) than 1,322 providers of local exchange service are small entities or small of the Act. 8. The RFA directs agencies to provide a description of, and, where incumbent local exchange carriers that 5. In this Order, the Commission also feasible, an estimate of the number of may be affected. addresses certain issues raised in the small entities that may be affected by 11. Competitive Access Providers. MAG proceeding. Specifically, we find the proposed rules adopted herein. The Neither the Commission nor the SBA that the MAG proposal to remove the RFA generally defines the term ‘‘small has developed a definition of small indexed cap entirely and to eliminate entity’’ as having the same meaning as entities specifically applicable to the limits on corporate operations the terms ‘‘small business,’’ ‘‘small competitive access services providers expenses is unwarranted. We also organization,’’ and ‘‘small governmental (CAPs). The closest applicable decide against the MAG proposal to the jurisdiction.’’ In addition, the term definition under the SBA rules is for extent that it recommends elimination ‘‘small business’’ has the same meaning telephone communications companies of § 54.305 entirely. Finally, we disagree as the term ‘‘small business concern’’ other than radiotelephone (wireless) companies. According to the most with the MAG proposal to allow rural under the Small Business Act. Under recent Trends in Telephone Service carriers to disaggregate universal service the Small Business Act, a ‘‘small data, 349 CAPs/competitive local support up to three zones per wire business concern’’ is one that: (1) Is exchange carriers and 60 other local center. We find the Rural Task Force’s independently owned and operated; (2) exchange carriers reported that they is not dominant in its field of operation; recommended principles for access were engaged in the provision of and (3) meets any additional criteria reform to be reasonable and generally competitive local exchange services. We established by the Small Business consistent with prior Commission do not have data specifying the number Administration (SBA). actions to reform the access rate of these carriers that are not structure of price cap carriers. These 9. We have included small incumbent independently owned and operated, or principles will aid our consideration of local exchange carriers in this RFA have more than 1,500 employees, and access charge reform issues in the analysis. As noted, a ‘‘small business’’ thus are unable at this time to estimate pending MAG proceeding. under the RFA is one that, inter alia, with greater precision the number of 6. We find that the interim rules strike meets the pertinent small business size CAPs that would qualify as small a fair and reasonable balance among the standard (e.g., a telephone business concerns under the SBA’s communications business having 1,500 principles and goals enumerated in definition. Consequently, we estimate or fewer employees), and ‘‘is not section 254 of the Communications Act that there are less than 349 small entity dominant in its field of operation.’’ The CAPs and 60 other local exchange of 1934, as amended by the SBA’s Office of Advocacy contends that, carriers that may be affected. Telecommunications Act of 1996. for RFA purposes, small incumbent 12. Cellular Licensees. Neither the Specifically, as the Commission local exchange carriers are not dominant Commission nor the SBA has developed continues to develop a long-term in their field of operation because any a definition of small entities applicable coordinated universal service plan, this such dominance is not ‘‘national’’ in to cellular licensees. Therefore, the interim plan will provide predictable scope. We have therefore included small applicable definition of small entity is levels of support so that rural carriers incumbent carriers in this RFA analysis, the definition under the SBA rules can make prudent investments in rural although we emphasize that this RFA applicable to radiotelephone (wireless) America. action has no effect on the companies. This provides that a small Commission’s analyses and entity is a radiotelephone company
VerDate 11
employing no more than 1,500 persons. definition of small entity specific to the a definition of small entities applicable According to the Bureau of the Census, Rural Radiotelephone Service. A to 39 GHz licensees. Therefore, the only twelve radiotelephone firms from a significant subset of the Rural applicable definition of small entity is total of 1,178 such firms which operated Radiotelephone Service is the Basic the definition under the SBA rules during 1992 had 1,000 or more Exchange Telephone Radio Systems applicable to radiotelephone (wireless) employees. Therefore, even if all twelve (BETRS). We will use the SBA’s companies. This provides that a small of these firms were cellular telephone definition applicable to radiotelephone entity is a radiotelephone company companies, nearly all cellular carriers companies, i.e., an entity employing no employing no more than 1,500 persons. were small businesses under the SBA’s more than 1,500 persons. There are For purposes of the 39 GHz license definition. In addition, we note that approximately 1,000 licensees in the auction, the Commission defined ‘‘small there are 1,758 cellular licenses; Rural Radiotelephone Service, and we entity’’ as an entity that has average however, a cellular licensee may own estimate that almost all of them qualify gross revenues of less than $40 million several licenses. In addition, according as small entities under the SBA’s in the three previous calendar years, to the most recent Trends Report data, definition. and ‘‘very small entity’’ as an entity that 806 carriers reported that they were 15. Specialized Mobile Radio (SMR). has average gross revenues of not more engaged in the provision of either The Commission awards bidding credits that $15 million for the preceding three cellular service or Personal in auctions for geographic area 800 MHz calendar years. The Commission has Communications Service (PCS) services, and 900 MHz SMR licenses to firms that granted licenses to 29 service providers which are placed together in the data. had revenues of no more than $15 in the 39 GHz service. We do not have We do not have data specifying the million in each of the three previous data specifying the number of these number of these carriers that are not calendar years. In the context of both carriers that are not independently independently owned and operated or the 800 MHz and 900 MHz SMR, a owned and operated or have more than have more than 1,500 employees, and definition of ‘‘small entity’’ has been 1,500 employees, and thus are unable at thus are unable at this time to estimate approved by the SBA. this time to estimate with greater with greater precision the number of 16. These fees apply to SMR providers precision the number of 39 GHz cellular service carriers that would in the 800 MHz and 900 MHz bands that licensees that would qualify as small qualify as small business concerns either hold geographic area licenses or business concerns under the SBA’s under the SBA’s definition. have obtained extended implementation definition. Consequently, we estimate Consequently, we estimate that there are authorizations. We do not know how that there are no more than 29 service fewer than 808 small cellular service many firms provide 800 MHz or 900 providers in the 39 GHz service that carriers that may be affected. MHz geographic area SMR service may be affected. 13. Broadband Personal pursuant to extended implementation Communications Service (PCS). The authorizations, nor how many of these 4. Description of Projected Reporting, broadband PCS spectrum is divided into providers have annual revenues of no Recordkeeping, and Other Compliance six frequency blocks designated A more than $15 million. One firm has Requirements through F, and the Commission has held over $15 million in revenues. We 20. In the Order, we adopt the Rural auctions for each block. The assume, for purposes of this FRFA, that Task Force’s proposal that rural carriers Commission defined ‘‘small entity’’ for all of the remaining existing extended be given a choice of three different Blocks C and F as an entity that has implementation authorizations are held options for disaggregating and targeting average gross revenues of less than $40 by small entities, as that term is defined per-line universal service high-cost million in the three previous calendar by the SBA. support, including high-cost loop years. For Block F, an additional 17. For geographic area licenses in the support, Long Term Support (LTS), and classification for ‘‘very small business’’ 900 MHz SMR band, there are 60 who Local Switching Support (LSS). Rural was added and is defined as an entity qualified as small entities. For the 800 carriers are required to choose one of that, together with their affiliates, has MHz SMRs, 38 are small or very small the paths detailed within 270 days of average gross revenues of not more than entities. the effective date of the new rules $15 million for the preceding three 18. Fixed Microwave Services. through submission to the state calendar years. These regulations Microwave services include common commissions. Rural carriers not subject defining ‘‘small entity’’ in the context of carrier, private-operational fixed, and to the jurisdiction of the state are broadband PCS auctions have been broadcast auxiliary radio services. At required to make such submissions to approved by the SBA. No small present, there are approximately 22,015 the Commission. Rural carriers that businesses within the SBA-approved common carrier fixed licensees and elect to disaggregate and target per-line definition bid successfully for licenses 61,670 private operational-fixed support under either Path Two or Three in Blocks A and B. There were 90 licensees and broadcast auxiliary radio are required to report loops at the cost- winning bidders that qualified as small licensees in the microwave services. zone level, which is a modification of entities in the Block C auctions. A total The Commission has not yet defined a the current requirement that carriers of 93 small and very small business small business with respect to report loops at the study-area level. This bidders won approximately 40 percent microwave services. For purposes of change will require only minor of the 1,479 licenses for Blocks D, E, and this FRFA, we utilize the SBA’s increases in a carrier’s reporting F. Based on this information, we definition applicable to radiotelephone burdens, and predominantly only in the conclude that the number of small companies—i.e., an entity with no more first year that the carrier revises its broadband PCS licensees will include than 1,500 persons. We estimate, for this method of reporting. Path 1 is available the 90 winning C Block bidders and the purpose, that all of the Fixed Microwave to rural carriers that do not want to 93 qualifying bidders in the D, E, and F licensees (excluding broadcast auxiliary target high-cost support. Path Two is blocks, for a total of 183 small entity licensees) would qualify as small available to rural carriers that want state PCS providers as defined by the SBA entities under the SBA definition for commission review and approval of a and the Commission’s auction rules. radiotelephone companies. disaggregation plan. Path Three is 14. Rural Radiotelephone Service. The 19. 39 GHz Licensees. Neither the available to rural carriers interested in Commission has not adopted a Commission nor the SBA has developed self-certifying a method for
VerDate 11
disaggregating universal service support incumbent has an incentive to only 26. Report to Congress: The into a maximum of two cost zones per update annually. Commission will send a copy of the wire center. Only a disaggregation plan 5. Steps Taken To Minimize Significant Order, including this FRFA, in a report filed under Path Three requires Economic Impact on Small Entities, and to be sent to Congress pursuant to the additional reporting requirements to the Significant Alternatives Considered Congressional Review Act. In addition, Commission. Under Path Three, a the Commission will send a copy of the carrier must use a rationale that is 23. The RFA requires an agency to Order, including the FRFA, to the Chief reasonably related to the cost of describe any significant alternatives that Counsel for Advocacy of the SBA. A providing service for each cost zone it has considered in reaching its copy of the Order and FRFA (or within each disaggregation category proposed approach, which may include summaries thereof) will also be (high-cost loop support, LSS, and LTS). the following four alternatives (among published in the Federal Register. We estimate that the annual burden others): (1) The establishment of hours in the first year would be 60 differing compliance or reporting B. Paperwork Reduction Act hours. We estimate subsequent annual requirements or timetables that take into burden hours at 8 hours. We believe the account the resources available to small 27. As described, the rules we adopt burden associated with this reporting entities; (2) the clarification, in this Order reflect our efforts to requirement is appropriately balanced consolidation, or simplification of balance the needs of rural carriers, with the benefits reporting rural carriers compliance or reporting requirements while minimizing the burden on those will receive. under the rule for small entities; (3) the entities that must comply with our 21. The Commission also adopted the use of performance, rather than design, reporting requirements. The information Rural Task Force’s proposal to extend standards; and (4) an exemption from we request should not require the section 254(e) certification process coverage of the rule, or any part thereof, significant additional resources as they to rural carriers. Under this process, for small entities. are a modification of current reporting state regulatory commissions provide 24. The Order adopted herein is the requirements. Additionally, by freezing the Commission with annual result of an analysis of a number of the national average loop cost at $240, certifications indicating that the rural options for distributing federal universal we eliminate the need for non-rural carriers in their states receiving federal service support to rural carriers. carriers to file loop cost data on a universal service support will use the Throughout the Order, it is evident that quarterly basis, thus alleviating those support ‘‘only for the provision, the Commission took great strides in carriers of an administrative burden. maintenance, and upgrading of facilities balancing the burdens associated with 28. The action contained herein has and services for which the support is modification of the existing embedded been analyzed with respect to the intended.’’ Carriers not subject to the cost mechanism and the benefits these Paperwork Reduction Act of 1995 and jurisdiction of the state must submit a modifications confer on rural carriers found to impose new or modified sworn affidavit to the Commission and competitive eligible reporting and recordkeeping stating that they will use support ‘‘only telecommunications carriers. In this requirements or burdens on the public. for the provision, maintenance, and regard, it is important to note that we Implementation of these new or upgrading of facilities and services for make these modifications with only modified reporting and recordkeeping which the support is intended.’’ This minimal reporting requirements. requirements will be subject to approval reporting requirement will provide 25. Among the significant by the Office of Management and states and carriers with access to federal alternatives, we considered whether Budget (OMB) as prescribed by the Act, universal service support in a way that modification of the corporate operations and will go into effect once OMB ensures the integrity of the universal expense cap would minimize the approves the collection requirements. service fund. We estimate that the burden and expense associated with Once OMB approves the required annual burden hours associated with seeking a waiver for smaller carriers. In collections the Commission will publish the section 254(e) certification process this Order, we decide to raise the a document in the Federal Register would be 12 hours per carrier. This is existing cap for carriers with 6,000 or announcing the effective date of those a nominal burden on rural carriers and fewer working loops so they can receive sections. is balanced against the high degree of support for up to $600,000 or amounts federal universal service benefits rural derived from the revised corporate C. Effective Date of Final Rules carriers would receive. operations expense formula adopted 22. Finally, the Commission adopted herein, whichever is greater. We thus 29. We conclude that the amendments a modification to an existing reporting decrease the need of smaller carriers to to our rules adopted herein shall be requirement regarding working loops. request a waiver. In addition, we adopt effective June 5, 2001, except for Under the current rules, rural carriers a modified version of the safety net §§ 36.605(c)(2), 36.611, 54.305(f), are required to submit, on an annual additive mechanism proposed by the 54.307(b), 54.313(b) and (c), 54.314, and basis, the number of working loops it Rural Task Force. We conclude that a 54.315, which contain information has for each study area it serves. In this modification to the safety net additive is collection requirements that have not Order, we modify this reporting warranted because as proposed, the been approved by the Office of requirement to require that once a mechanism potentially allowed for the Management Budget (OMB). The competitor enters a rural carriers study recovery of more than 100 percent of Commission will publish a document in area, working loops are required to be incremental costs. We also consider the Federal Register announcing the reported on a quarterly basis. The alternative measurements of effective date of those sections. The Commission determined that this was ‘‘meaningful investment’’ for purposes final rules must take effect prior to 30 necessary to prevent the overpayment of of calculating safety valve support. We days after their publication in the support to incumbent rural carriers, conclude that the alternatives Federal Register in order for NECA to which occurs under the current rule considered would, in some instances, be able to implement the necessary because competitors have an incentive deny the recovery of such meaningful changes to the high-cost loop support to update quarterly, while the investments. mechanism by July 1, 2001.
VerDate 11
III. Ordering Clauses § 36.601 General. as if the indexed cap calculated pursuant to § 36.601(c) and the 30. Pursuant to the authority * * * * * (c) Until June 30, 2001, the annual corporate operations expense limitation contained in sections 1–4, 201–205, 214, amount of the total nationwide expense calculated pursuant to § 36.621 had not 218–220, 254, 303(r), 403, 405, and 410 adjustment shall consist of the amounts been in effect for the calendar year 2000. of the Communications Act of 1934, as calculated pursuant to § 54.309 of this For the period July 1, 2001, to December amended, this Fourteenth Report and chapter and the amounts calculated 31, 2001, the annualized amount of the Order and Twenty-Second Order on pursuant to this subpart F.* * * rural incumbent local exchange carrier Reconsideration in CC Docket No. 96– portion of the nationwide loop cost 45, and Report and Order in CC Docket * * * * * 3. Add §§ 36.602, 36.603, 36.604, and expense adjustment calculated pursuant No. 00–256 is adopted. to this subpart F shall not exceed the 31. Parts 36 and 54 of the 36.605 to subpart F under the center heading ‘‘General’’ to read as follows: non-capped amount of the total rural Commission’s rules, are amended as set incumbent local exchange carrier loop forth hereto, effective June 5, 2001, § 36.602 Calculation of non-rural carrier cost expense adjustment for the except for §§ 36.605(c)(2), 36.611, portion of nationwide loop cost expense calendar year 2000, multiplied times 54.305(f), 54.307(b), 54.313(b) and (c), adjustment. one plus the Rural Growth Factor 54.314, and 54.315, which contain Effective July 1, 2001, for purposes of calculated pursuant to § 36.604. information collection requirements that determining non-rural carrier interim Beginning January 1, 2002, the annual have not been approved by the Office of hold-harmless support, pursuant to amount of the rural incumbent local Management Budget (OMB). The § 54.311 of this chapter, the annual exchange carrier portion of the Commission will publish a document in amount of the total nationwide loop cost nationwide loop cost expense the Federal Register announcing the expense adjustment calculated pursuant adjustment calculated pursuant to this effective date of those sections. to this subpart F shall not exceed the subpart F shall not exceed the amount 32. The Commission’s Consumer amount of the total loop cost expense of the total rural incumbent local Information Bureau, Reference adjustment for the immediately exchange carrier loop cost expense Information Center, shall send a copy of preceding calendar year, increased by a adjustment for the immediately this Order, including the Final rate equal to the rate of increase in the preceding calendar year, multiplied Regulatory Flexibility Analysis, to the total number of working loops during times one plus the Rural Growth Factor Chief Counsel for Advocacy of the Small the calendar year preceding the July calculated pursuant to § 36.604. Business Administration. 31st filing. The total loop cost expense (b) The annual rural incumbent local adjustment shall consist of the loop cost exchange carrier portion of the List of Subjects expense adjustments, including nationwide loop cost expense 47 CFR Part 36 amounts calculated pursuant to adjustment shall be reduced to reflect §§ 36.612(a) and 36.631. The rate of the transfer of rural incumbent local Jurisdictional separations, Reporting increase in total working loops shall be exchange carrier access lines that are and recordkeeping requirements, based upon the difference between the eligible for expense adjustments Telecommunications, Telephone. number of total working loops on pursuant to § 36.631. The reduction 47 CFR Part 54 December 31 of the calendar year shall equal the amount of the § 36.631 preceding the July 31st filing and the expense adjustment available to the Reporting and recordkeeping number of total working loops on transferred access lines at the time of requirements, Telecommunications, December 31 of the second calendar the transfer and shall be effective in the Telephone. year preceding that filing, both next calendar quarter after the access Federal Communications Commission. determined by the company’s lines are transferred. William F. Caton, submissions pursuant to § 36.611. Non- (c) Safety net additive support Deputy Secretary. rural incumbent local exchange carriers calculated pursuant to § 36.605, and and eligible telecommunications transferred high-cost support and safety Final Rules carriers serving lines in the service area valve support calculated pursuant to For the reasons discussed in the of non-rural incumbent local exchange § 54.305 of this chapter shall not be preamble, the Federal Communications carriers shall only receive support included in the rural incumbent local Commission amends 47 CFR parts 36 pursuant to this subpart F to the extent exchange carrier portion of the annual and 54 as follows: that they qualify pursuant to § 54.311 of nationwide loop cost expense this chapter for interim hold-harmless adjustment. PART 36—JURISDICTIONAL support. Support amounts calculated SEPARATIONS PROCEDURES; § 36.604 Calculation of the rural growth pursuant to this subpart F but not factor. STANDARD PROCEDURES FOR received due to the phase down of The Rural Growth Factor (RGF) is SEPARATING interim hold-harmless support or the equal to the sum of the annual TELECOMMUNICATIONS PROPERTY receipt of forward-looking support percentage change in the United States COSTS, REVENUES, EXPENSES, pursuant to § 54.311 of this chapter Department of Commerce’s Gross TAXES AND RESERVES FOR shall not be redistributed to other Domestic Product—Chained Price Index TELECOMMUNICATIONS COMPANIES carriers. (GPD–CPI) plus the percentage change 1. The authority citation for part 36 § 36.603 Calculation of rural incumbent in the total number of rural incumbent continues to read as follows: local exchange carrier portion of nationwide local exchange carrier working loops loop cost expense adjustment. Authority: 47 U.S.C. 151, 154(i) and (j), during the calendar year preceding the 205, 221(c), 254, 403, and 410. (a) Effective July 1, 2001, the rural July 31st filing submitted pursuant to incumbent local exchange carrier § 36.611. The percentage change in total 2. Amend § 36.601 by revising the portion of the annual nationwide loop rural incumbent local exchange carrier first sentence of paragraph (c) to read as cost expense adjustment will be working loops shall be based upon the follows. recomputed by the fund administrator difference between the total number of
VerDate 11
rural incumbent local exchange carrier area for safety net additive, requiring the § 36.612 Updating information submitted working loops on December 31 of the rural incumbent local exchange carrier to the National Exchange Carrier calendar year preceding the July 31st to again meet the eligibility Association. filing and the total number of rural requirements in paragraph (c)(1) of this (a) Any rural telephone company, as incumbent local exchange carrier section for that study area in a that term is defined in § 51.5 of this working loops on December 31 of the subsequent period. chapter, may update the information second calendar year preceding that (3) Upon completion of verification by submitted to the National Exchange filing, both determined by the the Administrator that the study area Carrier Association (NECA) on July 31st company’s submissions pursuant to meets the stated criterion in paragraphs pursuant to §§ 36.611 (a) through (h) § 36.611. Loops acquired by rural (a), (b), (c) of this section, the one or more times annually on a rolling incumbent local exchange carriers shall Administrator shall: year basis according to the schedule, not be included in the RGF calculation. except that rural telephone companies (i) Pay to any qualifying rural in service areas where an eligible § 36.605 Calculation of safety net additive. telephone company, safety net additive telecommunications carrier has initiated (a) ‘‘Safety net additive support.’’ A support for the qualifying study area in service and has reported line count data rural incumbent local exchange carrier accordance with the calculation set pursuant to § 54.307(c) of this chapter shall receive safety net additive support forth in paragraph (b) of this section; must update the information submitted if it satisfies the conditions set forth in and to NECA on July 31st pursuant to paragraph (c) of this section. Safety net (ii) Continue to pay safety net additive § 36.611(h) according to the schedule. additive support is support available to support for the succeeding four years. Every non-rural telephone company rural telephone companies, as Support in the four succeeding years must update the information submitted conditioned in paragraph (c) of this shall be the lesser of: to NECA on July 31st pursuant to section, in addition to support (A) The amount of support paid in the § 36.611 (h) according to the schedule. calculated pursuant to § 36.631. Safety qualifying year; or net additive support shall not be * * * * * available to rural telephone companies (B) The amount of support based on 6. Amend § 36.621 by revising the last for exchange(s) that are subject to recalculation of support pursuant to sentence of paragraph (a)(4) § 54.305 of this chapter. paragraph (b) in this section. introductory text, by revising paragraph (a)(4)(i), and the first sentence of (b) Calculation of safety net additive 4. Amend § 36.611 by revising the paragraph (a)(4)(ii), by revising support: Safety net additive support is introductory text to read as follows: equal to the amount of capped support paragraphs (a)(4)(ii)(A) through calculated pursuant to this subpart F in § 36.611 Submission of information to the (a)(4)(ii)(C), and adding paragraph the qualifying year minus the amount of National Exchange Carrier Association (a)(4)(ii)(D) to read as follows: (NECA). support in the year prior to qualifying § 36.621 Study area total unseparated loop for support subtracted from the In order to allow determination of the cost. difference between the uncapped study areas and wire centers that are expense adjustment for the study area in (a) * * * entitled to an expense adjustment (4) * * * Total Corporate Operations the qualifying year minus the uncapped pursuant to § 36.631, each incumbent expense adjustment in the year prior to Expense, for purposes of calculating local exchange carrier (LEC) must universal service support payments qualifying for support as shown in the provide the National Exchange Carrier following equation: Safety net additive beginning July 1, 2001, shall be limited Association (NECA) (established to the lesser of: support = (Uncapped support in the pursuant to part 69 of this chapter) with (i) The actual average monthly per- qualifying year¥Uncapped support in the information listed for each study loop Corporate Operations Expense; or the base year)¥(Capped support in the area in which such incumbent LEC (ii) A monthly per-loop amount qualifying year¥Amount of support operates, with the exception of the computed according to paragraphs received in the base year). information listed in paragraph (h) of (a)(4)(ii)(A), (a)(4)(ii)(B), (a)(4)(ii)(C), and (c) Operation of safety net additive this section, which must be provided for (a)(4)(ii)(D) of this section.* * * support: (1) In any year in which the each study area and, if applicable, for (A) For study areas with 6,000 or total carrier loop cost expense each wire center, as defined in part 54 fewer working loops the amount adjustment is limited by the provisions of this chapter, and each disaggregation monthly per working loop shall be of § 36.603 a rural incumbent local zone as established pursuant to § 54.315 $33.30853¥(.00246 × the number of exchange carrier shall receive safety net of this chapter. This information is to be working loops), or, $50,000 ÷ the additive support as calculated in filed with NECA by July 31st of each number of working loops, whichever is paragraph (b) of this section, if in any year. The information provided greater; study area, the rural incumbent local pursuant to paragraph (h) of this section exchange carrier realizes growth in end must be updated pursuant to § 36.612. (B) For study areas with more than of period Telecommunications Plant in Rural telephone companies that 6,000 but fewer than 18,006 working Service (TPIS), as prescribed in loops, the monthly amount per working acquired exchanges subsequent to May ÷ § 32.2001 of this chapter, on a per loop 7, 1997, and incorporated those loop shall be $3.83195 + (88,429.20 basis, of at least 14 percent more than acquired exchanges into existing study the number of working loops); and the study area’s TPIS per loop areas shall separately provide the (B) For study areas with more than investment at the end of the prior information required by paragraphs (a) 6,000 but fewer than 18,006 working period. loops, the monthly amount per working through (h) of this section for both the ÷ (2) If paragraph (c)(1) of this section acquired and existing exchanges. loop shall be $3.83195 + (88,429.20 is met, the rural incumbent local the number of working loops); and * * * * * exchange carrier must notify the (C) For study areas with 18,006 or Administrator; failure to properly notify 5. Amend § 36.612 by revising more working loops, the monthly the Administrator of eligibility shall paragraph (a) introductory text to read amount per working loop shall be result in disqualification of that study as follows: $8.74472.
VerDate 11
(D) Beginning January 1, 2002, the support in § 54.305(a), would qualify for study area’s safety valve loop cost monthly per-loop amount computed high-cost loop support for acquired expense adjustment and will be according to paragraphs (a)(4)(ii)(A), exchanges under § 36.631 of this available in addition to the amounts (a)(4)(ii)(B), and (a)(4)(ii)(C) of this chapter. available to the study area under section shall be adjusted each year to (c) The index year expense § 54.305. In no event shall a study area’s reflect the annual percentage change in adjustment for acquired exchange(s) safety valve loop cost expense the United States Department of shall be equal to the rural incumbent adjustment exceed the difference Commerce’s Gross Domestic Product- local exchange carrier’s high-cost loop between the carrier’s uncapped study Chained Price Index (GDP–CPI). cost expense adjustment for acquired area loop cost expense adjustment * * * * * exchanges calculated at the end of the calculated pursuant to § 36.631 of this company’s first year operating the 7. Amend § 36.622 by adding a chapter and transferred support acquired exchange(s). The index year sentence at the end of paragraph (a) amounts available to the acquired expense adjustment for the acquired exchange(s) under paragraph (a) of this introductory text to read as follows: exchange(s) shall be established through section. Safety valve support shall not cost data submitted in accordance with § 36.622 National and study area average transfer with acquired exchanges. unseparated loop costs. §§ 36.611 and 36.612 of this chapter and (a) * * * Effective July 1, 2001, the shall be calculated in accordance with (e) The sum of the safety valve loop national average unseparated loop cost § 36.631 of this chapter. For carriers cost expense adjustment for all eligible for purposes of calculating expense establishing an index year for acquired study areas operated by rural telephone adjustments for rural incumbent local exchanges pursuant to § 36.611 of this companies shall not exceed five (5) exchange carriers, as that term is chapter, the index year for the acquired percent of the total rural incumbent defined in § 54.5 of this chapter, is exchange(s) shall commence at the local exchange carrier portion of the frozen at $240.00. beginning of the next calendar year after annual nationwide loop cost expense the transfer of said exchanges. For adjustment calculated pursuant to * * * * * carriers establishing an index year for § 36.603 of this chapter. The five (5) PART 54—UNIVERSAL SERVICE acquired exchanges pursuant to § 36.612 percent cap on the safety valve of this chapter, the index year for the mechanism shall be based on the lesser 8. The authority citation for part 54 acquired exchange(s) shall commence at of the rural incumbent local exchange continues to read as follows: the beginning of the next calendar carrier portion of the annual nationwide Authority: 47 U.S.C. 1, 4(i), 201, 205, 214, quarter after the transfer of said loop cost expense adjustment calculated and 254 unless otherwise noted. exchanges. The index year expense pursuant to § 36.603 of this chapter or adjustment for rural telephone the sum of rural incumbent local 9. Amend § 54.5 by adding the companies that have operated exchange carrier expense adjustments following definition in alphabetical exchanges subject to this section for calculated pursuant to § 36.631 of this order: more than a full year on the effective chapter. The percentage multiplier used date of this paragraph shall be based on § 54.5 Terms and definitions. to derive study area safety valve loop loop cost data submitted in accordance cost expense adjustments for rural * * * * * with § 36.612 of this chapter for the year telephone companies shall be the lesser Rural Incumbent Local Exchange ending on the nearest calendar quarter of fifty (50) percent or a percentage Carrier. ‘‘Rural incumbent local following the effective date of this calculated to produce the maximum exchange carrier’’ is a carrier that meets paragraph. At the end of each the definitions of ‘‘rural telephone subsequent year, a loop cost expense total safety valve loop cost expense company’’ and ‘‘incumbent local adjustment for the acquired exchanges adjustment for all eligible study areas exchange carrier,’’ as those terms are will be calculated pursuant to § 36.631 pursuant to this paragraph. The safety defined in § 51.5 of this chapter. of this chapter and will be compared to valve loop cost expense adjustment of 10. Amend § 54.305 by designating the index year expense adjustment. A an individual rural incumbent local the undesignated text as paragraph (a) rural incumbent local exchange carrier’s exchange carrier also may be further and by adding paragraphs (b), (c), (d), subsequent year expense adjustments reduced as described is paragraph (d) of (e), and (f) to read as follows: shall end on the same calendar quarter this section. as its index year expense adjustment. If (f) Once an acquisition is complete, § 54.305 Sale or transfer of exchanges. acquired exchanges are incorporated the acquiring rural incumbent local * * * * * into an existing rural incumbent local exchange carrier shall provide written (b) Transferred exchanges in study exchange carrier study area, the rural notice to the Administrator that it has areas operated by rural telephone incumbent local exchange carrier shall acquired access lines that may be companies that are subject to the exclude costs associated with the eligible for safety valve support. Rural limitations on the transfer of high-cost acquired exchanges from the costs telephone companies also shall provide universal service support in paragraph associated with its pre-acquisition study written notice to the Administrator of (a) of this section may be eligible for a area in its universal service data when their index year has been safety valve loop cost expense submissions filed in accordance with established for purposes of calculating adjustment based on the difference §§ 36.611 and 36.612 of this chapter. the safety valve loop cost expense between a rural incumbent local Such excluded costs shall be used to adjustment. exchange carrier’s index year expense calculate the rural incumbent local adjustment and subsequent year exchange carrier’s safety valve loop cost 11. Amend § 54.307 by revising expense adjustments for the acquired expense adjustment. paragraph (a)(1), and by revising the exchanges. Safety valve loop cost (d) Up to fifty (50) percent of any second sentence in paragraph (b), by expense adjustments shall only be positive difference between the adding a sentence at the end of available to rural incumbent local subsequent year loop cost expense paragraph (b), and by revising the first exchange carriers that, in the absence of adjustment and the index year expense sentence in paragraph (c) introductory restrictions on the transfer of high-cost adjustment will be designated as the text to read as follows:
VerDate 11
§ 54.307 Support to a competitive eligible local exchange carrier not subject to the shall become part of the public record telecommunications carrier. jurisdiction of a state or an eligible maintained by the Commission. (a) * * * telecommunications carrier not subject * * * * * (1) A competitive eligible to the jurisdiction of a state serving lines 13. Add § 54.314 to subpart D to read telecommunications carrier serving in the service area of a non-rural as follows: loops in the service area of a rural incumbent local exchange carrier that incumbent local exchange carrier, as desires to receive support pursuant to § 54.314 State certification of support for that term is defined in § 54.5 of this §§ 54.309 and/or 54.311 of this subpart rural carriers. chapter, shall receive support for each must file an annual certification with (a) State certification. States that line it serves in a particular service area the Administrator and the Commission desire rural incumbent local exchange based on the support the incumbent stating that all federal high-cost support carriers and/or eligible LEC would receive for each such line, provided to such carriers will be used telecommunications carriers serving disaggregated by cost zone if only for the provision, maintenance, lines in the service area of a rural disaggregation zones have been and upgrading of facilities and services incumbent local exchange carrier within their jurisdiction to receive support established within the service area for which the support is intended. pursuant to §§ 54.301, 54.305, and/or pursuant to § 54.315 of this subpart. A Support provided pursuant to §§ 54.309 54.307 and/or part 36, subpart F of this competitive eligible and/or 54.311 of this subpart shall only chapter must file an annual certification telecommunications carrier serving be provided to the extent that the carrier loops in the service area of a non-rural with the Administrator and the has filed the requisite certification Commission stating that all federal high- incumbent local exchange carrier shall pursuant to this section. receive support for each line it serves in cost support provided to such carriers a particular wire center based on the (c) Certification format. A certification within that State will be used only for support the incumbent LEC would pursuant to this section may be filed in the provision, maintenance, and receive for each such line. the form of a letter from the appropriate upgrading of facilities and services for which the support is intended. Support * * * * * regulatory authority for the State, and provided pursuant to §§ 54.301, 54.305, (b) * * * For a competitive eligible must be filed with both the Office of the and/or 54.307 and/or part 36, subpart F telecommunications carrier serving Secretary of the Commission clearly of this chapter shall only be provided to loops in the service area of a rural referencing CC Docket No. 96–45, and the extent that the State has filed the incumbent local exchange carrier, as with the Administrator of the high-cost requisite certification pursuant to this that term is defined in § 54.5 of this universal service support mechanism, on or before the deadlines set forth in section. chapter, the carrier must report the (b) Carriers not subject to State number of working loops it serves in the paragraph (d) of this section. If provided by the appropriate regulatory authority jurisdiction. A rural incumbent local service area disaggregated by cost zone exchange carrier not subject to the if disaggregation zones have been for the state, the annual certification must identify which carriers in the State jurisdiction of a state or an eligible established within the service area telecommunications carrier not subject pursuant to § 54.315 of this subpart. are eligible to receive federal support during the applicable 12-month period, to the jurisdiction of a state serving lines * * * Competitive eligible in the service area of a rural incumbent telecommunications carriers providing and must certify that those carriers will only use support for the provision, local exchange carrier that desires to mobile wireless service in an incumbent receive support pursuant to §§ 54.301, LEC’s service area shall use the maintenance, and upgrading of facilities and services for which support is 54.305, and/or 54.307 and/or part 36, customer’s billing address for purposes subpart F of this chapter shall file an intended. A State may file a of identifying the service location of a annual certification with the supplemental certification for carriers mobile wireless customer in a service Administrator and the Commission not subject to the State’s annual area. stating that all federal high-cost support certification. All certificates filed by a (c) A competitive eligible provided to such carriers will be used telecommunications carrier must submit State pursuant to this section shall only for the provision, maintenance, the data required pursuant to paragraph become part of the public record and upgrading of facilities and services (b) of this section according to the maintained by the Commission. Non- for which the support is intended. schedule. * * * rural incumbent local exchange carriers Support provided pursuant to §§ 54.301, * * * * * not subject to the jurisdiction of a state 54.305, and/or 54.307 and/or part 36, or eligible telecommunications carrier 12. Amend § 54.313 as follows: subpart F of this chapter shall only be not subject to the jurisdiction of a state a. Revise the section heading. provided to the extent that the carrier serving lines in the service area of a b. Redesignate paragraphs (b) and (c) has filed the requisite certification non-rural incumbent local exchange as paragraphs (c) and (d). pursuant to this section. carrier, shall file a sworn affidavit c. Add a new paragraph (b). (c) Certification format. A certification d. Revise newly designated paragraph executed by a corporate officer attesting pursuant to this section may be filed in (c). to the use of the support for the the form of a letter from the appropriate e. In newly redesignated paragraph provision, maintenance, and upgrading regulatory authority for the State, and (d), the reference to ‘‘paragraph (b)’’ is of facilities and services for which shall be filed with both the Office of the revised to read ‘‘ paragraph (c)’’. support is intended. The affidavit must Secretary of the Commission clearly The addition and revisions read as be filed with both the Office of the referencing CC Docket No. 96–45, and follows: Secretary of the Commission clearly with the Administrator of the high-cost referencing CC Docket No. 96–45, and universal service support mechanism, § 54.313 State certification of support for with the Administrator of the high-cost on or before the deadlines set forth in non-rural carriers. universal service support mechanism, paragraph (d) of this section. If provided * * * * * on or before the deadlines set forth in by the appropriate regulatory authority (b) Carriers not subject to State paragraph (d) of this section. All for the state, the annual certification jurisdiction. A non-rural incumbent affidavits filed pursuant to this section must identify which carriers in the State
VerDate 11
are eligible to receive federal support 54.307 and/or part 36, subpart F of this rural incumbent local exchange carrier, during the applicable 12-month period, chapter in the first and second quarters the disaggregation and targeting of and must certify that those carriers will of that year. support under paragraphs (c) or (d) of only use support for the provision, (4) Certifications filed on or before this section. maintenance, and upgrading of facilities July 1. Carriers for which certifications (5) A carrier not subject to the and services for which support is are filed on or before July 1 shall receive jurisdiction of a state, e.g., certain intended. A State may file a support pursuant to §§ 54.301, 54.305, tribally owned carriers, may select Path supplemental certification for carriers and/or 54.307 and/or part 36, subpart F 1, but must certify to the Federal not subject to the State’s annual of this chapter, in the fourth quarter of Communications Commission as certification. All certificates filed by a that year. Such carriers shall not receive described in paragraphs (1) through (4) State pursuant to this section shall support pursuant to §§ 54.301, 54.305, of this section. become part of the public record and/or 54.307 and/or part 36, subpart F (c) Path 2: Carriers Seeking Prior maintained by the Commission. Rural of this chapter in the first, second, or Regulatory Approval for the incumbent local exchange carriers not third quarters of that year. Disaggregation and Targeting of subject to the jurisdiction of a state or (5) Certifications filed after July 1. Support: eligible telecommunications carriers not Carriers for which certifications are filed (1) A carrier electing to disaggregate subject to the jurisdiction of a state after July 1 shall not receive support and target support under this paragraph serving lines in the service area of a pursuant to §§ 54.301, 54.305, and/or must file a disaggregation and targeting rural incumbent local exchange carrier, 54.307 and/or part 36, subpart F of this plan with the state commission. shall file a sworn affidavit executed by chapter, in that year. (2) Under this paragraph a carrier may a corporate officer attesting to the use of 14. Add § 54.315 to subpart D as propose any method of disaggregation the support for the provision, follows: and targeting of support consistent with maintenance, and upgrading of facilities the general requirements detailed in and services for which support is § 54.315 Disaggregation and targeting of paragraph (e) of this section. intended. The affidavit must be filed support by rural incumbent local exchange (3) A disaggregation and targeting carriers. with both the Office of the Secretary of plan under this paragraph becomes the Commission clearly referencing CC (a) Within 270 days of the effective effective upon approval by the state Docket No. 96–45, and with the date of this rule, all rural incumbent commission. Administrator of the high-cost universal local exchange carriers for which high- (4) A carrier shall disaggregate and service support mechanism, on or before cost universal service support pursuant target support under this path for at the deadlines set forth in paragraph (d) to §§ 54.301, 54.303, and/or 54.305 and/ least four years from the date of of this section. All affidavits filed or part 36, subpart F of this chapter is approval by the state commission except pursuant to this section shall become available must select a disaggregation as provided in paragraph (c)(5) of this part of the public record maintained by path as described in paragraphs (b), (c), section. the Commission. or (d) of this section. In study areas in (5) A state commission may require, (d) Filing Deadlines. Upon the filing which a competitive carrier has been on its own motion, upon petition by an of the certification described in designated as a competitive eligible interested party, or upon petition by the paragraph (c) of this section, support telecommunications carrier prior to the rural incumbent local exchange carrier, shall be provided pursuant to the effective date of this rule, the rural the disaggregation and targeting of following schedule: incumbent local exchange carrier may support in a different manner. (1) Certifications filed on or before only disaggregate support pursuant to (6) A carrier not subject to the October 1. Carriers for which paragraph (b), (c), or (d)(1)(iii) of this jurisdiction of a state, e.g., certain certifications are filed on or before section. A rural incumbent local tribally owned carriers, may select Path October 1 shall receive support exchange carrier failing to select a 2, but must seek approval from the pursuant to §§ 54.301, 54.305, and/or disaggregation path as described in Federal Communications Commission 54.307 and/or part 36, subpart F of this paragraphs (b), (c), or (d) of this section as described in paragraphs (c)(1) chapter, in the first, second, third, and within 270 days of the effective date of through (5) of this section. fourth quarters of the succeeding year. this rule will not be permitted to (d) Path 3: Self-Certification of the (2) Certifications filed on or before disaggregate and target federal high-cost Disaggregation and Targeting of January 1. Carriers for which support unless ordered to do so by the Support: certifications are filed on or before state commission as that term is defined (1) A carrier may file a disaggregation January 1 shall receive support pursuant in § 54.5. and targeting plan with the state to §§ 54.301, 54.305, and/or 54.307 and/ (b) Path 1: Carriers Not Disaggregating commission along with a statement or part 36, subpart F of this chapter, in and Targeting High-Cost Support: certifying each of the following: the second, third, and fourth quarters of (1) A carrier may certify to the state (i) It has disaggregated support to the that year. Such carriers shall not receive commission that it will not disaggregate wire center level; or support pursuant to §§ 54.301, 54.305, and target high-cost universal service (ii) It has disaggregated support into and/or 54.307 and/or part 36, subpart F support. no more than two cost zones per wire of this chapter in the first quarter of that (2) A carrier’s election of this path center; or year. becomes effective upon certification by (iii) That the carrier’s disaggregation (3) Certifications filed on or before the carrier to the state commission. plan complies with a prior regulatory April 1. Carriers for which certifications (3) This path shall remain in place for determination made by the state are filed on or before April 1 shall such carrier for at least four years from commission. receive support pursuant to §§ 54.301, the date of certification to the state (2) Any disaggregation plan submitted 54.305, and/or 54.307 and/or part 36, commission except as provided in pursuant to this paragraph must meet subpart F of this chapter, in the third paragraph (b)(4) of this section. the following requirements: and fourth quarters of that year. Such (4) A state commission may require, (i) The plan must be supported by a carriers shall not receive support on its own motion, upon petition by an description of the rationale used, pursuant to §§ 54.301, 54.305, and/or interested party, or upon petition by the including the methods and data relied
VerDate 11
upon to develop the disaggregation changes are allowed pursuant to Administrator a copy of the self- zones, and a discussion of how the plan paragraph (c) and (d) of this section. certification plan including the complies with the requirements of this (3) The ratio of per-line support shall information submitted to the state paragraph. Such filing must provide be publicly available. commission pursuant to (d)(2)(i) and information sufficient for interested (4) Per-line support amounts for each (d)(2)(iv) of this section or the Federal parties to make a meaningful analysis of disaggregation zone shall be Communications Commission. how the carrier derived its recalculated whenever the rural (4) A rural incumbent local exchange disaggregation plan. incumbent local exchange carrier’s total carrier electing to disaggregate and (ii) The plan must be reasonably annual support amount changes using target support under paragraph (c) or (d) related to the cost of providing service the changed support amount and lines of this section must submit to the for each disaggregation zone within at that point in time. Administrator maps which precisely each disaggregated category of support. (5) Per-line support for each category identify the boundaries of the (iii) The plan must clearly specify the of support in each disaggregation zone designated disaggregation zones of per-line level of support for each shall be determined such that the ratio support within the carrier’s study area. category of high-cost universal service of support between disaggregation zones support provided pursuant to §§ 54.301, is maintained and that the product of all [FR Doc. 01–14008 Filed 6–4–01; 8:45 am] 54.303, and/or 54.305 and/or part 36, of the rural incumbent local exchange BILLING CODE 6712–01–P subpart F of this chapter in each carrier’s lines for each disaggregation zone multiplied by the per-line support disaggregation zone. FEDERAL COMMUNICATIONS (iv) If the plan uses a benchmark, the for those zones when added together COMMISSION carrier must provide detailed equals the sum of the rural incumbent information explaining what the local exchange carrier’s total support. 47 CFR Part 73 benchmark is and how it was (6) Until a competitive eligible determined. The benchmark must be telecommunications carrier is certified [DA 01–1237; MM Docket No. 01–64; RM– generally consistent with how the total in a study area, monthly payments to 10074] study area level of support for each the rural incumbent local exchange carrier will be made based on total Radio Broadcasting Services; category of costs is derived to enable a Monticello, Maine competitive eligible annual amounts for its study area telecommunications carrier to compare divided by 12. AGENCY: Federal Communications the disaggregated costs used to (7) When a competitive eligible Commission. telecommunications carrier is certified determine support for each cost zone. ACTION: Final rule. (3) A carrier’s election of this path in a study area, per-line amounts used becomes effective upon certification by to determine the competitive eligible SUMMARY: This document allots Channel the carrier to the state commission. telecommunications carrier’s 234A to Monticello, Maine, in response (4) A carrier shall disaggregate and disaggregated support shall be based on to a petition filed by Allan H. Wiener. target support under this path for at the rural incumbent local exchange See 66 FR 14873, March 14, 2001. The least four years from the date of carrier’s then-current total support coordinates for Channel 234A at certification to the state commission levels, lines, and disaggregated support Monticello, Maine, are 46–24–20 NL except as provided in paragraph (d)(5) relationships. and 67–50–45 WL. Although Canadian of this section. (f) Submission of Information to the concurrence has been requested for the (5) A state commission may require, Administrator: allotment of Channel 234A at on its own motion, upon petition by an (1) A rural incumbent local exchange Monticello, notification has not been interested party, or upon petition by the carrier certifying under paragraph (b) of received. Therefore, operation with the rural incumbent local exchange carrier, this section that it will not disaggregate facilities specified for Monticello herein modification to the disaggregation and and target high-cost universal service is subject to modification, suspension, targeting of support selected under this support shall submit to the or termination without right to hearing, path. Administrator a copy of the certification if found by the Commission to be (6) A carrier not subject to the submitted to the state commission, or necessary in order to conform to the jurisdiction of a state, e.g., certain the Federal Communications 1991 Canada-USA FM Broadcast tribally owned carriers, may select Path Commission, when not subject to state Agreement or if specifically objected to 3, but must certify to the Federal jurisdiction. by Canada. A filing window for Channel Communications Commission as (2) A rural incumbent local exchange 234A at Monticello, Maine, will not be described in paragraphs (d)(1) through carrier electing to disaggregate and opened at this time. Instead, the issue of (5) of this section. target support under paragraph (c) of opening this allotment for auction will (e) Additional Procedures Governing this section shall submit to the be addressed by the Commission in a the Operation of Path 2 and Path 3: Administrator a copy of the order subsequent order. Disaggregation and targeting plan approving the disaggregation and DATES: Effective July 3, 2001. adopted under paragraphs (c) or (d) of targeting plan submitted by the carrier this section shall be subject to the to the state commission, or the Federal FOR FURTHER INFORMATION CONTACT: following general requirements: Communications Commission, when Kathleen Scheuerle, Mass Media (1) Support available to the rural not subject to state jurisdiction, and a Bureau, (202) 418–2180. incumbent local exchange carrier’s copy of the disaggregation and targeting SUPPLEMENTARY INFORMATION: This is a study area under its disaggregation plan plan approved by the state commission summary of the Commission’s Report shall equal the total support available to or the Federal Communications and Order, MM Docket No. 01–24, the study area without disaggregation. Commission. adopted May 9, 2001, and released May (2) The ratio of per-line support (3) A rural incumbent local exchange 18, 2001. The full text of this between disaggregation zones for each carrier electing to disaggregate and Commission decision is available for disaggregated category of support shall target support under paragraph (d) of inspection and copying during normal remain fixed over time, except as this section shall submit to the business hours in the Commission’s
VerDate 11
Reference Center, Washington, DC. The and Order, MM Docket No. 01–24, Channel 261C2 for Channel 257C2 at complete text of this decision may also adopted May 9, 2001, and released May Lufkin, Texas and modify the license for be purchased from the Commission’s 18, 2001. The full text of this Station KUEZ accordingly at copy contractors, International Commission decision is available for coordinates 31–24–28 and 94–45–53; Transcription Services, Inc., 1231 20th inspection and copying during normal substitute Channel 257A for vacant Street, NW., Washington, DC 20036, business hours in the Commission’s Channel 261A at Corrigan, Texas at (202) 857–3800, facsimile (202) 857– Reference Center, 445 12th Street, SW, coordinates 30–59–47 and 94–49–36; 3805. Washington, DC. The complete text of reallot Channel 260A from Mount this decision may also be purchased Enterprise, Texas to Zwolle, Louisiana List of Subjects in 47 CFR Part 73 from the Commission’s copy and modify the authorization for Station Radio broadcasting. contractors, International Transcription KGRI to specify operation on Channel Part 73 of title 47 of the Code of Services, Inc., 1231 20th Street, NW., 260A at Zwolle, Louisiana, at Federal Regulations is amended as Washington, DC. 20036, (202) 857–3800, coordinates 31–37–53 and 93–38–38; follows: facsimile (202) 857–3805. and allot Channel 256A at Pineland, Texas, as a first local service at List of Subjects in 47 CFR Part 73 PART 73—RADIO BROADCAST coordinates 31–08–48 and 93–56–53. SERVICES Radio broadcasting. DATES: Part 73 of title 47 of the Code of Effective July 3, 2001. 1. The authority citation for part 73 Federal Regulations is amended as FOR FURTHER INFORMATION CONTACT: continues to read as follows: follows: Kathleen Scheuerle, Mass Media Authority: 47 U.S.C. 154, 303, 334 and 336. Bureau, (202) 418–2180. PART 73—RADIO BROADCAST § 73.202 [Amended] SERVICES SUPPLEMENTARY INFORMATION: This is a 2. Section 73.202(b), the Table of FM summary of the Commission’s Report 1. The authority citation for Part 73 Allotments under Maine, is amended by and Order, MM Docket No. 00–228, continues to read as follows: adding Monticello, Channel 234A. adopted May 9, 2001, and released May Authority: 47 U.S.C. 154, 303, 334 and 336. 18, 2001. The full text of this Federal Communications Commission. Commission decision is available for John A. Karousos, § 73.202 [Amended] inspection and copying during normal Chief, Allocations Branch, Policy and Rules 2. Section 73.202(b), the Table of FM business hours in the Commission’s Division, Mass Media Bureau. Allotments under Texas, is amended by Reference Center, 445 12th Street, SW, [FR Doc. 01–14015 Filed 6–4–01; 8:45 am] adding Hewitt, Channel 294A. Washington, DC. The complete text of BILLING CODE 6712–01–P Federal Communications Commission. this decision may also be purchased John A. Karousos, from the Commission’s copy contractors, International Transcription FEDERAL COMMUNICATIONS Chief, Allocations Branch, Policy and Rules Division, Mass Media Bureau. Services, Inc., 1231 20th Street, NW., COMMISSION Washington, DC. 20036, (202) 857–3800, [FR Doc. 01–14016 Filed 6–4–01; 8:45 am] facsimile (202) 857–3805. 47 CFR Part 73 BILLING CODE 6712–01–P [DA 01–1236; MM Docket No. 01–24; RM– List of Subjects in 47 CFR Part 73 10052] FEDERAL COMMUNICATIONS Radio broadcasting. Radio Broadcasting Services; Hewitt, COMMISSION Part 73 of title 47 of the Code of TX 47 CFR Part 73 Federal Regulations is amended as AGENCY: follows: Federal Communications [DA 01–1238; MM Docket No. 00–228; RM– Commission. 9991] PART 73—RADIO BROADCAST ACTION: Final rule. SERVICES Radio Broadcasting Services; Linden, SUMMARY: This document allots Channel White Oak, Lufkin, Corrigan, Mount 1. The authority citation for Part 73 294A to Hewitt, Texas, in response to a Enterprise and Pineland, TX and continues to read as follows: petition filed by Bordeaux Radio Zwolle, LA Broadcasting. See 66 FR 10266, Authority: 47 U.S.C. 154, 303, 334 and 336. AGENCY: Federal Communications February 14, 2001. The coordinates for § 73.202 [Amended] Channel 294A at Hewitt are 31–24–52 Commission. NL and 97–11–23 WL. There is a site ACTION: Final rule. 2. Section 73.202(b), the Table of FM restriction 5.3 kilometers (3.3 miles) Allotments under Texas, is amended by SUMMARY: This document reallots south of the community. A filing removing Linden, Channel 257C2 and Channel 257C2 from Linden, Texas, to window for Channel 294A at Hewitt adding White Oak, Channel 257C2, White Oak, Texas, and modifies the will not be opened at this time. Instead, removing Channel 257C2 and adding authorization for Station KIXK to the issue of opening a filing window for Channel 261C2 at Lufkin, by removing specify operation on Channel 257C2 at this channel will be addressed by the Channel 261A and adding Channel White Oak in response to a petition filed Commission in a subsequent order. 257A at Corrigan, by removing Mount by Reynolds Radio, Inc., previously Enterprise, Channel 260A and by adding DATES: Effective July 3, 2001. OARA, Inc. See 65 FR 75222, December Pineland, Channel 256A. FOR FURTHER INFORMATION CONTACT: 1, 2000. The coordinates for Channel Kathleen Scheuerle, Mass Media 257C2 at White Oak are 32–30–32 and 3. Section 73.202(b), the Table of FM Bureau, (202) 418–2180. 94–50–41. To accommodate the Allotments under Louisiana, is SUPPLEMENTARY INFORMATION: This is a allotment at White Oak we shall make amended by adding Zwolle, Channel summary of the Commission’s Report the following changes: substitute 260A.
VerDate 11
Federal Communications Commission. licensee of Station WKHI(FM) inspection and copying during normal John A. Karousos, (‘‘WKHI’’), to substitute Channel 298B1 business hours in the FCC Reference Chief, Allocations Branch, Policy and Rules for Channel 298B at Exmore, VA, reallot Center, 445 12th Street, SW, Division, Mass Media Bureau. Channel 298B1 to Fruitland, MD, as its Washington, DC. The complete text of [FR Doc. 01–14018 Filed 6–4–01; 8:45 am] first local aural transmission service, this decision may also be purchased BILLING CODE 6712–01–P and modify Station WKHI’s license from the Commission’s copy contractor, accordingly. The Notice of Proposed International Transcription Services, Rule Making, in this proceeding, 64 FR Inc., (202) 857–3800, 1231 20th Street, FEDERAL COMMUNICATIONS 70670 (December 17, 1999), included NW, Washington, DC 20036. COMMISSION both Be-More’s proposal and Great Part 73 of Title 47 of the Code of Scott’s proposal because grant of both Federal Regulations is amended as 47 CFR Part 73 proposals would have resulted in follows: Exmore, Virginia, losing its only local [DA 01–1242, MM Docket No. 99–347, RM– PART—RADIO BROADCAST 9751; RM–9761] aural transmission service. The Commission conditioned the grant of SERVICES program test authority for Great Scott’s Radio Broadcasting Services; Exmore 1. The authority citation for Part 73 and Cheriton, VA, Fruitland, MD future facilities in Fruitland on Be- More’s receipt of a license for its new continues to read as follows: AGENCY: Federal Communications FM station at Exmore, Virginia. The Authority: 47 U.S.C. 154, 303, 334 and 336. Commission. coordinates for Station WKHI’s new § 73.202 [Amended] ACTION: Final rule. location in Fruitland, Maryland, are: 38–11–32 North Latitude and 75–41–58 2. Section 73.202(b), the Table of FM SUMMARY: In this document, the West Longitude. Allotments under Maryland, is amended Commission grants the request of Be- DATES: Effective July 2, 2001. by adding Fruitland, Channel 298B1. More Broadcasting (‘‘Be-More’’) to 3. Section 73.202(b), the Table of FM withdraw its petition for rule making to FOR FURTHER INFORMATION CONTACT: R. Barthen Gorman, Mass Media Bureau, Allotments under Virginia, is amended substitute Channel 291B for Channel by removing Channel 298B at Exmore. 291B1 at Exmore, VA, reallot Channel (202) 418–2180. 291B to Cheriton, VA, as its first local SUPPLEMENTARY INFORMATION: This is a Federal Communications Commission. aural service, and modify its synopsis of the Commission’s Report John A. Karousos, construction permit to specify Cheriton and Order, MM Docket No. 99–347, Chief, Allocations Branch, Policy and Rules as its community of license. The adopted May 9, 2001, and released May Division, Mass Media Bureau. Commission grants the request of Great 18, 2001. The full text of this [FR Doc. 01–14019 Filed 6–4–01; 8:45 am] Scott Broadcasting (‘‘Great Scott’’), Commission decision is available for BILLING CODE 6712–01–P
VerDate 11
Proposed Rules Federal Register Vol. 66, No. 108
Tuesday, June 5, 2001
This section of the FEDERAL REGISTER a.m. and 4 p.m., Monday through improve the clarity of FAA contains notices to the public of the proposed Friday, holidays excepted. communications that affect you. You issuance of rules and regulations. The Service information that applies to the can get more information about the purpose of these notices is to give interested proposed AD may be obtained from Presidential memorandum and the plain persons an opportunity to participate in the Raytheon Aircraft Company, P.O. Box language initiative at http:// rule making prior to the adoption of the final rules. 85, Wichita, Kansas 67201–0085; www.plainlanguage.gov. telephone: (800) 429–5372 or (316) 676– How can I be sure FAA received my 3140. This information also may be comment? If you want us to DEPARTMENT OF TRANSPORTATION examined at the Rules Docket at the acknowledge the receipt of your address above. comments, you must include a self- Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: Paul addressed, stamped postcard. On the DeVore, Aerospace Engineer, FAA, postcard, write ‘‘Comments to Docket 14 CFR Part 39 Wichita Aircraft Certification Office, No. 2001–CE–20–AD.’’ We will date [Docket No. 2001–CE–20–AD] 1801 Airport Road, Mid-Continent stamp and mail the postcard back to Airport, Wichita, Kansas 67209; you. RIN 2120–AA64 telephone: (316) 946–4142; facsimile: Discussion (316) 946–4407. Airworthiness Directives; Raytheon SUPPLEMENTARY INFORMATION: What events have caused this AD? Aircraft Company Beech Models 1900, The FAA has received reports of flap 1900C, and 1900D Airplanes Comments Invited extension/retraction system failures on AGENCY: Federal Aviation How do I comment on the proposed Raytheon Model 1900D airplanes. The Administration, DOT. AD? The FAA invites comments on this failures occurred when the inner ACTION: Notice of proposed rulemaking proposed rule. You may submit flexible shaft ends separated or (NPRM). whatever written data, views, or disengaged. One of these failures arguments you choose. You need to resulted in an asymmetric flap SUMMARY: This document proposes to include the rule’s docket number and condition when the flap safety switch adopt a new airworthiness directive submit your comments in triplicate to failed to function properly. (AD) that would apply to certain the address specified under the caption The flap flexible shafts are designed Raytheon Aircraft Company (Raytheon) ADDRESSES. The FAA will consider all to carry more torque in one direction Beech Models 1900, 1900C, and 1900D comments received on or before the than the other. If installed on the wrong airplanes. The proposed AD would closing date. We may amend the side of the airplane, the excessive torque require you to inspect all four flap proposed rule in light of comments load leads to these failures. Raytheon flexible shaft assemblies for the correct received. Factual information that informed FAA that the flap flexible diagonal wrap and the correct supports your ideas and suggestions is shafts may have been installed on the installation. The proposed AD would extremely helpful in evaluating the wrong side of the airplane on certain also require you to replace any flap effectiveness of the proposed AD action Beech Models 1900, 1900C, and 1900D flexible shaft assembly that has an and determining whether we need to airplanes. incorrect diagonal wrap or incorrect take additional rulemaking action. What are the consequences if the installation. The proposed AD is the Are there any specific portions of the condition is not corrected? Flap result of several occurrences of flap proposed AD I should pay attention to? extension/retraction failures caused by extension/retraction failures on the The FAA specifically invites comments incorrectly configured flap flexible shaft affected airplanes due to the inner on the overall regulatory, economic, assemblies could result in loss of flap flexible shaft ends separating or environmental, and energy aspects of function or an asymmetric flap disengaging. The actions specified by the proposed rule that might suggest a condition during flight if the flap safety the proposed Ad are intended to prevent need to modify the rule. You may switch fails to function properly. these flap extension/retraction failures examine all comments we receive before Relevant Service Information due to incorrectly configured flap and after the closing date of the rule in flexible shaft assemblies. Such failure the Rules Docket. We will file a report Is there service information that could result in an asymmetric flap in the Rules Docket that summarizes applies to this subject? Raytheon has condition during flight if the flap safety each FAA contact with the public that issued Mandatory Service Bulletin SB switch fails to function properly. concerns the substantive parts of the 27–3397, Issued: January, 2001. DATES: The Federal Aviation proposed AD. What are the provisions of this service Administration (FAA) must receive any We are re-examining the writing style bulletin? The service bulletin inclues comments on this rule on or before we currently use in regulatory procedures for: August 3, 2001. documents, in response to the —Inspecting the inner flexible (drive) ADDRESSES: Submit comments in Presidential memorandum of June 1, shaft of all four flap flexible shaft triplicate to FAA, Central Region, Office 1998. That memorandum requires assemblies for the correct diagonal of the Regional Counsel, Attention: federal agencies to communicate more wrap and the correct installation; and Rules Docket No. 2001–CE–20–AD, 901 clearly with the public. We are —Replacing any flap flexible shaft Locust, Room 506, Kansas City, interested in your comments on whether assembly that has an incorrect Missouri 64106. Comments may be the style of this document is clear, and diagonal wrap or incorrect inspected at this location between 8 any other suggestions you might have to installation.
VerDate 11
The FAA’s Determination and an 1900, 1900C, and 1900D airplanes of Cost Impact Explanation of the Provisions of the the same type design; Proposed AD —The actions specified in the How many airplanes would the proposed AD impact? We estimate that What has FAA decided? After previously-referenced service the proposed AD would affect 205 examining the circumstances and information should be accomplished reviewing all available information on the affected airplanes; and airplanes in the U.S. registry. related to the incidents described above, —AD action should be taken in order to What would be the cost impact of the including the referenced service correct this unsafe condition. proposed AD on owners/operators of the bulletin, we have determined that: What would the proposed AD require? affected airplanes? We estimate the —The unsafe condition referenced in This proposed AD would require you to following costs to accomplish the this document exists or could develop incorporate the actions in the proposed inspection: on other Raytheon Beech Models previously-referenced service bulletin.
Total cost on Labor cost Parts cost Total cost per airplane U.S. operators
2 workhours × $60 per hour = $120 ...... No parts required for the inspection ...... $120 per airplane ...... $24,600.
We estimate the following costs to accomplish any necessary replacements that would be required based on the results of the proposed inspection. We have no way of determining the number of airplanes that may need such replacements.
Labor cost Parts cost Cost per flap shaft
8 workhours per flap shaft × $60 per hour = $232 per flap shaft ...... $712 per flap shaft (total of four per airplane). $480.
The manufacturer will provide that this action (1) is not a ‘‘significant the Federal Aviation Administration warranty credit for labor and parts to the regulatory action’’ under Executive proposes to amend 14 CFR part 39 of the extent noted under the Warranty Credit Order 12866; (2) is not a ‘‘significant Federal Aviation Regulations as follows: section of Raytheon Mandatory Service rule’’ under DOT Regulatory Policies Bulletin SB 27–3397, Issued: January, and Procedures (44 FR 11034, February PART 39—AIRWORTHINESS 2001. 26, 1979); and (3) if promulgated, will DIRECTIVES not have a significant economic impact, Regulatory Impact positive or negative, on a substantial 1. The authority citation for part 39 Would this proposed AD impact number of small entities under the continues to read as follows: criteria of the Regulatory Flexibility Act. various entities? The regulations Authority: 49 U.S.C. 106(g), 40113, 44701 proposed herein would not have a A copy of the draft regulatory evaluation substantial direct effect on the States, on prepared for this action has been placed § 39.13 [Amended] in the Rules Docket. A copy of it may the relationship between the national 2. FAA amends § 39.13 by adding a government and the States, or on the be obtained by contacting the Rules Docket at the location provided under new airworthiness directive (AD) to distribution of power and read as follows: responsibilities among the various the caption ADDRESSES. levels of government. Therefore, it is List of Subjects in 14 CFR Part 39 Raytheon Aircraft Company: Docket No. determined that this proposed rule 2001–CE–20–AD. Air transportation, Aircraft, Aviation would not have federalism implications (a) What airplanes are affected by this AD? safety, Safety. under Executive Order 13132. This AD affects the following model and Would this proposed AD involve a The Proposed Amendment serial number airplanes that are certified in significant rule or regulatory action? For Accordingly, under the authority any category: the reasons discussed above, I certify delegated to me by the Administrator,
Model Serial No.
Beech Model 1900 ...... UA–2 and UA–3. Beech Model 1900C ...... UB–1 through UB–74 and UC–1 through UC–174. Beech Model 1900C (C–12J) ...... UD–1 through UD–6. Beech Model 1900D ...... UE–1 through UE–345; UE–347 through UE–361; UE–364; UN–367; UE–373; and UE–379.
(b) Who must comply with this AD? to prevent flap extension/retraction failures if the flap safety switch fails to function Anyone who wishes to operate any of the due to incorrectly configured flap flexible properly. above airplane must comply with this AD. shaft assemblies. Such failure could result in (d) What actions must I accomplish to (c) What problem does this AD address? any asymmetric flap condition during flight address this problem? To address this The actions specified by this AD are intended problem, you must accomplish the following:
VerDate 11
Actions Compliance Procedures
(1) Inspect the inner flexible (drive) shaft of all Within the next 200 hours time-in-service In accordance with the ACCOMPLISHMENT four flap flexible shaft assemblies for the cor- (TIS) after the effective date of this AD, un- INSTRUCTIONS section of Raytheon Air- rect diagonal wrap and the correct installation. less already accomplish. craft Mandatory Service Bulletin SB 27– 3397, Issued: January 2, 2001. (2) Replace any flap flexible shaft assembly Prior to further flight after the inspection re- In accordance with the ACCOMPLISHMENT found to have an incorrect diagonal wrap or quired in paragraph (d)(1) of this AD. INSTRUCTIONS section of Raytheon Air- incorrect installation during the inspection re- craft Mandatory Service Bulletin SB 27– quired by paragraph (d)(1) of this AD. 3397, Issued: January, 2001, and the appli- cable maintenance manual.
(e) Can I comply with this AD in any other DEPARTMENT OF TRANSPORTATION Renton, Washington 98055–4056. way? You may use an alternative method of Comments may be inspected at this compliance or adjust the compliance time if: Federal Aviation Administration location between 9 a.m. and 3 p.m., (1) Your alternative method of compliance Monday through Friday, except Federal provides an equivalent level of safety; and 14 CFR Part 39 holidays. Comments may be submitted (2) The Manager, Wichita Aircraft via fax to (425) 227–1232. Comments Certification Office (ACO), approves your [Docket No. 2000–NM–163–AD] alternative. Submit your request through an may also be sent via the Internet using FAA Principal Maintenance Inspector, who RIN 2120–AA64 the following address: 9-anm- may add comments and then send it to the [email protected]. Comments sent Manager, Wichita ACO. Airworthiness Directives; McDonnell via fax or the Internet must contain Note: This AD applies to each airplane is Douglas Model DC–9–81, –82, –83, and ‘‘Docket No. 2000–NM–163–AD’’ in the identified in paragraph (a) of this AD, –87 Series Airplanes, and Model MD– subject line and need not be submitted regardless of whether it has been modified, 88 Airplanes in triplicate. Comments sent via the altered, or repaired in the area subject to the Internet as attached electronic files must AGENCY: Federal Aviation requirements of this AD. For airplanes that be formatted in Microsoft Word 97 for Administration, DOT. have been modified, altered, or repaired so Windows or ASCII text. ACTION: Notice of proposed rulemaking that the performance of the requirements of The service information referenced in this AD is affected, the owner/operator must (NPRM). the proposed rule may be obtained from request approval for an alternative method of compliance in accordance with paragraph (e) SUMMARY: This document proposes the Boeing Commercial Aircraft Group, of this AD. The request should include an supersedure of an existing airworthiness Long Beach Division, 3855 Lakewood assessment of the effect of the modification, directive (AD), applicable to certain Boulevard, Long Beach, California alternation, or repair on the unsafe condition McDonnell Douglas Model DC–9–81, 90846, Attention: Data and Service addressed by this AD; and, if you have not –82, –83, and –87 series airplanes, and Management, Dept. C1–L5A (D800– eliminated the unsafe condition, specific Model MD–88 airplanes, that currently 0024). This information may be actions you propose to address it. requires an inspection to detect damage, examined at the FAA, Transport (f) Where can I get information about any burn marks, or discoloration at certain Airplane Directorate, 1601 Lind already-approved alternative methods of electrical plugs and receptacles of the Avenue, SW., Renton, Washington; or at compliance? Contact Paul DeVore, Aerospace sidewall lighting in the passenger cabin, the the FAA, Los Angeles Aircraft Engineer, FAA, Wichita Aircraft Certification and correction of discrepancies. That Certification Office, 3960 Paramount Office, 1801 Airport Road Mid-Continent Boulevard, Lakewood, California. Airport, Wichita, Kansas 67209; telephone: AD also requires modification of the (316) 946–4142; facsimile: (316) 946–4407. electrical connectors, which terminates FOR FURTHER INFORMATION CONTACT: (g) What if I need to fly the airplane to the inspection requirement. That action Elvin Wheeler, Aerospace Engineer, another location to comply with this AD? The was prompted by reports of failures of Systems and Equipment Branch, ANM– FAA can issue a special flight permit under the electrical connectors in the sidewall 130L, FAA, Los Angeles Aircraft sections 21.197 and 21.199 of the Federal fluorescent lighting, which resulted in Certification Office, 3960 Paramount Aviation Regulations (14 CFR 21.197 and smoke or lighting interruption in the Boulevard, Lakewood, California 90712; 21.199) to operate your airplane to a location passenger cabin. This action would telephone (562) 627–5344; fax (562) where you can accomplish the requirements expand the applicability of the existing 627–5210. of this AD. AD to include additional airplanes. The SUPPLEMENTARY INFORMATION: (h) How do I get copies of the documents actions specified by the proposed AD referenced in this AD? You may obtain copies Comments Invited of the documents referenced in this AD from are intended to prevent failures of the Raytheon Aircraft Company, P.O. Box 85, electrical connectors, which could Interested persons are invited to Wichita, Kansas 67201–0085; telephone (800) result in poor socket/pin contact, participate in the making of the 429–5372 or (316) 676–3140. You may excessive heat, electrical arcing, and proposed rule by submitting such examine these documents at FAA, Central subsequently, connector burn through written data, views, or arguments as Region, Office of the Regional Counsel, 901 and smoke and/or fire in the passenger they may desire. Communications shall Locust, Room 506, Kansas City, Missouri cabin. identify the Rules Docket number and 64106. DATES: Comments must be received by be submitted in triplicate to the address Issued in Kansas City, Missouri, on May July 20, 2001. specified above. All communications 25, 2001. ADDRESSES: Submit comments in received on or before the closing date James E. Jackson, triplicate to the Federal Aviation for comments, specified above, will be Acting Manager, Small Airplane Directorate, Administration (FAA), Transport considered before taking action on the Aircraft Certification Service. Airplane Directorate, ANM–114, proposed rule. The proposals contained [FR Doc. 01–14006 Filed 6–4–01; 8:45 am] Attention: Rules Docket No. 2000–NM– in this action may be changed in light BILLING CODE 4910–13–M 163–AD, 1601 Lind Avenue, SW., of the comments received.
VerDate 11
Submit comments using the following Actions Since Issuance of Previous Rule between $2,639, and $3,059 per format: Since the issuance of that AD, the airplane. • Organize comments issue-by-issue. FAA has reviewed and approved The cost impact figures discussed For example, discuss a request to McDonnell Douglas MD–80 Service above are based on assumptions that no change the compliance time and a Bulletin 33–99, Revision 02, dated operator has yet accomplished any of request to change the service bulletin December 15, 1995, and Boeing Alert the current or proposed requirements of reference as two separate issues. this AD action, and that no operator • For each issue, state what specific Service Bulletin MD80–33A099, would accomplish those actions in the change to the proposed AD is being Revision 03, dated January 27, 2000. future if this AD were not adopted. The requested. The inspection, replacement, if cost impact figures discussed in AD • Include justification (e.g., reasons or necessary, and modification procedures rulemaking actions represent only the data) for each request. described in these revisions are Comments are specifically invited on essentially identical to those in Revision time necessary to perform the specific the overall regulatory, economic, 01 of the service bulletin, which was actions actually required by the AD. environmental, and energy aspects of referenced in AD 95–19–09 as the These figures typically do not include the proposed rule. All comments appropriate source of service incidental costs, such as the time submitted will be available, both before information for accomplishing the required to gain access and close up, and after the closing date for comments, required actions in that AD. However, planning time, or time necessitated by in the Rules Docket for examination by Revision 02 of the service bulletin other administrative actions. interested persons. A report added additional airplanes to the Regulatory Impact summarizing each FAA-public contact effectivity listing that are subject to the concerned with the substance of this identified unsafe condition. The regulations proposed herein proposal will be filed in the Rules Accomplishment of the actions would not have a substantial direct Docket. specified in these service bulletins is effect on the States, on the relationship Commenters wishing the FAA to intended to adequately address the between the national Government and acknowledge receipt of their comments identified unsafe condition. the States, or on the distribution of submitted in response to this action Explanation of Requirements of power and responsibilities among the must submit a self-addressed, stamped Proposed Rule various levels of government. Therefore, postcard on which the following it is determined that this proposal statement is made: ‘‘Comments to Since an unsafe condition has been would not have federalism implications Docket Number 2000–NM–163–AD.’’ identified that is likely to exist or under Executive Order 13132. develop on other products of this same The postcard will be date stamped and For the reasons discussed above, I type design, the proposed AD would returned to the commenter. certify that this proposed regulation (1) supersede AD 95–19–09 to continue to is not a ‘‘significant regulatory action’’ Availability of NPRMs require an inspection to detect damage, under Executive Order 12866; (2) is not burn marks, or discoloration at certain Any person may obtain a copy of this a ‘‘significant rule’’ under the DOT electrical plugs and receptacles of the NPRM by submitting a request to the Regulatory Policies and Procedures (44 sidewall lighting in the passenger cabin, FAA, Transport Airplane Directorate, FR 11034, February 26, 1979); and (3) if and correction of discrepancies. The ANM–114, Attention: Rules Docket No. promulgated, will not have a significant proposed AD also would continue to 2000–NM–163–AD, 1601 Lind Avenue, economic impact, positive or negative, require modification of the electrical SW., Renton, Washington 98055–4056. on a substantial number of small entities connectors, which would terminate the under the criteria of the Regulatory Discussion inspection requirement. In addition, the Flexibility Act. A copy of the draft On September 7, 1995, the FAA proposed AD would expand the regulatory evaluation prepared for this issued AD 95–19–09, amendment 39– applicability of the existing AD to action is contained in the Rules Docket. 9371 (60 FR 48639, September 20, include additional airplanes. The A copy of it may be obtained by 1995), applicable to certain McDonnell actions would be required to be contacting the Rules Docket at the Douglas Model DC–9–81, –82, –83, and accomplished in accordance with the location provided under the caption –87 series airplanes, and Model MD–88 service bulletins described previously. airplanes, to require an inspection to ADDRESSES. Cost Impact detect damage, burn marks, or List of Subjects in 14 CFR Part 39 discoloration at certain electrical plugs There are approximately 970 Model and receptacles of the sidewall lighting DC–9–81, –82, –83, and –87 series Air transportation, Aircraft, Aviation in the passenger cabin, and correction of airplanes, and Model MD–88 airplanes safety, Safety. discrepancies. That AD also requires of the affected design in the worldwide The Proposed Amendment modification of the electrical fleet. The FAA estimates that 470 connectors, which terminates the airplanes of U.S. registry would be Accordingly, pursuant to the inspection requirement. That action was affected by this proposed AD. authority delegated to me by the prompted by reports of failures of the The actions that are proposed in this Administrator, the Federal Aviation electrical connectors in the sidewall AD action would take approximately Administration proposes to amend part fluorescent lighting, which resulted in between 24 and 31 work hours per 39 of the Federal Aviation Regulations smoke or lighting interruption in the airplane to accomplish, at an average (14 CFR part 39) as follows: passenger cabin. The requirements of labor rate of $60 per work hour. that AD are intended to prevent failures Required parts would cost PART 39—AIRWORTHINESS of the electrical connectors, which approximately $1,199 per airplane. DIRECTIVES could result in poor socket/pin contact, Based on these figures, the cost impact excessive heat, electrical arcing, and of the proposed requirements of this AD 1. The authority citation for part 39 subsequently, connector burn through on U.S. operators is estimated to be continues to read as follows: and smoke in the passenger cabin. between $1,240,330, and $1,437,730, or Authority: 49 U.S.C. 106(g), 40113, 44701.
VerDate 11
§ 39.13 [Amended] subject to the requirements of this AD. For 1995, are considered acceptable for airplanes that have been modified, altered, or compliance with the requirements of this AD. 2. Section 39.13 is amended by repaired so that the performance of the To prevent failures of the electrical removing amendment 39–9371 (60 FR requirements of this AD is affected, the connectors, which could result in poor 48639, September 20, 1995), and by owner/operator must request approval for an socket/pin contact, excessive heat, electrical adding a new airworthiness directive alternative method of compliance in arcing, and subsequently, connector burn (AD), to read as follows: accordance with paragraph (d) of this AD. through and smoke and/or fire in the The request should include an assessment of passenger cabin, accomplish the following: McDonnell Douglas: Docket 2000–NM–163– the effect of the modification, alteration, or AD. Supersedes AD 95–19–09, repair on the unsafe condition addressed by General Visual Inspection Amendment 39–9371. this AD; and, if the unsafe condition has not (a) At the applicable time indicated in Applicability: Model DC–9–81, –82, –83, been eliminated, the request should include Table 1 of this AD, do a general visual and –87 series airplanes, and Model MD–88 specific proposed actions to address it. inspection to detect damage, burn marks, or airplanes, as listed in Boeing Alert Service Compliance: Required as indicated, unless black or brown discoloration caused by Bulletin MD80–33A099, Revision 03, dated accomplished previously. electrical arcing at electrical plugs, having January 27, 2000; certificated in any category. Note 2: Actions required by this AD that part number (P/N) MS3126F–15P, and Note 1: This AD applies to each airplane were done before the effective date of this AD receptacles, having P/N MS3124E–15S, of the identified in the preceding applicability per McDonnell Douglas MD–80 Service sidewall lighting in the passenger cabin, per provision, regardless of whether it has been Bulletin 33–99, Revision 1, dated February Boeing Alert Service Bulletin MD80–33A099, modified, altered, or repaired in the area 23, 1995, or Revision 02, dated December 15, Revision 03, dated January 27, 2000.
TABLE 1
Affected airplanes Compliance time
(1) DC–9–81, –82, –83, and –87 series airplanes, and MD–88 air- Within 18 months after October 5, 1995 (the effective date of AD 95– planes, serial numbers 49614, 49626 through 49632 inclusive, 19–09). 49668, and 49707. (2) Other than those airplanes identified in paragraph (a)(1) of this AD Within 18 months after the effective date of this AD.
Note 3: For the purposes of this AD, a Note 4: Information concerning the directive (AD) that is applicable to general visual inspection is defined as ‘‘A existence of approved alternative methods of certain McDonnell Douglas Model DC– visual examination of an interior or exterior compliance with this AD, if any, may be 9–81, –82, –83, and –87 series airplanes, obtained from the Los Angeles ACO. area, installation, or assembly to detect and Model MD–88 airplanes. This obvious damage, failure, or irregularity. This Special Flight Permits proposal would require replacing the level of inspection is made under normally available lighting conditions such as (e) Special flight permits may be issued in interface connectors of the cabin daylight, hangar lighting, flashlight, or drop- accordance with §§ 21.197 and 21.199 of the fluorescent lighting ballast in the wiring light, and may require removal or opening of Federal Aviation Regulations (14 CFR 21.197 harness of the overhead stowage access panels or doors. Stands, ladders, or and 21.199) to operate the airplane to a compartment with new connectors. This platforms may be required to gain proximity location where the requirements of this AD action is necessary to prevent electrical can be accomplished. to the area being checked.’’ shorting and arcing due to the presence Issued in Renton, Washington, on May 25, of water in the lighting ballast interface Corrective Action 2001. connectors, which could result in smoke (b) If any discrepancy is found during the Vi L. Lipski, in the main cabin. This action is inspection required by paragraph (a) of this Manager, Transport Airplane Directorate, intended to address the identified AD, before further flight, replace the Aircraft Certification Service. unsafe condition. damaged connectors, pins, sockets, or wire [FR Doc. 01–14005 Filed 6–4–01; 8:45 am] with new parts, per Boeing Alert Service BILLING CODE 4910–13–U DATES: Comments must be received by Bulletin MD80–33A099, Revision 03, dated July 20, 2001. January 27, 2000. ADDRESSES: Submit comments in DEPARTMENT OF TRANSPORTATION Modification triplicate to the Federal Aviation (c) At the applicable time indicated in Federal Aviation Administration Administration (FAA), Transport Table 1 of this AD, modify the electrical Airplane Directorate, ANM–114, connectors of the sidewall lighting in the 14 CFR Part 39 Attention: Rules Docket No. 2000–NM– passenger cabin, per Boeing Alert Service 162–AD, 1601 Lind Avenue, SW., Bulletin MD80–33A099, Revision 03, dated [Docket No. 2000–NM–162–AD] January 27, 2000. Accomplishment of this Renton, Washington 98055–4056. modification constitutes compliance with the RIN 2120–AA64 Comments may be inspected at this requirements of this AD. location between 9 a.m. and 3 p.m., Airworthiness Directives; McDonnell Monday through Friday, except Federal Alternative Methods of Compliance Douglas DC–9–81, –82, –83, and –87 holidays. Comments may be submitted (d) An alternative method of compliance or Series Airplanes, and Model MD–88 via fax to (425) 227–1232. Comments adjustment of the compliance time that Airplanes may also be sent via the Internet using provides an acceptable level of safety may be AGENCY: Federal Aviation the following address: 9-anm- used if approved by the Manager, Los [email protected]. Comments sent Angeles Aircraft Certification Office (ACO), Administration, DOT. FAA. Operators shall submit their requests ACTION: Notice of proposed rulemaking via fax or the Internet must contain through an appropriate FAA Principal (NPRM). ‘‘Docket No. 2000–NM–162–AD’’ in the Maintenance Inspector, who may add subject line and need not be submitted comments and then send it to the Manager, SUMMARY: This document proposes the in triplicate. Comments sent via the Los Angeles ACO. adoption of a new airworthiness Internet as attached electronic files must
VerDate 11
be formatted in Microsoft Word 97 for must submit a self-addressed, stamped develop on other products of this same Windows or ASCII text. postcard on which the following type design, the proposed AD would The service information referenced in statement is made: ‘‘Comments to require accomplishment of the actions the proposed rule may be obtained from Docket Number 2000–NM–162–AD.’’ specified in the service bulletin Boeing Commercial Aircraft Group, The postcard will be date stamped and described previously. Long Beach Division, 3855 Lakewood returned to the commenter. Differences Between the Proposed AD Boulevard, Long Beach, California Availability of NPRMs and the Referenced Service Bulletin 90846, Attention: Data and Service Management, Dept. C1–L5A (D800– Any person may obtain a copy of this Operators should note that, even 0024). This information may be NPRM by submitting a request to the though the effectivity listing of the examined at the FAA, Transport FAA, Transport Airplane Directorate, referenced service bulletin only lists Airplane Directorate, 1601 Lind ANM–114, Attention: Rules Docket No. ‘‘MD–80’’ series airplanes, the Avenue, SW., Renton, Washington; or at 2000–NM–162–AD, 1601 Lind Avenue, manufacturer’s fuselage numbers listed the FAA, Los Angeles Aircraft SW., Renton, Washington 98055–4056. in the effectivity listing include Model MD–88 airplanes. Therefore, the Certification Office, 3960 Paramount Discussion Boulevard, Lakewood, California. applicability of the proposed AD As part of its practice of re-examining FOR FURTHER INFORMATION CONTACT: includes Model MD–88 airplanes, as all aspects of the service experience of Elvin Wheeler, Aerospace Engineer, well as Model DC–9–81, –82, –83, and a particular aircraft whenever an Systems and Equipment Branch, ANM– –87 series airplanes. accident occurs, the FAA has become 130L, FAA, Los Angeles Aircraft aware of incidents of smoke in the main Cost Impact Certification Office, 3960 Paramount cabin on certain McDonnell Douglas There are approximately 747 Boulevard, Lakewood, California Model DC–9–81, –82, –83, and –87 airplanes of the affected design in the 90712–4137; telephone (562) 627–5344; series airplanes, and Model MD–88 worldwide fleet. The FAA estimates that fax (562) 627–5210. airplanes. Investigation revealed the 486 airplanes of U.S. registry would be SUPPLEMENTARY INFORMATION: presence of water in the lighting ballast affected by this proposed AD, that it Comments Invited interface connectors, which can cause would take approximately 15 work electrical shorts and arcing of the hours per airplane to accomplish the Interested persons are invited to connectors. This condition, if not proposed actions, and that the average participate in the making of the corrected, could result in smoke in main labor rate is $60 per work hour. proposed rule by submitting such cabin. Required parts would cost $510 per written data, views, or arguments as airplane. Based on these figures, the cost they may desire. Communications shall Other Related Rulemaking impact of the inspections proposed AD identify the Rules Docket number and The FAA, in conjunction with Boeing on U.S. operators is estimated to be be submitted in triplicate to the address and operators of McDonnell Douglas $685,260, or $1,410 per airplane. specified above. All communications Model DC–9–81, –82, –83, and –87 The cost impact figure discussed received on or before the closing date series airplanes, and Model MD–88 above is based on assumptions that no for comments, specified above, will be airplanes, is continuing to review all operator has yet accomplished any of considered before taking action on the aspects of the service history of those the proposed requirements of this AD proposed rule. The proposals contained airplanes to identify potential unsafe action, and that no operator would in this notice may be changed in light conditions and to take appropriate accomplish those actions in the future if of the comments received. corrective actions. This proposed this proposed AD were not adopted. The Submit comments using the following airworthiness directive (AD) is one of a cost impact figures discussed in AD format: series of actions identified during that rulemaking actions represent only the • Organize comments issue-by-issue. process. The process is continuing and time necessary to perform the specific For example, discuss a request to the FAA may consider additional actions actually required by the AD. change the compliance time and a rulemaking actions as further results of These figures typically do not include request to change the service bulletin the review become available. incidental costs, such as the time reference as two separate issues. required to gain access and close up, • Explanation of Relevant Service For each issue, state what specific planning time, or time necessitated by Information change to the proposed AD is being other administrative actions. requested. The FAA has reviewed and approved • Include justification (e.g., reasons or McDonnell Douglas Alert Service Regulatory Impact data) for each request. Bulletin MD80–33A096, Revision 02, The regulations proposed herein Comments are specifically invited on dated November 1, 1999. The service would not have a substantial direct the overall regulatory, economic, bulletin describes procedures for effect on the States, on the relationship environmental, and energy aspects of replacing the interface connectors of the between the national Government and the proposed rule. All comments cabin fluorescent lighting ballast in the the States, or on the distribution of submitted will be available, both before wiring harness of the overhead stowage power and responsibilities among the and after the closing date for comments, compartment with new connectors. various levels of government. Therefore, in the Rules Docket for examination by Accomplishment of the actions it is determined that this proposal interested persons. A report specified in the service bulletin is would not have federalism implications summarizing each FAA-public contact intended to adequately address the under Executive Order 13132. concerned with the substance of this identified unsafe condition. For the reasons discussed above, I proposal will be filed in the Rules certify that this proposed regulation (1) Docket. Explanation of Requirements of is not a ‘‘significant regulatory action’’ Commenters wishing the FAA to Proposed Rule under Executive Order 12866; (2) is not acknowledge receipt of their comments Since an unsafe condition has been a ‘‘significant rule’’ under the DOT submitted in response to this notice identified that is likely to exist or Regulatory Policies and Procedures (44
VerDate 11
FR 11034, February 26, 1979); and (3) if connectors of the cabin fluorescent lighting certain McDonnell Douglas Model DC– promulgated, will not have a significant ballast in the wiring harness of the overhead 9–81, –82, –83, and –87 series airplanes, economic impact, positive or negative, stowage compartment with new connectors, and Model MD–88 airplanes. This on a substantial number of small entities in accordance with McDonnell Douglas Alert proposal would require a detailed visual Service Bulletin MD80–33A096, Revision 02, under the criteria of the Regulatory dated November 1, 1999. inspection of certain wires to detect Flexibility Act. A copy of the draft chafing and preload; repair, if necessary; Note 2: Replacement of connectors prior to regulatory evaluation prepared for this the effective date of this AD in accordance and modification of certain wire action is contained in the Rules Docket. with McDonnell Douglas MD80 Service assemblies. This action is necessary to A copy of it may be obtained by Bulletin 33–96, dated December 15, 1993; or prevent insufficient clearance between contacting the Rules Docket at the Revision 1, dated February 28, 1994; is wire assemblies and the ice protection location provided under the caption considered acceptable for compliance with airduct and airstair door interlock rod, ADDRESSES. the requirements of paragraph (a) of this AD. chafing, and consequent arcing of wire assemblies. Such arcing could result in List of Subjects in 14 CFR Part 39 Spares damage to electronic equipment and Air transportation, Aircraft, Aviation (b) As of the effective date of this AD, no adjacent structure, or cause the safety, Safety. person shall install any connector, part number MB10R6, on any airplane. insulation blankets to ignite, which The Proposed Amendment could result in smoke and fire in the Alternative Methods of Compliance flight deck and main cabin. This action Accordingly, pursuant to the (c) An alternative method of compliance or is intended to address the identified authority delegated to me by the adjustment of the compliance time that unsafe condition. Administrator, the Federal Aviation provides an acceptable level of safety may be Administration proposes to amend part used if approved by the Manager, Los DATES: Comments must be received by 39 of the Federal Aviation Regulations Angeles Aircraft Certification Office (ACO), July 20, 2001. (14 CFR part 39) as follows: FAA. Operators shall submit their requests ADDRESSES: Submit comments in through an appropriate FAA Principal triplicate to the Federal Aviation PART 39—AIRWORTHINESS Maintenance Inspector, who may add Administration (FAA), Transport DIRECTIVES comments and then send it to the Manager, Airplane Directorate, ANM–114, Los Angeles ACO. 1. The authority citation for part 39 Attention: Rules Docket No. 2000–NM– Note 3: Information concerning the 161–AD, 1601 Lind Avenue, SW., continues to read as follows: existence of approved alternative methods of Renton, Washington 98055–4056. Authority: 49 U.S.C. 106(g), 40113, 44701. compliance with this AD, if any, may be obtained from the Los Angeles ACO. Comments may be inspected at this § 39.13 [Amended] location between 9 a.m. and 3 p.m., Special Flight Permits 2. Section 39.13 is amended by Monday through Friday, except Federal adding the following new airworthiness (d) Special flight permits may be issued in holidays. Comments may be submitted directive: accordance with §§ 21.197 and 21.199 of the via fax to (425) 227–1232. Comments Federal Aviation Regulations (14 CFR 21.197 may also be sent via the Internet using McDonnell Douglas: Docket 2000–NM–162– and 21.199) to operate the airplane to a the following address: 9-anm- AD. location where the requirements of this AD [email protected]. Comments sent Applicability: Model DC–9–81, –82, –83, can be accomplished. via fax or the Internet must contain and –87 series airplanes, and Model MD–88 Issued in Renton, Washington, on May 25, ‘‘Docket No. 2000–NM–161–AD’’ in the airplanes, as listed in McDonnell Douglas 2001. Alert Service Bulletin MD80–33A096, subject line and need not be submitted Vi L. Lipski, Revision 02, dated November 1, 1999; in triplicate. Comments sent via the certificated in any category. Manager, Transport Airplane Directorate, Internet as attached electronic files must Aircraft Certification Service. Note 1: This AD applies to each airplane be formatted in Microsoft Word 97 for identified in the preceding applicability [FR Doc. 01–14004 Filed 6–4–01; 8:45 am] Windows or ASCII text. provision, regardless of whether it has been BILLING CODE 4910–13–U The service information referenced in modified, altered, or repaired in the area the proposed rule may be obtained from subject to the requirements of this AD. For Boeing Commercial Aircraft Group, airplanes that have been modified, altered, or DEPARTMENT OF TRANSPORTATION Long Beach Division, 3855 Lakewood repaired so that the performance of the Boulevard, Long Beach, California requirements of this AD is affected, the Federal Aviation Administration owner/operator must request approval for an 90846, Attention: Data and Service Management, Dept. C1–L5A (D800– alternative method of compliance in 14 CFR Part 39 accordance with paragraph (c) of this AD. 0024). This information may be The request should include an assessment of [Docket No. 2000–NM–161–AD] examined at the FAA, Transport the effect of the modification, alteration, or Airplane Directorate, 1601 Lind RIN 2120–AA64 repair on the unsafe condition addressed by Avenue, SW., Renton, Washington; or at this AD; and, if the unsafe condition has not Airworthiness Directives; McDonnell the FAA, Los Angeles Aircraft been eliminated, the request should include Certification Office, 3960 Paramount specific proposed actions to address it. Douglas Model DC–9–81, –82, –83, and –87 Series Airplanes, and Model MD– Boulevard, Lakewood, California. Compliance: Required as indicated, unless accomplished previously. 88 Airplanes FOR FURTHER INFORMATION CONTACT: Elvin Wheeler, Aerospace Engineer, To prevent electrical shorting and arcing AGENCY: Federal Aviation Systems and Equipment Branch, ANM– due to the presence of water in the lighting Administration, DOT. ballast interface connectors, which could 130L, FAA, Los Angeles Aircraft result in smoke in the main cabin, ACTION: Notice of proposed rulemaking Certification Office, 3960 Paramount accomplish the following: (NPRM). Boulevard, Lakewood, California Modification SUMMARY: This document proposes the 90712–4137; telephone (562) 627–5344; (a) Within 18 months after the effective adoption of a new airworthiness fax (562) 627–5210. date of this AD, replace the interface directive (AD) that is applicable to SUPPLEMENTARY INFORMATION:
VerDate 11
Comments Invited –82, –83, and –87 series airplanes, and Cost Impact Interested persons are invited to Model MD–88 airplanes). Investigation revealed the cause to be chafed and There are approximately 1,037 Model participate in the making of the DC–9–81, –82, –83, and –87 series proposed rule by submitting such burned wire assemblies in the electrical/ electronics (E/E) compartment, left-side, airplanes, and Model MD–88 airplanes written data, views, or arguments as of the affected design in the worldwide they may desire. Communications shall between stations Y=148.000 and Y=160.000. The chafing and consequent fleet. The FAA estimates that 830 identify the Rules Docket number and airplanes of U.S. registry would be be submitted in triplicate to the address arcing occurred between the air duct shroud of the strake ice protection affected by this proposed AD, that it specified above. All communications would take approximately 1 work hour received on or before the closing date system or airstair door interlock rod and adjacent wire assemblies. The chafing is per airplane to accomplish the proposed for comments, specified above, will be detailed visual inspection, and that the considered before taking action on the caused by insufficient clearance between the wire assemblies and ice average labor rate is $60 per work hour. proposed rule. The proposals contained Based on these figures, the cost impact in this action may be changed in light protection airduct and airstair door interlock rod. This condition, if not of the inspection proposed AD on U.S. of the comments received. operators is estimated to be $49,800, or Submit comments using the following corrected, could result in chafing and $60 per airplane. format: consequent arcing of wire assemblies. • Organize comments issue-by-issue. Such arcing could result in damage to The cost impact figure discussed For example, discuss a request to electronic equipment and adjacent above is based on assumptions that no change the compliance time and a structure, or could cause the insulation operator has yet accomplished any of request to change the service bulletin blankets to ignite, which could result in the proposed requirements of this AD reference as two separate issues. smoke and fire in the flight deck and action, and that no operator would • For each issue, state what specific main cabin. accomplish those actions in the future if this proposed AD were not adopted. The change to the proposed AD is being Other Related Rulemaking requested. cost impact figures discussed in AD • Include justification (e.g., reasons or The FAA, in conjunction with Boeing rulemaking actions represent only the data) for each request. and operators of McDonnell Douglas time necessary to perform the specific Comments are specifically invited on Model DC–9–81, –82, –83, and –87 actions actually required by the AD. the overall regulatory, economic, series airplanes, and Model MD–88 These figures typically do not include environmental, and energy aspects of airplanes, is continuing to review all incidental costs, such as the time the proposed rule. All comments aspects of the service history of those required to gain access and close up, submitted will be available, both before airplanes to identify potential unsafe planning time, or time necessitated by and after the closing date for comments, conditions and to take appropriate other administrative actions. in the Rules Docket for examination by corrective actions. This proposed Regulatory Impact interested persons. A report airworthiness directive (AD) is one of a summarizing each FAA-public contact series of actions identified during that The regulations proposed herein concerned with the substance of this process. The process is continuing and would not have a substantial direct proposal will be filed in the Rules the FAA may consider additional effect on the States, on the relationship Docket. rulemaking actions as further results of between the national Government and Commenters wishing the FAA to the review become available. the States, or on the distribution of acknowledge receipt of their comments power and responsibilities among the submitted in response to this action Explanation of Relevant Service various levels of government. Therefore, must submit a self-addressed, stamped Information it is determined that this proposal postcard on which the following The FAA has reviewed and approved would not have federalism implications statement is made: ‘‘Comments to McDonnell Douglas Alert Service under Executive Order 13132. Docket Number 2000–NM–161–AD.’’ Bulletin MD80–24A126, Revision 02, For the reasons discussed above, I The postcard will be date stamped and dated September 22, 1999, which certify that this proposed regulation (1) returned to the commenter. describes procedures for a visual is not a ‘‘significant regulatory action’’ Availability of NPRMs inspection of certain wires to detect under Executive Order 12866; (2) is not Any person may obtain a copy of this chafing and preload; repair, if necessary; a ‘‘significant rule’’ under the DOT NPRM by submitting a request to the and modification of certain wire Regulatory Policies and Procedures (44 FAA, Transport Airplane Directorate, assemblies. The modification includes FR 11034, February 26, 1979); and (3) if ANM–114, Attention: Rules Docket No. tying back wire bundles, and installing promulgated, will not have a significant 2000–NM–161–AD, 1601 Lind Avenue, spacers and sta-straps. Accomplishment economic impact, positive or negative, SW., Renton, Washington 98055–4056. of the actions specified in the service on a substantial number of small entities bulletin is intended to adequately under the criteria of the Regulatory Discussion address the identified unsafe condition. Flexibility Act. A copy of the draft As part of its practice of re-examining regulatory evaluation prepared for this Explanation of Requirements of action is contained in the Rules Docket. all aspects of the service experience of Proposed Rule a particular aircraft whenever an A copy of it may be obtained by accident occurs, the FAA has become Since an unsafe condition has been contacting the Rules Docket at the aware of instances of tripped circuit identified that is likely to exist or location provided under the caption breakers, smoke, and odor of an develop on other products of this same ADDRESSES. electrical fire in the flight compartment type design, the proposed AD would List of Subjects in 14 CFR Part 39 or forward entrance area on certain require accomplishment of the actions McDonnell Douglas Model DC–9–80 specified in the service bulletin Air transportation, Aircraft, Aviation series airplanes (i.e., Model DC–9–81, described previously. safety, Safety.
VerDate 11
The Proposed Amendment the inspector. Inspection aids such as mirror, visual inspection of circuit breakers to magnifying lenses, etc., may be used. Surface determine the manufacturer of the Accordingly, pursuant to the cleaning and elaborate access procedures authority delegated to me by the circuit breakers, and corrective action, if may be required.’’ necessary. This action is necessary to Administrator, the Federal Aviation (1) If no chafed or preloaded wire is found, Administration proposes to amend part prevent internal overheating and arcing prior to further flight, install spacers, sta- of circuit breakers and airplane wiring 39 of the Federal Aviation Regulations straps, and tie back wire bundles, in (14 CFR part 39) as follows: accordance with the service bulletin. due to long-term use and breakdown of (2) If any chafed or preloaded wire is internal components of the circuit PART 39—AIRWORTHINESS found, prior to further flight, repair, and breakers, which could result in smoke DIRECTIVES install spacers, sta-straps, and tie-back wire and fire in the flight compartment and bundles, in accordance with the service main cabin. This action is intended to 1. The authority citation for part 39 bulletin. address the identified unsafe condition. continues to read as follows: Alternative Methods of Compliance DATES: Comments must be received by Authority: 49 U.S.C. 106(g), 40113, 44701. (b) An alternative method of compliance or July 20, 2001. § 39.13 [Amended] adjustment of the compliance time that ADDRESSES: Submit comments in 2. Section 39.13 is amended by provides an acceptable level of safety may be triplicate to the Federal Aviation adding the following new airworthiness used if approved by the Manager, Los Administration (FAA), Transport Angeles Aircraft Certification Office (ACO), directive: Airplane Directorate, ANM–114, FAA. Operators shall submit their requests Attention: Rules Docket No. 99–NM– McDonnell Douglas: Docket 2000–NM–161– through an appropriate FAA Principal 287–AD, 1601 Lind Avenue, SW., AD. Maintenance Inspector, who may add Renton, Washington 98055–4056. Applicability: Model DC–9–81, –82, –83, comments and then send it to the Manager, Los Angeles ACO. Comments may be inspected at this and –87 series airplanes, and Model MD–88 location between 9:00 a.m. and 3:00 airplanes airplanes; as listed in McDonnell Note 3: Information concerning the Douglas Alert Service Bulletin MD80– existence of approved alternative methods of p.m., Monday through Friday, except 24A126, Revision 02, dated September 22, compliance with this AD, if any, may be Federal holidays. Comments may be 1999; certificated in any category. obtained from the Los Angles ACO. submitted via fax to (425) 227–1232. Note 1: This AD applies to each airplane Comments may also be sent via the identified in the preceding applicability Special Flight Permit Internet using the following address: 9- provision, regardless of whether it has been (c) Special flight permits may be issued in [email protected]. Comments modified, altered, or repaired in the area accordance with §§ 21.197 and 21.199 of the sent via fax or the Internet must contain subject to the requirements of this AD. For Federal Aviation Regulations (14 CFR 21.197 ‘‘Docket No. 99–NM–287–AD’’ in the airplanes that have been modified, altered, or and 21.199) to operate the airplane to a subject line and need not be submitted repaired so that the performance of the location where the requirements of this AD in triplicate. Comments sent via the requirements of this AD is affected, the can be accomplished. owner/operator must request approval for an Internet as attached electronic files must Issued in Renton, Washington, on May 25, be formatted in Microsoft Word 97 for alternative method of compliance in 2001. accordance with paragraph (b) of this AD. Windows or ASCII text. The request should include an assessment of Vi L. Lipski, The service information referenced in the effect of the modification, alteration, or Manager, Transport Airplane Directorate, the proposed rule may be obtained from repair on the unsafe condition addressed by Aircraft Certification Service. Boeing Commercial Aircraft Group, this AD; and, if the unsafe condition has not [FR Doc. 01–14003 Filed 6–4–01; 8:45 am] Long Beach Division, 3855 Lakewood been eliminated, the request should include BILLING CODE 4910–13–U Boulevard, Long Beach, California specific proposed actions to address it. 90846, Attention: Data and Service Compliance: Required as indicated, unless Management, Dept. C1–L5A (D800– accomplished previously. DEPARTMENT OF TRANSPORTATION 0024). This information may be To prevent smoke and fire in the flight examined at the FAA, Transport deck and main cabin due to insufficient Federal Aviation Administration clearance between wire assemblies and the Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at ice protection airduct and airstair door 14 CFR Part 39 interlock rod, chafing, and consequent arcing the FAA, Los Angeles Aircraft of wire assemblies, accomplish the following: [Docket No. 99–NM–287–AD] Certification Office, 3960 Paramount Boulevard, Lakewood, California. Inspection and Modification RIN 2120–AA64 FOR FURTHER INFORMATION CONTACT: (a) Within 6 months after the effective date of this AD, perform a detailed visual Airworthiness Directives; McDonnell Elvin Wheeler, Aerospace Engineer, inspection of wires runs in the electrical/ Douglas Model DC–9–10, –20, –30, –40, Systems and Equipment Branch, ANM– equipment compartment to detect chafing and –50 Series Airplanes; and C–9 130L, FAA, Los Angeles Aircraft and preload against the airduct shroud (Military) Airplanes Certification Office, 3960 Paramount assembly of the strake ice protection system Boulevard, Lakewood, California and/or airstair door interlock rod between AGENCY: Federal Aviation 90712–4137; telephone (562) 627–5344; stations Y=148.00 and Y=160.000, in Administration, DOT. fax (562) 627–5210. accordance with McDonnell Douglas Alert ACTION: Notice of proposed rulemaking SUPPLEMENTARY INFORMATION: Service Bulletin MD80–24A126, Revision 02, dated September 22, 1999. (NPRM). Comments Invited Note 2: For the purposes of this AD, a SUMMARY: This document proposes the Interested persons are invited to detailed visual inspection is defined as: ‘‘An adoption of a new airworthiness participate in the making of the intensive visual examination of a specific structural area, system, installation, or directive (AD) that is applicable to proposed rule by submitting such assembly to detect damage, failure, or certain McDonnell Douglas Model DC– written data, views, or arguments as irregularity. Available lighting is normally 9–10, –20, –30, –40, and –50 series they may desire. Communications shall supplemented with a direct source of good airplanes; and C–9 (military) airplanes. identify the Rules Docket number and lighting at intensity deemed appropriate by This proposal would require a one-time be submitted in triplicate to the address
VerDate 11
specified above. All communications Other Related Rulemaking proposed compliance period. We also received on or before the closing date The FAA, in conjunction with Boeing find that such a compliance time will for comments, specified above, will be and operators of McDonnell Douglas not adversely affect the safety of the considered before taking action on the Model DC–9 series airplanes is affected airplanes. proposed rule. The proposals contained continuing to review all aspects of the Cost Impact in this action may be changed in light service history of those airplanes to of the comments received. identify potential unsafe conditions and There are approximately 830 Model Submit comments using the following to take appropriate corrective actions. DC–9 series airplanes of the affected format: • This proposed airworthiness directive design in the worldwide fleet. The FAA Organize comments issue-by-issue. (AD) is one of a series of actions estimates that 540 airplanes of U.S. For example, discuss a request to identified during that process. The registry would be affected by this change the compliance time and a process is continuing and the FAA may proposed AD, that it would take request to change the service bulletin consider additional rulemaking actions approximately 80 work hours per reference as two separate issues. as further results of the review become airplane to accomplish the proposed • For each issue, state what specific available. inspection of circuit breakers (over 700 change to the proposed AD is being installed on each airplane), and that the requested. Explanation of Relevant Service • Include justification (e.g., reasons or Information average labor rate is $60 per work hour. data) for each request. Based on these figures, the cost impact The FAA has reviewed and approved of the proposed AD on U.S. operators is Comments are specifically invited on McDonnell Douglas Alert Service the overall regulatory, economic, estimated to be $2,592,000, or $4,800 Bulletin DC9–24A171, Revision 01, per airplane. environmental, and energy aspects of dated September 21, 1999, which the proposed rule. All comments describes procedures for a one-time The cost impact figure discussed submitted will be available, both before visual inspection of circuit breakers to above is based on assumptions that no and after the closing date for comments, determine the manufacturer of the operator has yet accomplished any of in the Rules Docket for examination by circuit breakers, and replacement of any the proposed requirements of this AD interested persons. A report circuit breaker manufactured by Wood action, and that no operator would summarizing each FAA-public contact Electric Corporation or Wood Electric accomplish those actions in the future if concerned with the substance of this Division of Potter Brumfield this proposed AD were not adopted. The proposal will be filed in the Rules Corporation with a new circuit breaker. cost impact figures discussed in AD Docket. Accomplishment of the actions rulemaking actions represent only the Commenters wishing the FAA to specified in the service bulletin is time necessary to perform the specific acknowledge receipt of their comments intended to adequately address the actions actually required by the AD. submitted in response to this action identified unsafe condition. These figures typically do not include must submit a self-addressed, stamped incidental costs, such as the time postcard on which the following Explanation of Requirements of required to gain access and close up, statement is made: ‘‘Comments to Proposed Rule planning time, or time necessitated by Docket Number 99–NM–287–AD.’’ The Since an unsafe condition has been other administrative actions. postcard will be date stamped and identified that is likely to exist or returned to the commenter. develop on other products of this same Regulatory Impact type design, the proposed AD would Availability of NPRMs The regulations proposed herein require accomplishment of the actions would not have a substantial direct Any person may obtain a copy of this specified in the service bulletin effect on the States, on the relationship NPRM by submitting a request to the described previously, except as between the national Government and FAA, Transport Airplane Directorate, discussed below. the States, or on the distribution of ANM–114, Attention: Rules Docket No. power and responsibilities among the 99–NM–287–AD, 1601 Lind Avenue, Differences Between Proposed AD and various levels of government. Therefore, SW., Renton, Washington 98055–4056. Service Bulletin it is determined that this proposal Operators should note that the Discussion would not have federalism implications proposed AD would require As part of its practice of re-examining replacement of any circuit breaker under Executive Order 13132. all aspects of the service experience of manufactured by Wood Electric For the reasons discussed above, I a particular aircraft whenever an Corporation or Wood Electric Division certify that this proposed regulation (1) accident occurs, the FAA has become of Potter Brumfield Corporation with a is not a ‘‘significant regulatory action’’ aware of instances of smoke and new circuit breaker within 18 months under Executive Order 12866; (2) is not electrical odor in the flight compartment after the effective date of this AD. The a ‘‘significant rule’’ under the DOT and cabin area of McDonnell Douglas service bulletin recommends that the Regulatory Policies and Procedures (44 Model DC–9 series airplanes. replacement should be accomplished FR 11034, February 26, 1979); and (3) if Investigation revealed that long-term within 12 months from issuance of the promulgated, will not have a significant use and break down of the internal service bulletin. In developing an economic impact, positive or negative, components of the circuit breakers, appropriate compliance time for this on a substantial number of small entities manufactured by Wood Electric proposed action, the FAA considered under the criteria of the Regulatory Corporation or Wood Electric Division not only the manufacturer’s Flexibility Act. A copy of the draft of Potter Brumfield Corporation, recommendation, but the availability of regulatory evaluation prepared for this attributed to internal overheating and required parts. We find that 18 months action is contained in the Rules Docket. arcing of the circuit breakers. This represents an appropriate time A copy of it may be obtained by condition, if not corrected, could result allowable wherein an ample number of contacting the Rules Docket at the in smoke and fire in the flight required parts will be available for location provided under the caption compartment and main cabin. modification of the U.S. fleet within the ADDRESSES.
VerDate 11
List of Subjects in 14 CFR Part 39 daylight, hangar lighting, flashlight, or drop- ACTION: Notice of proposed rulemaking light, and may require removal or opening of (NPRM). Air transportation, Aircraft, Aviation access panels or doors. Stands, ladders, or safety, Safety. platforms may be required to gain proximity SUMMARY: This document proposes the The Proposed Amendment to the area being checked.’’ adoption of a new airworthiness (1) If no Wood Electric Corporation or directive (AD) that is applicable to Accordingly, pursuant to the Wood Electric Division of Potter Brumfield certain BAe Systems (Operations) authority delegated to me by the Corporation circuit breaker is found, no Limited Model BAe 146 and Avro 146– Administrator, the Federal Aviation further action is required by this AD. RJ series airplanes. This proposal would Administration proposes to amend part (2) If any Wood Electric Corporation or require identifying the discharge valves 39 of the Federal Aviation Regulations Wood Electric Division of Potter Brumfield and cabin pressure controllers, and (14 CFR part 39) as follows: Corporation circuit breaker is found, prior to further flight, replace the circuit breaker with replacing them with new parts if PART 39—AIRWORTHINESS a new circuit breaker in accordance with the necessary. This action is necessary to DIRECTIVES service bulletin. prevent the installation of incorrect pressurization discharge valves and Spares 1. The authority citation for part 39 cabin pressure controllers, which could continues to read as follows: (b) As of the effective date of this AD, no subject the airframe to excess stress and person shall install, on any airplane, a circuit adversely affect the airframe fatigue life. Authority: 49 U.S.C. 106(g), 40113, 44701. breaker having a part number listed in This action is intended to address the § 39.13 [Amended] paragraph 1.A.2., ‘‘Spares Affected,’’ of McDonnell Douglas Alert Service Bulletin identified unsafe condition. 2. Section 39.13 is amended by DC9–24A171, Revision 01, dated September DATES: Comments must be received by adding the following new airworthiness 21, 1999. July 5, 2001. directive: Alternative Methods of Compliance ADDRESSES: Submit comments in McDonnell Douglas: Docket 99–NM–287– triplicate to the Federal Aviation AD. (c) An alternative method of compliance or adjustment of the compliance time that Administration (FAA), Transport Applicability: Model DC–9–10, –20, –30, provides an acceptable level of safety may be Airplane Directorate, ANM–114, –40, and –50 series airplanes; and C–9 used if approved by the Manager, Los Attention: Rules Docket No. 2001–NM– (military) airplanes, as listed in McDonnell Angeles Aircraft Certification Office (ACO), 06–AD, 1601 Lind Avenue, SW., Douglas Alert Service Bulletin DC9–24A171, FAA. Operators shall submit their requests Revision 01, dated September 21, 1999; Renton, Washington 98055–4056. through an appropriate FAA Principal certificated in any category. Comments may be inspected at this Maintenance Inspector, who may add Note 1: This AD applies to each airplane location between 9:00 a.m. and 3:00 comments and then send it to the Manager, p.m., Monday through Friday, except identified in the preceding applicability Los Angeles ACO. provision, regardless of whether it has been Federal holidays. Comments may be Note 3: Information concerning the modified, altered, or repaired in the area submitted via fax to (425) 227–1232. existence of approved alternative methods of subject to the requirements of this AD. For compliance with this AD, if any, may be Comments may also be sent via the airplanes that have been modified, altered, or obtained from the Los Angeles ACO. Internet using the following address: 9– repaired so that the performance of the anm–[email protected]. requirements of this AD is affected, the Special Flight Permit Comments sent via fax or the Internet owner/operator must request approval for an alternative method of compliance in (d) Special flight permits may be issued in must contain ‘‘Docket No. 2001–NM– accordance with paragraph (c) of this AD. accordance with §§ 21.197 and 21.199 of the 06–AD’’ in the subject line and need not The request should include an assessment of Federal Aviation Regulations (14 CFR 21.197 be submitted in triplicate. Comments the effect of the modification, alteration, or and 21.199) to operate the airplane to a sent via the Internet as attached repair on the unsafe condition addressed by location where the requirements of this AD electronic files must be formatted in this AD; and, if the unsafe condition has not can be accomplished. Microsoft Word 97 for Windows or been eliminated, the request should include Issued in Renton, Washington, on May 25, ASCII text. specific proposed actions to address it. 2001. The service information referenced in Compliance: Required as indicated, unless Vi L. Lipski, the proposed rule may be obtained from accomplished previously. Manager, Transport Airplane Directorate, British Aerospace Regional Aircraft To prevent internal overheating and arcing Aircraft Certification Service. of circuit breakers and airplane wiring due to American Support, 13850 Mclearen long-term use and breakdown of internal [FR Doc. 01–14002 Filed 6–4–01; 8:45 am] Road, Herndon, Virginia 20171. This components of the circuit breakers, which BILLING CODE 4910–13–U information may be examined at the could result in smoke and fire in the flight FAA, Transport Airplane Directorate, compartment and main cabin, accomplish 1601 Lind Avenue, SW., Renton, the following: DEPARTMENT OF TRANSPORTATION Washington. Inspection and Replacement, If Necessary Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: Dan (a) Within 18 months after the effective Rodina, Aerospace Engineer, date of this AD: Perform a one-time general 14 CFR Part 39 International Branch, ANM–116, FAA, visual inspection of circuit breakers to Transport Airplane Directorate, 1601 determine the manufacturer of the circuit [Docket No. 2001–NM–06–AD] Lind Avenue, SW., Renton, Washington breaker, in accordance with McDonnell 98055–4056; telephone (425) 227–2125; Douglas Alert Service Bulletin DC9–24A171, RIN 2120–AA64 fax (425) 227–1149. Revision 01, dated September 21, 1999. SUPPLEMENTARY INFORMATION: Note 2: For the purposes of this AD, a Airworthiness Directives; BAe general visual inspection is defined as ‘‘A Systems (Operations) Limited Model Comments Invited visual examination of an interior or exterior BAe 146 and Avro 146–RJ Series area, installation, or assembly to detect Airplanes Interested persons are invited to obvious damage, failure, or irregularity. This participate in the making of the level of inspection is made under normally AGENCY: Federal Aviation proposed rule by submitting such available lighting conditions such as Administration, DOT. written data, views, or arguments as
VerDate 11
they may desire. Communications shall discharge valves and cabin pressure rate is $60 per work hour. Based on identify the Rules Docket number and controllers, the airframe may be subject these figures, the cost impact of the be submitted in triplicate to the address to excess stress. This condition, if not proposed AD on U.S. operators is specified above. All communications corrected, could adversely affect the estimated to be $3,600, or $180 per received on or before the closing date airframe fatigue life. airplane. for comments, specified above, will be The cost impact figure discussed Explanation of Relevant Service considered before taking action on the above is based on assumptions that no Information proposed rule. The proposals contained operator has yet accomplished any of in this action may be changed in light The manufacturer has issued the proposed requirements of this AD of the comments received. Inspection Service Bulletin ISB.21–148, action, and that no operator would Submit comments using the following Revision 1, dated February 6, 2001, accomplish those actions in the future if format: which describes procedures for this proposed AD were not adopted. The • Organize comments issue-by-issue. identifying the part numbers of the front cost impact figures discussed in AD For example, discuss a request to and rear pressurization discharge valves rulemaking actions represent only the change the compliance time and a and the cabin pressure controllers, and time necessary to perform the specific request to change the service bulletin replacing any incorrect part with a new, actions actually required by the AD. reference as two separate issues. correct part. For airplanes installed with These figures typically do not include • For each issue, state what specific certain auto-pressurization equipment incidental costs, such as the time change to the proposed AD is being (installed during BAe Systems required to gain access and close up, requested. Modification HCM50258A), the service • planning time, or time necessitated by Include justification (e.g., reasons or bulletin recommends limiting the other administrative actions. data) for each request. airplane ceiling until the incorrect parts Comments are specifically invited on can be replaced. Accomplishment of the Regulatory Impact the overall regulatory, economic, actions specified in the service bulletin The regulations proposed herein environmental, and energy aspects of is intended to adequately address the would not have a substantial direct the proposed rule. All comments identified unsafe condition. The CAA effect on the States, on the relationship submitted will be available, both before classified this service bulletin as between the national Government and and after the closing date for comments, mandatory and issued British the States, or on the distribution of in the Rules Docket for examination by airworthiness directive 003–11–2000 to power and responsibilities among the interested persons. A report ensure the continued airworthiness of various levels of government. Therefore, summarizing each FAA-public contact these airplanes in the United Kingdom. it is determined that this proposal concerned with the substance of this FAA’s Conclusions would not have federalism implications proposal will be filed in the Rules under Executive Order 13132. Docket. These airplane models are For the reasons discussed above, I Commenters wishing the FAA to manufactured in the United Kingdom certify that this proposed regulation (1) acknowledge receipt of their comments and are type certificated for operation in is not a ‘‘significant regulatory action’’ submitted in response to this action the United States under the provisions under Executive Order 12866; (2) is not must submit a self-addressed, stamped of § 21.29 of the Federal Aviation a ‘‘significant rule’’ under the DOT postcard on which the following Regulations (14 CFR 21.29) and the Regulatory Policies and Procedures (44 statement is made: ‘‘Comments to applicable bilateral airworthiness FR 11034, February 26, 1979); and (3) if Docket Number 2001–NM–06–AD.’’ The agreement. Pursuant to this bilateral promulgated, will not have a significant postcard will be date stamped and airworthiness agreement, the CAA has economic impact, positive or negative, returned to the commenter. kept the FAA informed of the situation on a substantial number of small entities Availability of NPRMs described above. The FAA has under the criteria of the Regulatory examined the findings of the CAA, Flexibility Act. A copy of the draft Any person may obtain a copy of this reviewed all available information, and NPRM by submitting a request to the regulatory evaluation prepared for this determined that AD action is necessary action is contained in the Rules Docket. FAA, Transport Airplane Directorate, for products of this type design that are ANM–114, Attention: Rules Docket No. A copy of it may be obtained by certificated for operation in the United contacting the Rules Docket at the 2001–NM–06–AD, 1601 Lind Avenue, States. SW., Renton, Washington 98055–4056. location provided under the caption Explanation of Requirements of ADDRESSES. Discussion Proposed Rule List of Subjects in 14 CFR Part 39 The Civil Aviation Authority (CAA), Since an unsafe condition has been Air transportation, Aircraft, Aviation which is the airworthiness authority for identified that is likely to exist or safety, Safety. the United Kingdom, notified the FAA develop on other airplanes of the same that an unsafe condition may exist on type design registered in the United The Proposed Amendment certain BAe Systems (Operations) States, the proposed AD would require Accordingly, pursuant to the Limited Model BAe 146 and Avro 146– accomplishment of the actions specified RJ series airplanes. The CAA advises of authority delegated to me by the in the service bulletin described Administrator, the Federal Aviation two reports indicating that incorrect previously. front and/or rear pressurization Administration proposes to amend part discharge valves were found installed Cost Impact 39 of the Federal Aviation Regulations on some affected airplanes. In addition, The FAA estimates that 20 airplanes (14 CFR part 39) as follows: it is possible that some operators may of U.S. registry would be affected by this PART 39—AIRWORTHINESS have installed incorrect flight deck- proposed AD, that it would take DIRECTIVES mounted cabin pressure controllers. approximately 3 work hours per Because of pressurization problems airplane to accomplish the proposed 1. The authority citation for part 39 associated with use of the incorrect inspection, and that the average labor continues to read as follows:
VerDate 11
Authority: 49 U.S.C. 106(g), 40113, 44701. 116, Transport Airplane Directorate, FAA; or fitting on the outboard engine nacelle, the The Direction Ge´ne´rale de l’Aviation which could reduce the structural § 39.13 [Amended] Civile (DGAC) (or its delegated agent). integrity of the nacelle, and result in 2. Section 39.13 is amended by Note 2: Accomplishment of the actions separation of the engine from the adding the following new airworthiness specified in this AD in accordance with BAe airplane. This action is intended to directive: Systems (Operations) Limited Inspection address the identified unsafe condition. Service Bulletin ISB.21–148, dated November BAe Systems (Operations) Limited (Formerly 17, 2000, is also acceptable for compliance DATES: Comments must be received by British Aerospace Regional Aircraft): with the requirements of this AD. Docket 2001–NM–06–AD. July 20, 2001. Applicability: Model BAe 146 and Avro Alternative Methods of Compliance ADDRESSES: Submit comments in triplicate to the Federal Aviation 146–RJ series airplanes, certificated in any (c) An alternative method of compliance or category, as listed in BAe Systems adjustment of the compliance time that Administration (FAA), Transport (Operations) Limited Inspection Service provides an acceptable level of safety may be Airplane Directorate, ANM–114, Bulletin ISB.21–148, Revision 1, dated used if approved by the Manager, Attention: Rules Docket No. 2000–NM– February 6, 2001. International Branch, ANM–116. Operators 378–AD, 1601 Lind Avenue, SW., Note 1: This AD applies to each airplane shall submit their requests through an Renton, Washington 98055–4056. identified in the preceding applicability appropriate FAA Principal Maintenance Comments may be inspected at this provision, regardless of whether it has been Inspector, who may add comments and then location between 9:00 a.m. and 3:00 otherwise modified, altered, or repaired in send it to the Manager, International Branch, p.m., Monday through Friday, except the area subject to the requirements of this ANM–116. AD. For airplanes that have been modified, Federal holidays. Comments may be Note 3: Information concerning the submitted via fax to (425) 227–1232. altered, or repaired so that the performance existence of approved alternative methods of of the requirements of this AD is affected, the compliance with this AD, if any, may be Comments may also be sent via the owner/operator must request approval for an obtained from the International Branch, Internet using the following address: 9- alternative method of compliance in ANM–116. [email protected]. Comments accordance with paragraph (c) of this AD. sent via fax or the Internet must contain The request should include an assessment of Special Flight Permits ‘‘Docket No. 2000–NM–378–AD’’ in the the effect of the modification, alteration, or repair on the unsafe condition addressed by (d) Special flight permits may be issued in subject line and need not be submitted this AD; and, if the unsafe condition has not accordance with §§ 21.197 and 21.199 of the in triplicate. Comments sent via the been eliminated, the request should include Federal Aviation Regulations (14 CFR 21.197 Internet as attached electronic files must specific proposed actions to address it. and 21.199) to operate the airplane to a be formatted in Microsoft Word 97 for location where the requirements of this AD Windows or ASCII text. Compliance: Required as indicated, unless can be accomplished. accomplished previously. The service information referenced in Note 4: The subject of this AD is addressed To prevent the installation of incorrect the proposed rule may be obtained from pressurization discharge valves and cabin in British airworthiness directive 003–11– 2000. Boeing Commercial Airplane Group, pressure controllers, which could subject the P.O. Box 3707, Seattle, Washington airframe to excess stress and adversely affect Issued in Renton, Washington, on May 30, 98124–2207. This information may be the airframe fatigue life, accomplish the 2001. following: examined at the FAA, Transport Vi L. Lipski, Airplane Directorate, 1601 Lind Parts Identification Manager, Transport Airplane Directorate, Avenue, SW., Renton, Washington. Aircraft Certification Service. (a) As specified in paragraph (a)(1) or FOR FURTHER INFORMATION CONTACT: (a)(2), as applicable, of this AD: Identify the [FR Doc. 01–14046 Filed 6–4–01; 8:45 am] Duong Tran, Aerospace Engineer, part numbers of the pressurization discharge BILLING CODE 4910–13–U valves and cabin pressure controllers to Airframe Branch, ANM–120S, FAA, determine if any installed part is incorrect, as Seattle Aircraft Certification Office, 1601 Lind Avenue, SW., Renton, defined by and in accordance with BAe DEPARTMENT OF TRANSPORTATION Systems (Operations) Limited Inspection Washington 98055–4056; telephone Service Bulletin ISB.21–148, Revision 1, Federal Aviation Administration (425) 227–2773; fax (425) 227–1181. dated February 6, 2001. SUPPLEMENTARY INFORMATION: (1) For airplanes post-Modification HCM50258A: Identify the part numbers 14 CFR Part 39 Comments Invited within 30 days after the effective date of this [Docket No. 2000–NM–378–AD] AD; and, if any part is incorrect, limit the Interested persons are invited to airplane ceiling to 31,000 feet until the RIN 2120–AA64 participate in the making of the incorrect part is replaced, as specified by proposed rule by submitting such paragraph (b) of this AD. Airworthiness Directives; Boeing written data, views, or arguments as (2) For airplanes pre-Modification Model 707 and 720 Series Airplanes they may desire. Communications shall HCM50258A: Identify the part numbers AGENCY: Federal Aviation identify the Rules Docket number and within 6 months after the effective date of be submitted in triplicate to the address this AD. Administration, DOT. specified above. All communications ACTION: Notice of proposed rulemaking Corrective Action received on or before the closing date (NPRM). (b) For any incorrect part identified in for comments, specified above, will be accordance with paragraph (a) of this AD: SUMMARY: This document proposes the considered before taking action on the Within 500 flight cycles thereafter, replace it adoption of a new airworthiness proposed rule. The proposals contained with a new, correct part, in accordance with directive (AD) that is applicable to in this action may be changed in light BAe Systems (Operations) Limited Inspection certain Boeing Model 707 and 720 series of the comments received. Service Bulletin ISB.21–148, Revision 1, Submit comments using the following dated February 6, 2001. Prior to further flight airplanes. This proposal would require a preventive modification of the front format: thereafter, perform a structural inspection • and accomplish applicable corrective actions, spar fitting on the outboard engine Organize comments issue-by-issue. in accordance with a method approved by nacelle. This action is necessary to For example, discuss a request to the Manager, International Branch, ANM– prevent fatigue cracking of the front spar change the compliance time and a
VerDate 11
request to change the service bulletin Explanation of Requirements of Operators should note that Section 3., reference as two separate issues. Proposed Rule Part II, ‘‘l,’’ of the service bulletin refers • For each issue, state what specific to an incorrect part number for the new, change to the proposed AD is being Since an unsafe condition has been improved front spar fitting. That item requested. identified that is likely to exist or reads, ‘‘Install applicable new fitting • Include justification (e.g., reasons or develop on other products of this same 65–13347–4***’’; the FAA has data) for each request. type design, the proposed AD would determined that the correct part number Comments are specifically invited on require accomplishment of the actions for the new, improved fitting in this the overall regulatory, economic, specified in the service bulletin case is 65–13347–5. Figure 1 of the environmental, and energy aspects of described previously, except as service bulletin references the correct the proposed rule. All comments discussed below. part number. submitted will be available, both before Differences Between Proposed Rule and Cost Impact and after the closing date for comments, Service Bulletin in the Rules Docket for examination by There are approximately 13 airplanes interested persons. A report This proposed rule differs from the of the affected design in the worldwide summarizing each FAA-public contact service bulletin in the compliance time fleet. The FAA estimates that 3 concerned with the substance of this for the proposed modification. For airplanes of U.S. registry would be proposal will be filed in the Rules certain airplanes, the service bulletin affected by this proposed AD, that it Docket. recommends accomplishment of the would take approximately 64 work Commenters wishing the FAA to modification of the front spar fitting, but hours per airplane to accomplish the acknowledge receipt of their comments does not specify a compliance time; for proposed modification, and that the submitted in response to this action other airplanes, the service bulletin average labor rate is $60 per work hour. must submit a self-addressed, stamped specifies that the modification is Required parts would cost postcard on which the following optional and may be installed on an approximately $1,300 per airplane. statement is made: ‘‘Comments to attrition basis. This proposed AD would Based on these figures, the cost impact Docket Number 2000-NM–378-AD.’’ The require installation of the modification of the proposed AD on U.S. operators is postcard will be date stamped and prior to the accumulation of 20,000 total estimated to be $15,420, or $5,140 per returned to the commenter. flight cycles, or within 24 months after airplane. The cost impact figure discussed Availability of NPRMs the effective date of this AD, whichever occurs later. In developing an above is based on assumptions that no Any person may obtain a copy of this appropriate compliance time for this operator has yet accomplished any of NPRM by submitting a request to the AD, the FAA considered not only the the proposed requirements of this AD FAA, Transport Airplane Directorate, manufacturer’s recommendation, but action, and that no operator would ANM–114, Attention: Rules Docket No. the degree of urgency associated with accomplish those actions in the future if 2000–NM–378–AD, 1601 Lind Avenue, addressing the subject unsafe condition, this proposed AD were not adopted. The SW., Renton, Washington 98055–4056. the average utilization of the affected cost impact figures discussed in AD rulemaking actions represent only the Discussion fleet, and the time necessary to perform the actions. In light of all of these time necessary to perform the specific The FAA has received reports that factors, the FAA finds that the proposed actions actually required by the AD. fatigue cracks have been found in the compliance time for completing the These figures typically do not include front spar fitting on the outboard engine required actions represents an incidental costs, such as the time nacelle on certain Boeing Model 707 appropriate interval of time allowable required to gain access and close up, and 720 series airplanes. The cracks for affected airplanes to continue to planning time, or time necessitated by originated at the rearmost of the seven operate without compromising safety. other administrative actions. fasteners which attach the front spar fitting to the front spar chord. Such The proposed rule also differs from Regulatory Impact cracking, if not corrected, could reduce the service bulletin in that it would not The regulations proposed herein the structural integrity of the nacelle, require the repetitive inspections to would not have a substantial direct and result in separation of the engine detect cracking of the front spar fitting, effect on the States, on the relationship from the airplane. which are described in the service between the national Government and bulletin. The decision to mandate the the States, or on the distribution of Explanation of Relevant Service preventive modification of the front spar power and responsibilities among the Information fitting is based on the FAA’s various levels of government. Therefore, The FAA has reviewed and approved determination that long-term continued it is determined that this proposal Boeing Service Bulletin 1541, Revision operational safety will be better assured would not have federalism implications 3, dated February 15, 1967, which by design changes to remove the source under Executive Order 13132. describes procedures for, among other of the problem, rather than by repetitive For the reasons discussed above, I actions, installation of a preventive inspections. Long-term inspections may certify that this proposed regulation (1) modification of the front spar fitting on not provide the degree of safety is not a ‘‘significant regulatory action’’ the outboard engine nacelle. The assurance necessary for the transport under Executive Order 12866; (2) is not modification involves replacement of airplane fleet. This, coupled with a a ‘‘significant rule’’ under the DOT the front spar fitting with a new, better understanding of the human Regulatory Policies and Procedures (44 improved (stronger) fitting and factors associated with numerous FR 11034, February 26, 1979); and (3) if modification of the front spar chord to continual inspections, has led the FAA promulgated, will not have a significant distribute stress loads over the entire to consider placing less emphasis on economic impact, positive or negative, front spar fitting. Accomplishment of inspections and more emphasis on on a substantial number of small entities the actions specified in the service design improvements. The proposed under the criteria of the Regulatory bulletin is intended to adequately modification requirement is consistent Flexibility Act. A copy of the draft address the identified unsafe condition. with these findings. regulatory evaluation prepared for this
VerDate 11
action is contained in the Rules Docket. Bulletin 1541, Revision 3, dated February 15, ACTION: Notice of proposed rulemaking A copy of it may be obtained by 1967. (NPRM). contacting the Rules Docket at the Note 2: Modification of the front spar location provided under the caption fitting on the outboard engine nacelle SUMMARY: This document proposes the ADDRESSES. (including replacement of the front spar adoption of a new airworthiness fitting with a new, improved (stronger) directive (AD) that is applicable to List of Subjects in 14 CFR Part 39 fitting, and modification of the front spar certain Raytheon Model DH.125, chord to distribute stress loads over the HS.125, BH.125, and BAe 125 (U–125 Air transportation, Aircraft, Aviation entire front spar fitting) accomplished prior safety, Safety. and C–29A) series airplanes, and to the effective date of this AD according to Hawker 800, Hawker 800 (U–125A), The Proposed Amendment Boeing Service Bulletin 1541, dated July 1, 1962; Revision 1, dated January 29, 1963; Hawker 800XP, and Hawker 1000 Accordingly, pursuant to the Revision 2, dated February 11, 1964; or airplanes. This proposed AD would authority delegated to me by the Supplement 1541(R–2)A, dated April 2, require an inspection for cracking or Administrator, the Federal Aviation 1964; is acceptable for compliance with the corrosion of the cylinder head lugs of Administration proposes to amend part requirements of paragraph (a) of this AD. the main landing gear (MLG) actuator and follow-on/corrective actions. This 39 of the Federal Aviation Regulations Spares (14 CFR part 39) as follows: proposed AD is prompted by reports of (b) As of the effective date of this AD, no attachment lugs cracking at the actuator PART 39—AIRWORTHINESS person shall install a front spar fitting, part cylinder head. This action is necessary number 65–2532 or 65–2532–5, on the to prevent separation of the cylinder DIRECTIVES outboard engine nacelle on any airplane. head lugs, which could prevent the 1. The authority citation for part 39 Alternative Methods of Compliance MLG from extending and result in a continues to read as follows: (c) An alternative method of compliance or partial gear-up landing. This action is Authority: 49 U.S.C. 106(g), 40113, 44701. adjustment of the compliance time that intended to address the identified provides an acceptable level of safety may be unsafe condition. § 39.13 [Amended] used if approved by the Manager, Seattle DATES: Comments must be received by Aircraft Certification Office (ACO), FAA. 2. Section 39.13 is amended by July 20, 2001. adding the following new airworthiness Operators shall submit their requests through an appropriate FAA Principal Maintenance ADDRESSES: Submit comments in directive: Inspector, who may add comments and then triplicate to the Federal Aviation Boeing: Docket 2000–NM–378–AD. send it to the Manager, Seattle ACO. Administration (FAA), Transport Applicability: Model 707 and 720 series Note 3: Information concerning the Airplane Directorate, ANM–114, airplanes, listed in Boeing Service Bulletin existence of approved alternative methods of Attention: Rules Docket No. 2000–NM– 1541, Revision 3, dated February 15, 1967; compliance with this AD, if any, may be 373–AD, 1601 Lind Avenue, SW., certificated in any category. obtained from the Seattle ACO. Renton, Washington 98055–4056. Note 1: This AD applies to each airplane Special Flight Permits Comments may be inspected at this identified in the preceding applicability location between 9:00 a.m. and 3:00 provision, regardless of whether it has been (d) Special flight permits may be issued in p.m., Monday through Friday, except accordance with §§ 21.197 and 21.199 of the modified, altered, or repaired in the area Federal holidays. Comments may be subject to the requirements of this AD. For Federal Aviation Regulations (14 CFR 21.197 airplanes that have been modified, altered, or and 21.199) to operate the airplane to a submitted via fax to (425) 227–1232. repaired so that the performance of the location where the requirements of this AD Comments may also be sent via the requirements of this AD is affected, the can be accomplished. Internet using the following address: 9- owner/operator must request approval for an Issued in Renton, Washington, on May 30, [email protected]. Comments alternative method of compliance in 2001. sent via fax or the Internet must contain accordance with paragraph (c) of this AD. Vi L. Lipski, ‘‘Docket No. 2000–NM–373–AD’’ in the The request should include an assessment of subject line and need not be submitted the effect of the modification, alteration, or Manager, Transport Airplane Directorate, Aircraft Certification Service. in triplicate. Comments sent via the repair on the unsafe condition addressed by Internet as attached electronic files must this AD; and, if the unsafe condition has not [FR Doc. 01–14045 Filed 6–4–01; 8:45 am] be formatted in Microsoft Word 97 for been eliminated, the request should include BILLING CODE 4910–13–U specific proposed actions to address it. Windows or ASCII text. Compliance: Required as indicated, unless The service information referenced in accomplished previously. DEPARTMENT OF TRANSPORTATION the proposed rule may be obtained from To prevent fatigue cracking of the front Raytheon Aircraft Company, spar fitting on the outboard engine nacelle, Federal Aviation Administration Department 62, P.O. Box 85, Wichita, which could reduce the structural integrity of Kansas 67201–0085. This information the nacelle, and result in separation of the 14 CFR Part 39 may be examined at the FAA, Transport engine from the airplane, accomplish the Airplane Directorate, 1601 Lind following: [Docket No. 2000–NM–373–AD] Avenue, SW., Renton, Washington; or at Preventive Modification the FAA, Wichita Aircraft Certification RIN 2120–AA64 (a) Prior to the accumulation of 20,000 total Office, 1801 Airport Road, Room 100, Wichita, Kansas. flight cycles, or within 24 months after the Airworthiness Directives; Raytheon effective date of this AD, whichever occurs FOR FURTHER INFORMATION CONTACT: Model DH.125, HS.125, BH.125, and later, install the preventive modification of David Ostrodka, Aerospace Engineer, BAe 125 (U–125 and C–29A) Series the front spar fitting on the outboard engine Airframe Branch, ACE–118W, FAA, Airplanes, and Hawker 800, Hawker nacelle. Do the modification (including Wichita Aircraft Certification Office, 800 (U–125A), Hawker 800XP, and replacement of the front spar fitting with a 1801 Airport Road, Room 100, Wichita, new, improved (stronger) fitting, and Hawker 1000 Airplanes modification of the front spar chord to Kansas 67209; telephone (316) 946– distribute stress loads over the entire front AGENCY: Federal Aviation 4129; fax (316) 946–4407. spar fitting) according to Boeing Service Administration, DOT. SUPPLEMENTARY INFORMATION:
VerDate 11
Comments Invited Explanation of Relevant Service required to gain access and close up, Information planning time, or time necessitated by Interested persons are invited to other administrative actions. participate in the making of the The FAA has reviewed and approved proposed rule by submitting such Raytheon Service Bulletin (SB) 32–3391, Regulatory Impact dated August 2000. The service bulletin written data, views, or arguments as The regulations proposed herein describes procedures for performing a they may desire. Communications shall would not have a substantial direct one-time eddy current inspection to identify the Rules Docket number and effect on the States, on the relationship be submitted in triplicate to the address detect cracking or corrosion of the cylinder head lugs of the MLG and between the national Government and specified above. All communications the States, or on the distribution of received on or before the closing date follow-on/corrective actions. The follow-on/corrective actions include power and responsibilities among the for comments, specified above, will be various levels of government. Therefore, considered before taking action on the ‘‘vibro-etching’’ the MLG actuator data plate, painting a blue stripe on the it is determined that this proposal proposed rule. The proposals contained would not have federalism implications in this action may be changed in light actuator cylinder head, and replacing bushings; applying corrosion protection under Executive Order 13132. of the comments received. For the reasons discussed above, I to the lug bores; and replacing the Submit comments using the following actuator with a new or overhauled certify that this proposed regulation (1) format: is not a ‘‘significant regulatory action’’ • actuator or replacement of the actuator Organize comments issue-by-issue. cylinder head with a new cylinder head, under Executive Order 12866; (2) is not For example, discuss a request to as applicable. a ‘‘significant rule’’ under the DOT change the compliance time and a Regulatory Policies and Procedures (44 request to change the service bulletin Additional Source of Service FR 11034, February 26, 1979); and (3) if reference as two separate issues. Information promulgated, will not have a significant • For each issue, state what specific The Raytheon service bulletin economic impact, positive or negative, change to the proposed AD is being references Precision Hydraulics on a substantial number of small entities requested. Cylinder Maintenance Manual 32–30– under the criteria of the Regulatory • Include justification (e.g., reasons or 1105 for additional service information Flexibility Act. A copy of the draft data) for each request. regarding the replacement of the regulatory evaluation prepared for this Comments are specifically invited on actuator cylinder head with a new action is contained in the Rules Docket. the overall regulatory, economic, cylinder head. A copy of it may be obtained by environmental, and energy aspects of contacting the Rules Docket at the Explanation of Requirements of location provided under the caption the proposed rule. All comments Proposed Rule submitted will be available, both before ADDRESSES. Since an unsafe condition has been and after the closing date for comments, List of Subjects in 14 CFR Part 39 in the Rules Docket for examination by identified that is likely to exist or Air transportation, Aircraft, Aviation interested persons. A report develop on other products of this same safety, Safety. summarizing each FAA-public contact type design, the proposed AD would require doing the actions specified in concerned with the substance of this The Proposed Amendment the Raytheon service bulletin described proposal will be filed in the Rules previously. The actions would be Accordingly, pursuant to the Docket. required to be accomplished in authority delegated to me by the Commenters wishing the FAA to accordance with the Raytheon service Administrator, the Federal Aviation acknowledge receipt of their comments bulletin described previously. Administration proposes to amend part submitted in response to this action 39 of the Federal Aviation Regulations must submit a self-addressed, stamped Cost Impact (14 CFR part 39) as follows: postcard on which the following There are approximately 1,000 statement is made: ‘‘Comments to airplanes of the affected design in the PART 39—AIRWORTHINESS Docket Number 2000–NM–373–AD.’’ worldwide fleet. The FAA estimates that DIRECTIVES The postcard will be date stamped and this proposed AD would affect 650 1. The authority citation for part 39 returned to the commenter. airplanes of U.S. registry. The proposed continues to read as follows: Availability of NPRMs inspection would take approximately 20 work hours per airplane, at an average Authority: 49 U.S.C. 106(g), 40113, 44701. Any person may obtain a copy of this labor rate of $60 per work hour. Based § 39.13 [Amended] NPRM by submitting a request to the on these figures, we estimate the cost of 2. Section 39.13 is amended by FAA, Transport Airplane Directorate, the proposed AD on U.S. operators to be adding the following new airworthiness ANM–114, Attention: Rules Docket No. $780,000, or $1,200 per airplane. directive: 2000–NM–373–AD, 1601 Lind Avenue, The cost impact figure discussed SW., Renton, Washington 98055–4056. above is based on assumptions that no Raytheon Aircraft Company: Docket 2000– operator has yet accomplished any of NM–373–AD. Discussion the proposed requirements of this AD Applicability: Model DH.125, HS.125, The FAA has received reports of action, and that no operator would BH.125, and BAe 125 (U–125 and C–29A) cracking of the cylinder head lugs of the accomplish those actions in the future if series airplanes, and Hawker 800, Hawker 800 (U–125A), Hawker 800XP, and Hawker main landing gear (MLG) actuator. Such this proposed AD were not adopted. The 1000 airplanes, as listed in Raytheon Service cracking of the cylinder heads could cost impact figures discussed in AD Bulletin SB 32–3391, dated August 2000; result in separation of the cylinder head rulemaking actions represent only the certificated in any category. lugs, which could prevent the MLG time necessary to perform the specific Note 1: This AD applies to each airplane from extending. This condition, if not actions actually required by the AD. identified in the preceding applicability corrected, could result in a partial gear- These figures typically do not include provision, regardless of whether it has been up landing. incidental costs, such as the time modified, altered, or repaired in the area
VerDate 11
subject to the requirements of this AD. For Manual (CMM) 32–30–1105 as an additional DATES: Comments must be received by airplanes that have been modified, altered, or source of service information. July 20, 2001. repaired so that the performance of the ADDRESSES: requirements of this AD is affected, the Alternative Methods of Compliance Submit comments in triplicate to the Federal Aviation owner/operator must request approval for an (d) An alternative method of compliance or alternative method of compliance in adjustment of the compliance time that Administration (FAA), Transport accordance with paragraph (d) of this AD. provides an acceptable level of safety may be Airplane Directorate, ANM–114, The request should include an assessment of used if approved by the Manager, Wichita Attention: Rules Docket No. 2000–NM– the effect of the modification, alteration, or Aircraft Certification Office (ACO), FAA. 220–AD, 1601 Lind Avenue, SW., repair on the unsafe condition addressed by Operators shall submit their requests through Renton, Washington 98055–4056. this AD; and, if the unsafe condition has not an appropriate FAA Principal Maintenance Comments may be inspected at this been eliminated, the request should include Inspector, who may add comments and then specific proposed actions to address it. location between 9:00 a.m. and 3 p.m., send it to the Manager, Wichita ACO. Monday through Friday, except Federal Compliance: Required as indicated, unless Note 3: Information concerning the holidays. Comments may be submitted accomplished previously. existence of approved alternative methods of To prevent separation of the cylinder head via fax to (425) 227–1232. Comments compliance with this AD, if any, may be may also be sent via the Internet using lugs, which could prevent the main landing obtained from the Wichita ACO. gear (MLG) from extending and result in a the following address: 9-anm- partial gear-up landing, do the following: Special Flight Permit [email protected]. Comments sent Inspection (e) Special flight permits may be issued in via fax or the Internet must contain accordance with §§ 21.197 and 21.199 of the ‘‘Docket No. 2000–NM–220–AD’’ in the (a) Perform an eddy current inspection of subject line and need not be submitted the actuator cylinder head lugs for cracking Federal Aviation Regulations (14 CFR 21.197 or corrosion per Raytheon Service Bulletin and 21.199) to operate the airplane to a in triplicate. Comments sent via the SB 32–3391, dated August 2000, at the time location where the requirements of this AD Internet as attached electronic files must specified in paragraph (a)(1), (a)(2), (a)(3), or can be accomplished. be formatted in Microsoft Word 97 for (a)(4) of this AD, as applicable. Issued in Renton, Washington, on May 30, Windows or ASCII text. (1) For actuator cylinder heads that have 2001. The service information referenced in 3,000 or less total landings as of the effective Vi L. Lipski, the proposed rule may be obtained from date of this AD: Perform the eddy current Manager, Transport Airplane Directorate, Boeing Commercial Airplane Group, inspection within 24 months after the Aircraft Certification Service. P.O. Box 3707, Seattle, Washington effective date of this AD. (2) For actuator cylinder heads that have [FR Doc. 01–14044 Filed 6–4–01; 8:45 am] 98124–2207. This information may be 3,001 to 4,000 total landings as of the BILLING CODE 4910–13–P examined at the FAA, Transport effective date of this AD: Perform the eddy Airplane Directorate, 1601 Lind current inspection within 6 months after the Avenue, SW., Renton, Washington. effective date of this AD. DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: Rick (3) For actuator cylinder heads that have Kawaguchi, Aerospace Engineer, been in service for more than 7 years as of Federal Aviation Administration Airframe Branch, ANM–120S, FAA, the effective date of this AD: Perform the Seattle Aircraft Certification Office, eddy current inspection within 6 months of 14 CFR Part 39 the effective date of this AD. 1601 Lind Avenue, SW., Renton, (4) For actuator cylinder heads that have Washington 98055–4056; telephone [Docket No. 2000–NM–220–AD] 4,001 or more total landings as of the (425) 227–1153; fax (425) 227–1181. effective date of this AD: Perform the eddy SUPPLEMENTARY INFORMATION: current inspection within 10 landings after RIN 2120–AA64 the effective date of this AD. Comments Invited Airworthiness Directives; Boeing If No Cracking or Corrosion Model 747 Series Airplanes Interested persons are invited to (b) If no cracking or corrosion is found participate in the making of the during the inspection required by paragraph AGENCY: Federal Aviation proposed rule by submitting such (a) of this AD, before further flight, Administration, DOT. written data, views, or arguments as accomplish the follow-on actions (e.g., ACTION: Notice of proposed rulemaking they may desire. Communications shall ‘‘vibro-etching’’ the MLG actuator data plate, (NPRM). identify the Rules Docket number and painting a blue stripe on the actuator be submitted in triplicate to the address cylinder head to indicate 1⁄32 inch oversize SUMMARY: This document proposes the specified above. All communications bushings, replacing bushings, and applying supersedure of an existing airworthiness received on or before the closing date corrosion protection to the lug bores), per directive (AD), applicable to all Boeing for comments, specified above, will be Raytheon Service Bulletin SB 32–3391, dated Model 747 series airplanes, that August 2000. considered before taking action on the currently requires a one-time inspection proposed rule. The proposals contained If Any Cracking or Corrosion of the fuselage skin adjacent to the drag in this action may be changed in light (c) If any cracking or corrosion is found splice fitting to detect cracking, and of the comments received. during the inspection required by paragraph follow-on actions, if necessary. This • Submit comments using the (a) of this AD, before further flight, action would mandate new repetitive following format: accomplish either of the actions specified in inspections for cracking of the fuselage • Organize comments issue-by-issue. paragraph (c)(1) or (c)(2) of this AD, per skin adjacent to the drag splice fitting. For example, discuss a request to Raytheon Service Bulletin SB 32–3391, dated This proposal is prompted by reports of change the compliance time and a August 2000. (1) Replace the actuator of the MLG with fatigue cracking in the fuselage skin and request to change the service bulletin a new or serviceable actuator, or adjacent structure. The actions specified reference as two separate issues. (2) Replace the actuator cylinder head with by the proposed AD are intended to • For each issue, state what specific a new cylinder head. detect and correct such cracking, which change to the proposed AD is being Note 2: Raytheon Service Bulletin SB 32– could result in reduced structural requested. 3391, dated August 2000, references integrity of the fuselage, and consequent • Include justification (e.g., reasons or Precision Hydraulics Cylinder Maintenance rapid depressurization of the airplane. data) for each request.
VerDate 11
Comments are specifically invited on New Service Information who has been authorized by the the overall regulatory, economic, Since the issuance of AD 2000–14–04, Manager, Seattle Aircraft Certification environmental, and energy aspects of the FAA has received a report of severe Office, to make such findings. the proposed rule. All comments cracking on a Model 747 series airplane Interim Action submitted will be available, both before at approximately 14,540 flight cycles. In and after the closing date for comments, This is interim action. The light of this report, the FAA has manufacturer has advised that it is in the Rules Docket for examination by reviewed and approved Boeing Alert interested persons. A report developing a modification that will Service Bulletin 747–53A2444, Revision positively address the unsafe condition summarizing each FAA-public contact 2, dated May 24, 2001. Revision 2 is concerned with the substance of this addressed by this AD. Once this essentially the same as Revision 1 of the modification is developed, approved, proposal will be filed in the Rules service bulletin, but Revision 2 specifies Docket. and available, the FAA may consider more comprehensive repetitive additional rulemaking. Commenters wishing the FAA to inspection procedures and reduces the acknowledge receipt of their comments compliance times specified in Revision Cost Impact submitted in response to this action 1. Revision 2 also references a There are approximately 1,301 must submit a self-addressed, stamped procedure in the 747 Structural Repair airplanes of the affected design in the postcard on which the following Manual for the repair of certain cracking worldwide fleet. The FAA estimates that statement is made: ‘‘Comments to without further FAA approval. 260 airplanes of U.S. registry would be Docket Number 2000–NM–220–AD.’’ affected by this proposed AD. The postcard will be date stamped and Explanation of Requirements of Proposed Rule The actions that are currently returned to the commenter. required by AD 2000–14–04 take Since an unsafe condition has been Availability of NPRMs approximately 2 work hours per identified that is likely to exist or airplane to accomplish, at an average Any person may obtain a copy of this develop on other products of this same labor rate of $60 per work hour. Based NPRM by submitting a request to the type design, the proposed AD would on these figures, the cost impact of the FAA, Transport Airplane Directorate, supersede AD 2000–14–04 to continue currently required actions on U.S. ANM–114, Attention: Rules Docket No. to require a one-time inspection of the operators is estimated to be $31,200, or 2000–NM–220–AD, 1601 Lind Avenue, fuselage skin adjacent to the drag splice $120 per airplane. SW., Renton, Washington 98055–4056. fitting to detect cracking, and follow-on The new inspections that are actions, if necessary. This proposed AD proposed in this AD action would take Discussion also mandates new repetitive approximately 7 work hours per inspections for cracking of the fuselage airplane to accomplish, at an average On July 3, 2000, the FAA issued AD skin adjacent to the drag splice fitting. 2000–14–04, amendment 39–11813 (65 labor rate of $60 per work hour. Based FR 43219, July 13, 2000), applicable to Differences Between Alert Service on these figures, the cost impact of the all Boeing Model 747 series airplanes, to Bulletin and This Proposed AD new proposed requirements of this AD require a one-time inspection of the on U.S. operators is estimated to be The service bulletin references the $109,200, or $420 per airplane, per fuselage skin adjacent to the drag splice 747 Structural Repair Manual (SRM) fitting to detect cracking, and follow-on inspection cycle. Subject 53–30–03, Figure 60, as an The cost impact figures discussed actions, if necessary. The requirements appropriate source of service above are based on assumptions that no of that AD are intended to detect and information for accomplishment of the operator has yet accomplished any of correct fatigue cracking of the fuselage repair of the fuselage skin. Certain the current or proposed requirements of skin, which could result in reduced revisions to this chapter of the 747 SRM this AD action, and that no operator structural integrity of the fuselage, and allow the use of 7075–T6 aluminum as would accomplish those actions in the consequent rapid depressurization of an option for skin replacement when future if this AD were not adopted. The the airplane. accomplishing the repair on the fuselage cost impact figures discussed in AD Actions Since Issuance of Previous Rule skin. Because 7075–T6 aluminum is rulemaking actions represent only the significantly less durable than 2024–T3 time necessary to perform the specific In the preamble to AD 2000–14–04, aluminum, the FAA has determined that actions actually required by the AD. the FAA specified that the actions use of 7075–T6 as a repair material These figures typically do not include required by that AD were considered cannot be allowed. Future repairs of the incidental costs, such as the time ‘‘interim action’’ and that the FAA was subject area that require skin required to gain access and close up, considering a separate rulemaking replacement may only use the 2024–T3 planning time, or time necessitated by action to address the procedures for material. Existing repairs of the subject other administrative actions. repetitive ultrasonic, high frequency area already made from 7075–T6 eddy current, and detailed visual aluminum will require follow-on Regulatory Impact inspections of the fuselage skin adjacent inspections accomplished in a manner The regulations proposed herein to the drag splice fitting to detect approved by the FAA. would not have a substantial direct additional cracking, and repair of any Although the service bulletin effect on the States, on the relationship cracking detected, as described in specifies that the manufacturer may be between the national Government and Boeing Service Bulletin 747–53A2444, contacted for disposition of certain the States, or on the distribution of Revision 1, dated June 15, 2000 (which repair conditions, this proposal would power and responsibilities among the was referenced as the appropriate require the repair of those conditions to various levels of government. Therefore, source of service information in that be accomplished per a method approved it is determined that this proposal AD). The FAA now has determined that by the FAA, or per data meeting the would not have federalism implications further rulemaking action is indeed type certification basis of the airplane under Executive Order 13132. necessary, and this proposed AD approved by a Boeing Company For the reasons discussed above, I follows from that determination. Designated Engineering Representative certify that this proposed regulation (1)
VerDate 11
is not a ‘‘significant regulatory action’’ Restatement of Requirements of AD 2000– required, using the Logic Diagram illustrated under Executive Order 12866; (2) is not 14–04 in Figure 1 of Boeing Service Bulletin 747– a ‘‘significant rule’’ under the DOT One-Time Detailed Visual Inspection 53A2444, Revision 1, dated June 15, 2000, or Boeing Alert Service Bulletin 747–53A2444, Regulatory Policies and Procedures (44 (a) Prior to the accumulation of 13,000 total Revision 2, dated May 24, 2001. If required, FR 11034, February 26, 1979); and (3) if flight cycles or within 60 days after July 28, promulgated, will not have a significant 2000 (the effective date of AD 2000–14–04, before further flight, accomplish the economic impact, positive or negative, amendment 39–11813), whichever occurs inspection in accordance with the service on a substantial number of small entities later: Perform a one-time external detailed bulletin. under the criteria of the Regulatory visual inspection of the fuselage skin Note 5: Inspections and repairs Flexibility Act. A copy of the draft adjacent to the drag splice fitting as accomplished prior to July 28, 2000, in regulatory evaluation prepared for this illustrated in Figure 2 of Boeing Service accordance with Boeing Alert Service action is contained in the Rules Docket. Bulletin 747–53A2444, Revision 1, dated Bulletin 747–53A2444, dated May 25, 2000, June 15, 2000. If no cracking is detected, no are considered acceptable for compliance A copy of it may be obtained by further action is required by this paragraph. contacting the Rules Docket at the with the applicable actions specified in this Note 2: For the purposes of this AD, a amendment. location provided under the caption detailed visual inspection is defined as: ‘‘An ADDRESSES. intensive visual examination of a specific New Requirements of This AD List of Subjects in 14 CFR Part 39 structural area, system, installation, or assembly to detect damage, failure, or Repetitive Inspections Air transportation, Aircraft, Aviation irregularity. Available lighting is normally (d) Perform ultrasonic, high frequency safety, Safety. supplemented with a direct source of good lighting at intensity deemed appropriate by eddy current, and detailed visual inspections The Proposed Amendment the inspector. Inspection aids such as mirror, in accordance with the Work Instructions of Accordingly, pursuant to the magnifying lenses, etc., may be used. Surface Boeing Alert Service Bulletin 747–53A2444, authority delegated to me by the cleaning and elaborate access procedures Revision 2, dated May 24, 2001, at the Administrator, the Federal Aviation may be required.’’ applicable times specified in Figure 1 of the Logic Diagram of the service bulletin; except Administration proposes to amend part Corrective Action 39 of the Federal Aviation Regulations where the compliance time in the logic (b) If any cracking is detected during any (14 CFR part 39) as follows: diagram specifies an interval of ‘‘after the inspection required by this AD, prior to release date of the service bulletin,’’ this AD PART 39—AIRWORTHINESS further flight, repair in accordance with requires compliance within the interval Boeing Alert Service Bulletin 747–53A2444, specified in the service bulletin ‘‘after the DIRECTIVES Revision 2, dated May 24, 2001. Where the effective date of this AD.’’ Repeat the service bulletin specifies to contact Boeing 1. The authority citation for part 39 applicable inspections at the intervals shown continues to read as follows: for repair instructions, repair in accordance with a method approved by the Manager, in Figure 1 of the Logic Diagram of the Authority: 49 U.S.C. 106(g), 40113, 44701. Seattle Aircraft Certification Office (ACO), service bulletin. Accomplishment of the FAA; or in accordance with data meeting the inspections required by this paragraph ends § 39.13 [Amended] type certification basis of the airplane the inspections required by paragraph (a) of 2. Section 39.13 is amended by approved by a Boeing Company Designated this AD. removing amendment 39–11813 (65 FR Engineering Representative (DER) who has Note 6: Where there are differences 43219, July 13, 2000), and by adding a been authorized by the Manager, Seattle between the AD and the service bulletin, the ACO, to make such findings. For a repair new airworthiness directive (AD), to AD prevails. read as follows: method to be approved by the Manager, Seattle ACO, as required by this paragraph, Alternative Methods of Compliance Boeing: Docket 2000–NM–220–AD. the approval letter must specifically Supersedes AD 2000–14–04, reference this AD. (e)(1) An alternative method of compliance Amendment 39–11813. Note 3: Repairs accomplished prior to the or adjustment of the compliance time that Applicability: All Model 747 series effective date of this AD in accordance with provides an acceptable level of safety may be airplanes, certificated in any category. a method approved by the Manager, Seattle used if approved by the Manager, Seattle Note 1: This AD applies to each airplane ACO, FAA, or in accordance with data ACO. Operators shall submit their requests identified in the preceding applicability meeting the type certification basis of the through an appropriate FAA Principal provision, regardless of whether it has been airplane approved by a Boeing Company Maintenance Inspector, who may add modified, altered, or repaired in the area DER, are considered acceptable for comments and then send it to the Manager, subject to the requirements of this AD. For compliance with the repair specified in Seattle ACO. airplanes that have been modified, altered, or paragraph (b) of this AD. repaired so that the performance of the (2) Alternative methods of compliance, requirements of this AD is affected, the Note 4: Boeing Alert Service Bulletin 747– approved previously in accordance with AD owner/operator must request approval for an 53A2444, Revision 2, dated May 24, 2001, 2000–14–04, amendment 39–11813, are alternative method of compliance in references the 747 Structural Repair Manual approved as alternative methods of accordance with paragraph (e)(1) of this AD. (SRM) as an appropriate source of service compliance with this AD. information for accomplishment of the repair The request should include an assessment of Note 7: Information concerning the the effect of the modification, alteration, or of the fuselage skin. However, the use of existence of approved alternative methods of repair on the unsafe condition addressed by 7075-T6 aluminum as specified in certain this AD; and, if the unsafe condition has not revisions of the SRM is not an option for skin compliance with this AD, if any, may be been eliminated, the request should include replacement when accomplishing the subject obtained from the Seattle ACO. specific proposed actions to address it. repair. Special Flight Permits Compliance: Required as indicated, unless Secondary Inspection accomplished previously. (f) Special flight permits may be issued in To detect and correct fatigue cracking of (c) For airplanes on which cracking is accordance with §§ 21.197 and 21.199 of the certain areas of the fuselage skin, which detected during any inspection required by Federal Aviation Regulations (14 CFR 21.197 could result in reduced structural integrity of paragraph (a) or (d) of this AD, prior to and 21.199) to operate the airplane to a the fuselage, and consequent rapid further flight after accomplishment of location where the requirements of this AD depressurization of the airplane; accomplish paragraph (b) of this AD: Determine if a can be accomplished. the following: secondary inspection of adjacent structure is
VerDate 11
Issued in Renton, Washington, on May 30, the following address: 9-anm- must submit a self-addressed, stamped 2001. [email protected]. Comments sent postcard on which the following Vi L. Lipski, via fax or the Internet must contain statement is made: ‘‘Comments to Manager, Transport Airplane Directorate, ‘‘Docket No. 2000–NM–19–AD’’ in the Docket Number 2000–NM–19–AD.’’ The Aircraft Certification Service. subject line and need not be submitted postcard will be date stamped and [FR Doc. 01–14043 Filed 6–4–01; 8:45 am] in triplicate. Comments sent via the returned to the commenter. BILLING CODE 4910–13–U Internet as attached electronic files must Availability of NPRMs be formatted in Microsoft Word 97 for Windows or ASCII text. Any person may obtain a copy of this DEPARTMENT OF TRANSPORTATION The service information referenced in NPRM by submitting a request to the the proposed rule may be obtained from FAA, Transport Airplane Directorate, Federal Aviation Administration Boeing Commercial Airplane Group, ANM–114, Attention: Rules Docket No. P.O. Box 3707, Seattle, Washington 2000–NM–19–AD, 1601 Lind Avenue, 14 CFR Part 39 98124–2207. This information may be SW., Renton, Washington 98055–4056. [Docket No. 2000–NM–19–AD] examined at the FAA, Transport Discussion Airplane Directorate, 1601 Lind A proposal to amend part 39 of the RIN 2120–AA64 Avenue, SW., Renton, Washington. Federal Aviation Regulations (14 CFR Airworthiness Directives; Boeing FOR FURTHER INFORMATION CONTACT: part 39) to add an airworthiness Model 767 Series Airplanes Powered Dennis Kammers, Aerospace Engineer, directive (AD), applicable to certain by Pratt & Whitney Model PW4000 Propulsion Branch, ANM–140S, FAA, Boeing Model 767 series airplanes, was Series Engines Seattle Aircraft Certification Office, published as a notice of proposed 1601 Lind Avenue, SW., Renton, rulemaking (NPRM) in the Federal AGENCY: Federal Aviation Washington 98055–4056; telephone Register on September 18, 2000 (65 FR Administration, DOT. (425) 227–2956; fax (425) 227–1181. 56264). That NPRM would have ACTION: Supplemental notice of SUPPLEMENTARY INFORMATION: required a one-time detailed visual proposed rulemaking; reopening of inspection of certain wire bundles Comments Invited comment period. located in the aft section of the strut Interested persons are invited to forward fairing panel of both engine SUMMARY: This document revises an participate in the making of the struts to detect chafing damage, and earlier proposed airworthiness directive proposed rule by submitting such repair or replacement of wiring, if (AD), applicable to certain Boeing written data, views, or arguments as necessary. That NPRM was prompted by Model 767 series airplanes, that would they may desire. Communications shall reports indicating several incidents of have required a one-time detailed visual identify the Rules Docket number and severe wire chafing of certain wire inspection of certain wire bundles be submitted in triplicate to the address bundles in both engine struts. That located in the aft section of the strut specified above. All communications condition, if not corrected, could result forward fairing panel of both engine received on or before the closing date in the potential for dual wire faults from struts to detect chafing damage, and for comments, specified above, will be grounded, separated, or shorted wires; repair or replacement of wiring, if considered before taking action on the and consequent inadvertent takeoff necessary. This new action revises the proposed rule. The proposals contained thrust overboost, in-flight loss of thrust, proposed rule by adding replacement of in this action may be changed in light or engine shutdown. wires repaired by splicing and damaged of the comments received. wires that require splicing, and Submit comments using the following Actions Since Issuance of Notice of replacement of the support brackets of format: Proposed Rulemaking (NPRM) the existing wire bundles with new • Organize comments issue-by-issue. Since issuance of the NPRM, the FAA brackets and clamps, which would For example, discuss a request to has reviewed and approved Boeing terminate the existing requirements. The change the compliance time and a Service Bulletin 767–73A0049, Revision actions specified by this new proposed request to change the service bulletin 3, dated December 20, 2000, which AD are intended to prevent the potential reference as two separate issues. contained certain changes from Revision for dual wire faults from grounded, • For each issue, state what specific 2 of the service bulletin (referenced as separated, or shorted wires; which change to the proposed AD is being the appropriate source of service could result in inadvertent takeoff thrust requested. information for accomplishment of the overboost, in-flight loss of thrust, or • Include justification (e.g., reasons or actions specified in the proposed rule). engine shutdown. data) for each request. Revision 3 adds airplanes that have DATES: Comments must be received by Comments are specifically invited on been manufactured since the issuance of July 2, 2001. the overall regulatory, economic, the NPRM; updates warranty ADDRESSES: Submit comments in environmental, and energy aspects of information; corrects a wire part triplicate to the Federal Aviation the proposed rule. All comments number, and clarifies repair/splice Administration (FAA), Transport submitted will be available, both before instructions for fire zone wiring. Airplane Directorate, ANM–114, and after the closing date for comments, Revision 3 has been added as a revised Attention: Rules Docket No. 2000–NM– in the Rules Docket for examination by source of service information for 19–AD, 1601 Lind Avenue, SW., interested persons. A report accomplishment of the specified Renton, Washington 98055–4056. summarizing each FAA-public contact actions, and the references to Revision Comments may be inspected at this concerned with the substance of this 2 have been removed from the location between 9 a.m. and 3 p.m., proposal will be filed in the Rules supplemental NPRM. Additionally, Monday through Friday, except Federal Docket. paragraph (a)(2) of the NPRM has been holidays. Comments may be submitted Commenters wishing the FAA to revised. The reference to the repair of via fax to (425) 227–1232. Comments acknowledge receipt of their comments the wires as specified in the wiring may also be sent via the Internet using submitted in response to this action practices manual has been removed
VerDate 11
from paragraph (a)(2) because Revision for the replacement. However, the new inspection proposed by this AD on U.S. 3 corrects the errors contained in service bulletin (above) will not replace operators is estimated to be $9,480, or Revision 2 describing repair/splice the service bulletin referenced in the $120 per airplane. instructions for wires installed in the NPRM because the existing actions will It would take approximately 3 work fire zone. Paragraph (a)(3) has been continue to be required until hours per airplane to accomplish the changed to a new (b)(1), which specifies accomplishment of the terminating proposed replacement, at an average the replacement of any wires that are action. labor rate of $60 per work hour. damaged and require a splice repair. Required parts would cost Conclusion The FAA also has reviewed and approximately $1,570 per airplane. approved Boeing Service Bulletin 767– Since these changes expand the scope Based on these figures, the cost impact 73A0049, Revision 4, dated April 5, of the originally proposed rule, the FAA of the replacement proposed by this AD 2001. Revision 4 is essentially the same has determined that it is necessary to on U.S. operators is estimated to be as Revision 3 (above), but eliminates reopen the comment period to provide $138,250, or $1,750 per airplane. one airplane that was inadvertently additional opportunity for public The cost impact figures discussed included in the effectivity section of comment. above are based on assumptions that no Revision 3. Revision 4 has been added Differences Between Service Bulletin operator has yet accomplished any of to the supplemental NPRM as an and Proposed Rule the proposed requirements of this AD additional source of service information action, and that no operator would for accomplishment of the specified Boeing Service Bulletin 767–73–0049 accomplish those actions in the future if actions. recommends that damaged wires this AD were not adopted. The cost repaired by splicing, as specified in Comments impact figures discussed in AD paragraph (a)(2) of the NPRM, be rulemaking actions represent only the Due consideration has been given to replaced at the next scheduled strut time necessary to perform the specific the comments received in response to system maintenance check. This actions actually required by the AD. the NPRM. Certain comments have supplemental NPRM would require that These figures typically do not include resulted in changes to the NPRM. any wires repaired by splicing, and any incidental costs, such as the time Terminating Action damaged wires that need to be spliced, required to gain access and close up, be replaced concurrent with the planning time, or time necessitated by One commenter asks that Boeing incorporation of the terminating action other administrative actions. Service Bulletin 767–73–0051, dated specified in Boeing Service Bulletin December 20, 2000, replace Boeing 767–73–0051. Regulatory Impact Service Bulletin 767–73A0049, which Although Boeing Service Bulletin The regulations proposed herein was referenced as the appropriate 767–73–0051 recommends doing the would not have a substantial direct source of service information for replacement at the next convenient effect on the States, on the relationship accomplishment of the actions specified opportunity where facilities and between the national Government and in the NPRM. The commenter states that manpower are available, the FAA has the States, or on the distribution of the new service bulletin would provide determined that this compliance time power and responsibilities among the final corrective action for the unsafe may not ensure that the identified various levels of government. Therefore, condition, and would eliminate the unsafe condition is addressed in a it is determined that this proposal need for further rulemaking. Another timely manner. In developing an would not have federalism implications commenter states that the action appropriate compliance time for this under Executive Order 13132. specified in the NPRM was interim proposed AD, the FAA considered not For the reasons discussed above, I action and asks that the manufacturer’s only the manufacturer’s certify that this proposed regulation (1) final action be included in the recommendation, but the degree of is not a ‘‘significant regulatory action’’ supplemental NPRM. urgency associated with addressing the under Executive Order 12866; (2) is not The FAA partially concurs with the subject unsafe condition, the average a ‘‘significant rule’’ under the DOT commenters. Since the issuance of the utilization of the affected fleet, and the Regulatory Policies and Procedures (44 NPRM, the FAA has reviewed and time necessary to perform the proposed FR 11034, February 26, 1979); and (3) if approved Boeing Service Bulletin 767– AD. In light of all of these factors, the promulgated, will not have a significant 73–0051. The service bulletin describes FAA finds a compliance time of within economic impact, positive or negative, procedures for replacement of the 6,000 flight hours or 18 months after the on a substantial number of small entities support brackets of the existing wire effective date of this AD, whichever under the criteria of the Regulatory bundle with a new bridge bracket, occurs later, to be warranted, in that it Flexibility Act. A copy of the draft support bracket, and wire bundle represents an appropriate interval of regulatory evaluation prepared for this clamps. Accomplishment of the time allowable for affected airplanes to action is contained in the Rules Docket. replacement eliminates the need for the continue to operate without A copy of it may be obtained by inspection and corrective action compromising safety. contacting the Rules Docket at the required by the NPRM, and as the final Cost Impact location provided under the caption action, addresses the unsafe condition. ADDRESSES. Additionally, the applicability in the There are approximately 185 NPRM has been changed to the same airplanes of the affected design in the List of Subjects in 14 CFR Part 39 effectivity listed in the service bulletin, worldwide fleet. The FAA estimates that Air transportation, Aircraft, Aviation because airplanes having line number 79 airplanes of U.S. registry would be safety, Safety. 822 and after have been delivered with affected by this proposed AD. the new bracket installed. A new It would take approximately 2 work The Proposed Amendment paragraph (b) has been added to include hours per airplane to accomplish the Accordingly, pursuant to the the replacement as terminating action, proposed inspection, at an average labor authority delegated to me by the and a spares paragraph has been added rate of $60 per work hour. Based on Administrator, the Federal Aviation to ensure that existing parts are not used these figures, the cost impact of the Administration proposes to amend part
VerDate 11
39 of the Federal Aviation Regulations (2) Replace all spliced wires with new DEPARTMENT OF TRANSPORTATION (14 CFR part 39) as follows: wires per the service bulletin, concurrent with accomplishment of the terminating Federal Aviation Administration PART 39—AIRWORTHINESS action required by paragraph (b)(2) of this DIRECTIVES AD. 14 CFR Part 39 1. The authority citation for part 39 Terminating Action [Docket No. 2000–NM–146–AD] continues to read as follows: (b) Within 6,000 flight hours or 18 months after the effective date of this AD, whichever RIN 2120–AA64 Authority: 49 U.S.C. 106(g), 40113, 44701. occurs later, do the actions specified in Airworthiness Directives; Boeing § 39.13 [Amended] paragraphs (b)(1) and (b)(2) of this AD per the Accomplishment Instructions of Boeing Model 737 Series Airplanes 2. Section 39.13 is amended by Service Bulletin 767–73–0051, dated AGENCY: Federal Aviation adding the following new airworthiness December 20, 2000. directive: (1) Do a detailed visual inspection of the Administration, DOT. Boeing: Docket 2000–NM–19–AD. wire bundles to detect chafing damage; if any ACTION: Supplemental notice of Applicability: Model 767 series airplanes damaged wires are found, replace the wires proposed rulemaking; reopening of as listed in Boeing Service Bulletin 767–73– that require a splice repair with new wires comment period. 0051, dated December 20, 2000, certificated concurrent with accomplishment of the in any category. terminating action specified in paragraph SUMMARY: This document revises an Note 1: This AD applies to each airplane (b)(2) of this AD. earlier proposed airworthiness directive identified in the preceding applicability (2) Replace the existing support bracket of (AD), applicable to certain Boeing provision, regardless of whether it has been the wire bundle with a new bridge bracket, Model 737–100, –200, –300, –400, and modified, altered, or repaired in the area support bracket, and wire bundle clamps. –500 series airplanes, that would have subject to the requirements of this AD. For Accomplishment of this replacement required inspection of wire bundles in airplanes that have been modified, altered, or terminates the requirements of this AD. two junction boxes in the main wheel repaired so that the performance of the Report Inspection Results well to detect chafing or damage, and requirements of this AD is affected, the follow-on actions. This new action owner/operator must request approval for an (c) Following accomplishment of alternative method of compliance per paragraph (a) or (b) of this AD: Report revises the proposed rule by expanding paragraph (e) of this AD. The request should inspection results, as described in Boeing the applicability to include additional include an assessment of the effect of the Service Bulletin 767–73A0049, Revision 3, airplanes and models, and by adding modification, alteration, or repair on the dated December 20, 2000, or Revision 4, new inspections for chafing or damage unsafe condition addressed by this AD; and, dated April 5, 2001, to Boeing Commercial of two additional junction boxes in the if the unsafe condition has not been Airplane Group, P.O. Box 3707, Seattle, main wheel well and follow-on actions eliminated, the request should include Washington 98124–2207. for those boxes. This action is necessary specific proposed actions to address it. Spares to prevent wire damage, which could Compliance: Required as indicated, unless result in arcing and consequent fire in accomplished previously. (d) As of the effective date of this AD, no To prevent the potential for dual wire person shall install on any airplane any the main wheel well or passenger cabin, faults from grounded, separated, or shorted bracket identified in the ‘‘Existing Part or inability to stop the flow of fuel to an wires; which could result in inadvertent Number’’ column of Paragraph 2.E. of Boeing engine or to the auxiliary power unit in takeoff thrust overboost, in-flight loss of Service Bulletin 767–73–0051, dated the event of a fire. This action is thrust, or engine shutdown, accomplish the December 20, 2000. intended to address the identified following: Alternative Methods of Compliance unsafe condition. Detailed Visual Inspection (e) An alternative method of compliance or DATES: Comments must be received by (a) Prior to the accumulation of 10,000 adjustment of the compliance time that July 10, 2001. hours time-in-service or within 180 days after provides an acceptable level of safety may be ADDRESSES: Submit comments in the effective date of this AD, whichever used if approved by the Manager, Seattle triplicate to the Federal Aviation occurs later: Do a one-time detailed visual Aircraft Certification Office (ACO), FAA. Administration (FAA), Transport inspection of the wire bundles located in the Operators shall submit their requests through aft section of the strut forward fairing panel Airplane Directorate, ANM–114, an appropriate FAA Principal Maintenance Attention: Rules Docket No. 2000–NM– of both engine struts to detect chafing Inspector, who may add comments and then damage, per Boeing Service Bulletin 767– send it to the Manager, Seattle ACO. 146–AD, 1601 Lind Avenue, SW., 73A0049, Revision 3, dated December 20, Renton, Washington 98055–4056. Note 3: Information concerning the 2000, or Revision 4, dated April 5, 2001. existence of approved alternative methods of Comments may be inspected at this Note 2: For the purposes of this AD, a compliance with this AD, if any, may be location between 9:00 a.m. and 3:00 detailed visual inspection is defined as: ‘‘An obtained from the Seattle ACO. p.m., Monday through Friday, except intensive visual examination of a specific Federal holidays. Comments may be structural area, system, installation, or Special Flight Permit submitted via fax to (425) 227–1232. assembly to detect damage, failure, or (f) Special flight permits may be issued per irregularity. Available lighting is normally Comments may also be sent via the §§ 21.197 and 21.199 of the Federal Aviation supplemented with a direct source of good Internet using the following address: 9- lighting at intensity deemed appropriate by Regulations (14 CFR 21.197 and 21.199) to [email protected]. Comments the inspector. Inspection aids such as mirror, operate the airplane to a location where the sent via fax or the Internet must contain magnifying lenses, etc., may be used. Surface requirements of this AD can be ‘‘Docket No. 2000–NM–146–AD’’ in the accomplished. cleaning and elaborate access procedures subject line and need not be submitted may be required.’’ Issued in Renton, Washington, on May 30, in triplicate. Comments sent via the 2001. Corrective Action Internet as attached electronic files must Vi L. Lipski, be formatted in Microsoft Word 97 for (1) If any chafing damage of any wire Manager, Transport Airplane Directorate, bundle is detected: Before further flight, Windows or ASCII text. Aircraft Certification Service. repair the wire bundle per the service The service information referenced in bulletin, except as provided by paragraph [FR Doc. 01–14041 Filed 6–4–01; 8:45 am] the proposed rule may be obtained from (a)(2) of this AD. BILLING CODE 4910–13–U Boeing Commercial Airplane Group,
VerDate 11
P.O. Box 3707, Seattle, Washington 2000–NM–146–AD, 1601 Lind Avenue, The FAA concurs with the 98124–2207. This information may be SW., Renton, Washington 98055–4056. commenter’s requests. Since the examined at the FAA, Transport issuance of the proposed rule, the FAA Discussion Airplane Directorate, 1601 Lind has reviewed and approved Boeing Avenue, SW., Renton, Washington. A proposal to amend part 39 of the Service Letter 737–SL–24–111–B, dated FOR FURTHER INFORMATION CONTACT: Federal Aviation Regulations (14 CFR January 16, 2001. (The NPRM Stephen Oshiro, Aerospace Engineer, part 39) to add an airworthiness referenced Boeing Service Letter 737– Systems and Equipment Branch, ANM– directive (AD), applicable to certain SL–24–111, dated February 27, 1996, as 130S, FAA, Seattle Aircraft Certification Boeing Model 737–100, –200, –300, the appropriate source of service Office, 1601 Lind Avenue, SW., Renton, –400, and –500 series airplanes, was information for the actions described in Washington 98055–4056; telephone published as a notice of proposed the NPRM.) Boeing Service Letter 737– (425) 227–2793; fax (425) 227–1181. rulemaking (NPRM) in the Federal SL–24–111–B differs from the original issue by featuring an expanded SUPPLEMENTARY INFORMATION: Register on June 27, 2000 (65 FR 39574). That NPRM would have required effectivity (including Model 737–600, Comments Invited inspection of wire bundles in two –700, –800, and –900) and an expanded Interested persons are invited to junction boxes in the main wheel well inspection area (four junction boxes participate in the making of the to detect chafing or damage, and follow- instead of two). The new service letter proposed rule by submitting such on actions. That NPRM was prompted also incorporates new instructions for written data, views, or arguments as by reports indicating that damaged rerouting the wiring that are intended to they may desire. Communications shall electrical wiring has been found in a better protect the wiring from future identify the Rules Docket number and junction box formed by electrical damage due to chafing than would the be submitted in triplicate to the address disconnect brackets on the right side of instructions in the original service specified above. All communications the main wheel well on certain Boeing letter. Also, the revised service letter received on or before the closing date Model 737 series airplanes. That refers only to Boeing Standard Wiring for comments, specified above, will be condition, if not corrected, could result Practices Manual D6–54446, Subject 20– considered before taking action on the in arcing and consequent fire in the 10–13, as an appropriate source of proposed rule. The proposals contained main wheel well or passenger cabin, or repair instructions if any damaged in this action may be changed in light inability to stop the flow of fuel to an wiring is found. Accomplishment of the of the comments received. engine or to the auxiliary power unit in actions in the revised service letter Submit comments using the following the event of a fire. described above is intended to adequately address the unsafe format: Comments • Organize comments issue-by-issue. condition. For example, discuss a request to Due consideration has been given to Conclusion change the compliance time and a the comments received in response to the NPRM. One comment has resulted Since these changes expand the scope request to change the service bulletin of the originally proposed rule, the FAA reference as two separate issues. in changes to the proposed rule, which • are discussed below. has determined that it is necessary to For each issue, state what specific reopen the comment period to provide change to the proposed AD is being Expand Inspection Area, Applicability additional opportunity for public requested. comment. • Include justification (e.g., reasons or One commenter, the airplane data) for each request. manufacturer, requests that the FAA Explanation of New Requirements of Comments are specifically invited on revise the NPRM in the following ways: Supplemental NPRM • Expand applicability to include all the overall regulatory, economic, Since an unsafe condition has been Boeing Model 737–100, –200, –300, environmental, and energy aspects of identified that is likely to exist or –400, and –500 series airplanes; and the proposed rule. All comments develop on other products of this same Boeing Model 737–600, –700, –800, and submitted will be available, both before type design, the supplemental NPRM –900 series airplanes, with line numbers and after the closing date for comments, would require accomplishment of the in the Rules Docket for examination by 1 through 706 inclusive. • actions specified in the revised service interested persons. A report Expand subject area of inspections letter described previously, except as summarizing each FAA-public contact and follow-on actions to include two discussed below. concerned with the substance of this additional junction boxes in the main proposal will be filed in the Rules wheel well. Difference Between Service Letter and Docket. • Reference revised service This Proposed AD Commenters wishing the FAA to information. Operators should note that, while the acknowledge receipt of their comments The commenter explains that, though service letter does not specify the type submitted in response to this action the NPRM specified inspections and of inspection of the wire bundles to must submit a self-addressed, stamped follow-on actions for only two junction detect chafing, this proposed AD would postcard on which the following boxes in the main wheel well on certain require a detailed visual inspection to statement is made: ‘‘Comments to Boeing Model 737 series airplanes, there detect chafing of the wire bundles. A Docket Number 2000–NM–146–AD.’’ are four junction boxes in the main note has been included in this proposed The postcard will be date-stamped and wheel well area that have the same rule to define that inspection. returned to the commenter. design. Also, junction boxes of the same Operators also should note that this design are installed on certain Boeing proposed AD would require the Availability of NPRMs Model 737–600, –700, –800, and –900 inspection be accomplished within 12 Any person may obtain a copy of this series airplanes. The commenter months after the effective date of the NPRM by submitting a request to the requests that the FAA revise the NPRM AD. The service letter specifies that the FAA, Transport Airplane Directorate, to reference new service information actions therein should be accomplished ANM–114, Attention: Rules Docket No. that addresses these issues. ‘‘at a convenient opportunity when
VerDate 11
facilities and manpower are available.’’ on a substantial number of small entities sides of the main wheel wells to detect In developing an appropriate under the criteria of the Regulatory damage or chafing, as specified in Boeing compliance time for this proposed AD, Flexibility Act. A copy of the draft Service Letter 737–SL–24–111–B, dated the FAA considered the degree of regulatory evaluation prepared for this January 16, 2001. urgency associated with addressing the action is contained in the Rules Docket. Note 2: For the purposes of this AD, a subject unsafe condition, the average A copy of it may be obtained by detailed visual inspection is defined as: ‘‘An utilization of the affected fleet, and the contacting the Rules Docket at the intensive visual examination of a specific time necessary to perform the actions location provided under the caption structural area, system, installation, or (approximately 4 hours). In light of all ADDRESSES. assembly to detect damage, failure, or of these factors, the FAA finds a 12- irregularity. Available lighting is normally month compliance time for initiating List of Subjects in 14 CFR Part 39 supplemented with a direct source of good the required actions to be warranted, in Air transportation, Aircraft, Aviation lighting at intensity deemed appropriate by that it represents an appropriate interval safety, Safety. the inspector. Inspection aids such as mirror, of time allowable for affected airplanes magnifying lenses, etc., may be used. Surface The Proposed Amendment to continue to operate without cleaning and elaborate access procedures compromising safety. Accordingly, pursuant to the may be required.’’ authority delegated to me by the Cost Impact (1) If no chafing is detected, prior to further Administrator, the Federal Aviation flight, protect the wire bundles from chafing There are approximately 3,719 Administration proposes to amend part against the cover plate of the junction box, airplanes of the affected design in the 39 of the Federal Aviation Regulations according to the service letter. worldwide fleet. The FAA estimates that (14 CFR part 39) as follows: (2) If any chafing is detected, prior to 1,467 airplanes of U.S. registry would be further flight, repair the wiring in accordance affected by this proposed AD, that it PART 39—AIRWORTHINESS with the service letter, and protect the wire would take approximately 8 work hours DIRECTIVES bundles from chafing against the cover plate per airplane to accomplish the proposed 1. The authority citation for part 39 of the junction box, according to the service actions, and that the average labor rate continues to read as follows: letter. is $60 per work hour. The cost of Note 3: Boeing Service Letter 737–SL–24– Authority: 49 U.S.C. 106(g), 40113, 44701. required parts would be negligible. 111–B, dated January 16, 2001, refers to Based on these figures, the cost impact § 39.13 [Amended] Boeing Standard Wiring Practices Manual of the proposed AD on U.S. operators is D6–54446, Subject 20–10–13, as the estimated to be $704,160, or $480 per 2. Section 39.13 is amended by adding the following new airworthiness appropriate source of repair instructions if airplane. any damaged wiring is found. The cost impact figure discussed directive: above is based on assumptions that no Boeing: Docket 2000–NM–146–AD. Alternative Methods of Compliance operator has yet accomplished any of Applicability: All Model 737–100, –200, (b) An alternative method of compliance or the proposed requirements of this AD –300, –400, and –500 series airplanes; and adjustment of the compliance time that Model 737–600, –700, –800, and –900 series action, and that no operator would provides an acceptable level of safety may be airplanes, line numbers 1 through 706 accomplish those actions in the future if used if approved by the Manager, Seattle inclusive; certificated in any category. this proposed AD were not adopted. The Aircraft Certification Office (ACO), FAA. Note 1: This AD applies to each airplane cost impact figures discussed in AD Operators shall submit their requests through identified in the preceding applicability rulemaking actions represent only the an appropriate FAA Principal Maintenance time necessary to perform the specific provision, regardless of whether it has been modified, altered, or repaired in the area Inspector, who may add comments and then actions actually required by the AD. subject to the requirements of this AD. For send it to the Manager, Seattle ACO. These figures typically do not include airplanes that have been modified, altered, or Note 4: Information concerning the incidental costs, such as the time repaired so that the performance of the existence of approved alternative methods of required to gain access and close up, requirements of this AD is affected, the compliance with this AD, if any, may be planning time, or time necessitated by owner/operator must request approval for an obtained from the Seattle ACO. other administrative actions. alternative method of compliance in accordance with paragraph (b) of this AD. Special Flight Permits Regulatory Impact The request should include an assessment of (c) Special flight permits may be issued in The regulations proposed herein the effect of the modification, alteration, or accordance with §§ 21.197 and 21.199 of the would not have a substantial direct repair on the unsafe condition addressed by Federal Aviation Regulations (14 CFR 21.197 effect on the States, on the relationship this AD; and, if the unsafe condition has not been eliminated, the request should include and 21.199) to operate the airplane to a between the national Government and specific proposed actions to address it. location where the requirements of this AD the States, or on the distribution of Compliance: Required as indicated, unless can be accomplished. power and responsibilities among the accomplished previously. Issued in Renton, Washington, on May 30, various levels of government. Therefore, To prevent chafing of wire bundles in four 2001. it is determined that this proposal junction boxes in the main wheel well, would not have federalism implications which could result in arcing and consequent Vi L. Lipski, under Executive Order 13132. fire in the main wheel well or passenger Manager, Transport Airplane Directorate, For the reasons discussed above, I cabin, or inability to stop the flow of fuel to Aircraft Certification Service. certify that this proposed regulation (1) an engine or to the auxiliary power unit in [FR Doc. 01–14042 Filed 6–4–01; 8:45 am] the event of fire, accomplish the following: is not a ‘‘significant regulatory action’’ BILLING CODE 4910–13–P under Executive Order 12866; (2) is not Inspection a ‘‘significant rule’’ under the DOT (a) Within 12 months after the effective Regulatory Policies and Procedures (44 date of this AD, perform a detailed visual FR 11034, February 26, 1979); and (3) if inspection of the wire bundles in the four promulgated, will not have a significant junction boxes formed by electrical economic impact, positive or negative, disconnect brackets on the left and right
VerDate 11
DEPARTMENT OF TRANSPORTATION environmental, and energy-related 15, 2001, which is incorporated by aspects of the proposal. reference in 14 CFR 71.1. The Class D Federal Aviation Administration Communications should identify the airspace designation listed in this airspace docket number and be document would be published 14 CFR Part 71 submitted in triplicate to the address subsequently in this Order. [Airspace Docket No. 01–AWP–8] listed above. Commenters wishing the The FAA has determined that this FAA to acknowledge receipt of their proposed regulation only involves an Proposed Modification to Glendale comments on this action must submit established body of technical Municipal Airport Class D Surface with the comments a self-addressed, regulations for which frequent and Area; Glendale, AZ stamped postcard on which the routine amendments are necessary to following statement is made: keep them operationally current. AGENCY: Federal Aviation ‘‘Comments to Airspace Docket No. 01– Therefore, this proposed regulation—(1) Administration (FAA) DOT. AWP–8.’’ The postcard will be date/ is not a ‘‘significant regulatory action’’ ACTION: Notice of proposed rulemaking. time stamped and returned to the under Executive Order 12866; (2) is not commenter. All communications a ‘‘significant rule’’ under DOT SUMMARY: This action proposes to received on or before the specified Regulatory Policies and Procedures (44 modify the ceiling of the Class D Surface closing date for comments will be FR 11034; February 26, 1979); and (3) Area at Glendale Municipal Airport in considered before taking action on the does not warrant preparation of a Glendale, Arizona. A review of airspace proposed rule. The proposal contained Regulatory Evaluation, as the classification and air traffic procedures in this action may be changed in light anticipated impact is so minimal. Since has made this action necessary. The of comments received. All comments this is a routine matter that will only proposed action would lower the ceiling submitted will be available for affect air traffic procedures and air of the Glendale Municipal Airport Class examination in the Airspace Branch, Air navigation, it is certified that this D Surface Area so that it would extend Traffic Division, at 15000 Aviation proposed rule would not have a upward from the surface to, but not Boulevard, Lawndale, California 90261, significant economic impact on a including, 3,000 feet above Mean Sea both before and after the closing date for substantial number of small entities Level (MSL). comments. A report summarizing each under the criteria of the Regulatory DATES: Comments must be received on substantive public contact with FAA Flexibility Act. or before July 20, 2001. personnel concerned with this List of Subjects in 14 CFR Part 71 ADDRESSES: Send comments on the rulemaking will be filed in the docket. Airspace, Incorporation by reference, proposal in triplicate to: Federal Availability of NPRM Aviation Administration, Attn: Navigation (air). Any person may obtain a copy of this Manager, Airspace Branch, AWP–520, Notice of Proposed Rulemaking (NPRM) The Proposed Amendment Docket No. 01–AWP–8, Air Traffic by submitting a request to the Federal Division, P.O. Box 92007, Los Angeles, In consideration of the foregoing, the Aviation Administration, Airspace California 90009. The official docket Federal Aviation Administration Branch, 15000 Aviation Boulevard, may be examined in the Office of the proposes to amend 14 CFR part 71 as Lawndale, California 90261. Regional Counsel, Western-Pacific follows: Communications must identify the Region, Federal Aviation docket number of this NPRM. Persons PART 71—DESIGNATION OF CLASS A, Administration, Room 6007, 15000 interested in being placed on a mailing CLASS B, CLASS C, CLASS D AND Aviation Boulevard, Lawndale, list for future NPRM’s should also CLASS E AIRSPACE AREAS; California 90261. An informal docket request a copy of Advisory Circular No. AIRWAYS; ROUTES; AND REPORTING may also be examined during normal 11–2A, which describes the application POINTS business hours at the Office of the procedures. Manager, Airspace Branch, Air Traffic 1. The authority citation for 14 CFR Division at the above address. The Proposal part 71 continues to read as follows: FOR FURTHER INFORMATION CONTACT: Jeri The FAA is considering an Authority: 49 U.S.C. 106(g), 40103, 40113, Carson, Airspace Specialist, Airspace amendment to 14 CFR part 71 that 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– Branch, AWP–520.11, Air Traffic would modify the Glendale Municipal 1963 Comp., p. 389. Division, Western-Pacific Region, Airport Class D Surface Area at § 71.1 [Amended] Federal Aviation Administration, 15000 Glendale, AZ. A review of airspace 2. The incorporation by reference in Aviation Boulevard, Lawndale, classification and air traffic procedures 14 CFR 71.1 of the Federal Aviation California 90261, telephone number has made this action necessary. This Administration Order 7400.9H, (310) 725–6611. action proposes to lower the ceiling of Airspace Designations and Reporting SUPPLEMENTARY INFORMATION: the Class D Surface Area so that it Points, dated September 1, 2000, and would extend from the surface up to, Comments Invited effective September 16, 2000, is but not including, 3,000 feet MSL. This amended as follows: Interested parties are invited to action would enhance safety of air participate in this proposed rulemaking traffic operations by allowing the Paragraph 5000 Class D Airspace by submitting such written data, views, airspace to be charted in a manner more * * * * * or arguments, as they may desire. consistent with the nature of the AWP AZ D Glendale, AZ [REVISED] Comments that provide the factual basis operations conducted at Glendale Glendale Municipal Airport, AZ supporting the views and suggestions Municipal Airport. Class D airspace (Lat. 33°31′38″N, long. 112°17′42″W) presented are particularly helpful in areas are published in Paragraph 5000 of That airspace extending upward from the developing reasoned regulatory FAA Order 7400.9H, Airspace surface to, but not including, 3,000 feet MSL decisions on the proposal. Comments Designations and Reporting Points, within a 3-mile radius of Glendale Municipal are specifically invited on the overall dated September 1, 2000, and effective Airport excluding that portion west of a line regulatory, aeronautical, economic, September 16, 2000, through September beginning at lat. 33°29′00″N, long.
VerDate 11
112°19′26″W; to lat. 33°29′29″N, long. Division, Western-Pacific Region, Municipal Airport Class D Surface Area 112°19′29″W; to lat. 33°33′24″N, long. Federal Aviation Administration, 15000 at Phoenix, AZ. A review of airspace 112°18′04″W; to lat. 33°34′32″N, long. ° ′ ″ Aviation Boulevard, Lawndale, classification and air traffic procedures 112 16 43 W; This Class D airspace area is California 90261, telephone number has made this action necessary. This effective during the specific dates and times established in advance by a Notice to (310) 725–6611. action proposes to lower the ceiling of Airmen. The effective date and time will SUPPLEMENTARY INFORMATION: the Class D Surface Area so that it would extend from the surface up to, thereafter be continuously published in the Comments Invited Airport/Facility Directory. but not including 3,000 feet MSL. This * * * * * Interested parties are invited to action would enhance safety of air participate in this proposed rulemaking traffic operations by allowing the Issued in Los Angeles, California, on May by submitting such written data, views, 21, 2001. airspace to be charted in a manner more or arguments, as they may desire. consistent the nature of the operations John Clancy, Comments that provide the factual basis conducted at Phoenix-Goodyear Manager, Air Traffic Division, Western-Pacific supporting the views and suggestions Municipal Airport. Class D airspace Region. presented are particularly helpful in areas are published in Paragraph 5000 of [FR Doc. 01–14103 Filed 6–4–01; 8:45 am] developing reasoned regulatory FAA Order 7400.9H, Airspace BILLING CODE 4910–13–M decisions on the proposal. Comments Designations and Reporting Points, are specifically invited on the overall dated September 1, 2000, and effective regulatory, aeronautical, economic, September 16, 2000, through September DEPARTMENT OF TRANSPORTATION environmental, and energy-related 15, 2001, which is incorporated by aspects of the proposal. Federal Aviation Administration reference in 14 CFR 71.1. The Class D Communications should identify the airspace designation listed in this airspace docket number and be 14 CFR Part 71 document would be published submitted in triplicate to the address subsequently in this Order. [Airspace Docket No. 01–AWP–11] listed above. Comments wishing the The FAA has determined that this FAA to acknowledge receipt of their proposed regulation only involves an Proposed Modification to Phoenix- comments on this action must submit established body of technical Goodyear Municipal Airport Class D with the comments a self-addressed, regulations for which frequent and Surface Area; Phoenix, AZ stamped postcard on which the routine amendments are necessary to AGENCY: Federal Aviation following statement is made: keep them operationally current. Administration (FAA) DOT. ‘‘Comments to Airspace Docket No. 01– Therefore, this proposed regulation—(1) AWP–11.’’ The postcard will be date- ACTION: Notice of proposed rulemaking. is not a ‘‘significant regulatory action’’ time stamped and returned to the under Executive Order 12866; (2) is not SUMMARY: This action proposes to commenter. All communications a ‘‘significant rule’’ under DOT modify the ceiling of the Class D Surface received on or before the specified Regulatory Policies and Procedures (44 Area at Phoenix-Goodyear Municipal closing date for comments will be FR 11034; February 26, 1979); and (3) Airport in Phoenix, Arizona. A review considered before taking action on the does not warrant preparation of a of airspace classification and air traffic proposed rule. The proposal contained Regulatory Evaluation, as the procedures has made this action in this action may be changed in light anticipated impact is so minimal. Since necessary. The proposed action would of comments received. All comments this is a routine matter that will only lower the ceiling of the Phoenix- submitted will be available for affect air traffic procedures and air Goodyear Municipal Airport Class D examination in the Airspace Branch, Air navigation, it is certified that this Surface Area so that it would extend Traffic Division, at 15000 Aviation proposed rule would not have a upward from the surface to, but not Boulevard, Lawndale, California 90261, significant economic impact on a including, 3,000 feet above Mean Sea both before and after the closing date for substantial number of small entities Level (MSL). comments. A report summarizing each under the criteria of the Regulatory DATES: Comments must be received on substantive public contact with FAA Flexibility Act. or before July 20, 2001. personnel concerned with this rulemaking will be filed in the docket. List of Subjects in 14 CFR Part 71 ADDRESSES: Send comments on the proposal in triplicate to: Federal Availability of NPRM Airspace, Incorporation by reference, Navigation (air). Aviation Administration, Attn: Any person may obtain a copy of this Manager, Airspace Branch, AWP–520, Notice of Proposed Rulemaking (NPRM) The Proposed Amendment Docket No. 01–AWP–11, Air Traffic by submitting a request to the Federal Division, P.O. Box 92007, Los Angeles, In consideration of the foregoing, the Aviation Administration, Airspace Federal Aviation Administration California 90009. The official docket Branch, 15000 Aviation Boulevard, may be examined in the Office of the proposes to amend 14 CFR part 71 as Lawndale, California 90261. follows: Regional Counsel, Western-Pacific Communications must identify the Region, Federal Aviation docket number of this NPRM. Persons PART 71—DESIGNATION OF CLASS A, Administration, Room 6007, 15000 interested in being placed on a mailing CLASS B, CLASS C, CLASS D AND Aviation Boulevard, Lawndale, list for future NPRM’s should also CLASS E AIRSPACE AREAS; California 90261. An informal docket request a copy of Advisory Circular No. AIRWAYS; ROUTES; AND REPORTING may also be examined during normal 11–2A, which describes the application POINTS business hours at the Office of the procedures. Manager, Airspace Branch, Air Traffic 1. The authority citation for 14 CFR Division at the above address. The Proposal part 71 continues to read as follows: FOR FURTHER INFORMATION CONTACT: Jeri The FAA is considering an Authority: 49 U.S.C. 106(g), 40103, 40113, Carson, Airspace Specialist, Airspace amendment to 14 CFR part 71 that 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– Branch, AWP–520.11, Air Traffic would modify the Phoenix-Goodyear 1963 Comp., p. 389.
VerDate 11
§ 71.1 [Amended] Manager, Airspace Branch, AWP–520, Availability of NPRM 2. The incorporation by reference in Docket No. 01–AWP–10, Air Traffic 14 CFR 71.1 of the Federal Aviation Division, P.O. Box 92007, Los Angeles, Any person may obtain a copy of this Administration Order 7400.9H, California 90009. The official docket Notice of Proposed Rulemaking (NPRM) Airspace Designations and Reporting may be examined in the Office of the by submitting a request to the Federal Points, dated September 1, 2000, and Regional Counsel, Western-Pacific Aviation Administration, Airspace effective September 16, 2000, is Region, Federal Aviation Branch, 15000 Aviation Boulevard, amended as follows: Administration, Room 6007, 15000 Lawndale, California 90261. Aviation Boulevard, Lawndale, Communications must identify the Paragraph 5000 Class D Airspace docket number of this NPRM. Persons * * * * * California 90261. An informal docket may also be examined during normal interested in being placed on a mailing AWP AZ D Phoenix-Goodyear Municipal business hours at the Office of the list for future NPRM’s should also Airport, AZ [REVISED] Manager, Airspace Branch, Air Traffic request a copy of Advisory Circular No. Phoenix-Goodyear Municipal Airport, AZ Division at the above address. 11–2A, which describes the application (Lat. 33°25′22″, long. 111°22′34″W) procedures. FOR FURTHER INFORMATION CONTACT: Jeri That airspace extending upward from the The Proposal surface to, but not including, 3,000 feet MSL Carson, Airspace Specialist, Airspace within a 3-mile radius of Phoenix-Goodyear Branch, AWP–520.11, Air Traffic The FAA is considering an Municipal Airport, excluding the portion Division, Western Pacific Region, amendment to 14 CFR part 71 that within the Phoenix, Luke AFB, AZ, Class D Federal Aviation Administration, 15000 airspace area. This Class D airspace area is would modify the Phoenix-Deer Valley Aviation Boulevard, Lawndale, Municipal Airport Class D Surface Area effective during the specific dates and times California 90261, telephone number established in advance by a Notice to at Phoenix, AZ. A review of airspace Airmen. The effective date and time will (310) 725–6611. classification and air traffic procedures thereafter be continuously published in the SUPPLEMENTARY INFORMATION: has made this action necessary. This Airport/Facility Directory. action proposes to lower the ceiling of * * * * * Comments Invited the Class D Surface Area so that it Issued in Los Angeles, California, on May Interested parties are invited to would extend from the surface up to, 21, 2001. participate in this proposed rulemaking but not including, 4,000 feet MSL. This John Clancy, by submitting such written data, views, action would enhance safety of air Manager, Air Traffic Division, Western-Pacific or arguments, as they may desire. traffic operations by allowing the Region. Comments that provide the factual basis airspace to be charted in a manner more [FR Doc. 01–14104 Filed 6–4–01; 8:45 am] supporting the views and suggestions consistent with the nature of the BILLING CODE 4910–13–M presented are particularly helpful in operations conducted at Phoenix-Deer developing reasoned regulatory Valley Municipal Airport. Class D decisions on the proposal. Comments airspace areas are published in DEPARTMENT OF TRANSPORTATION are specifically invited on the overall Paragraph 5000 of FAA Order 7400.9H, regulatory, aeronautical, economic, Airspace Designations and Reporting Federal Aviation Administration environmental, and energy-related Points, dated September 1, 2000, and aspects of the proposal. effective September 16, 2000, through 14 CFR Part 71 Communications should identify the September 15, 2001, which is [Airspace Docket No. 01–AWP–10] airspace docket number and be incorporated by reference in 14 CFR submitted in triplicate to the address 71.1. The Class D airspace designation Proposed Modification to Phoenix- listed above. Commenters wishing the listed in this document would be Deer Valley Municipal Airport Class D FAA to acknowledge receipt of their published subsequently in this Order. Surface Area; Phoenix, AZ comments on this action must submit The FAA has determined that this AGENCY: Federal Aviation with the comments a self-addressed, proposed regulation only involves an Administration (FAA) DOT. stamped postcard on which the established body of technical ACTION: Notice of proposed rulemaking. following statement is made: regulations for which frequent and ‘‘Comments to Airspace Docket No. 01– routine amendments are necessary to SUMMARY: This action to modify the AWP–10.’’ The postcard will be date/ keep them operationally current. ceiling of the Class D Surface Area at time stamped and returned to the Therefore, this proposed regulation—(1) Phoenix-Deer Valley Municipal Airport commenter. All communications is not a ‘‘significant regulatory action’’ in Phoenix, Arizona. A review of received on or before the specified under Executive Order 12866; (2) is not airspace classification and air traffic closing date for comments will be a ‘‘significant rule’’ under DOT procedures has made this action considered before taking action on the Regulatory Policies and Procedures (44 necessary. The proposed action would proposed rule. The proposal contained FR 11034; February 26, 1979); and (3) lower the ceiling of the Phoenix-Deer in this action may be changed in light does not warrant preparation of a Valley Municipal Airport Class D of comments received. All comments Regulatory Evaluation, as the Surface Area so that it would extend submitted will be available for anticipated impact is so minimal. Since upward from the surface to, but not examination in the Airspace Branch, Air this is a routine matter that will only including, 4,000 feet above Mean Sea Traffic Division, at 15000 Aviation affect air traffic procedures and air Level (MSL). Boulevard, Lawndale, California 90261, navigation, it is certified that this DATES: Comments must be received on both before and after the closing date for proposed rule would not have a or before July 20, 2001. comments. A report summarizing each significant economic impact on a ADDRESSES: Send comments on the substantive public contact with FAA substantial number of small entities proposal in triplicate to: Federal personnel concerned with this under the criteria of the Regulatory Aviation Administration, Attn: rulemaking will be filed in the docket. Flexibility Act.
VerDate 11
List of Subjects in 14 CFR Part 71 SUMMARY: This action proposes to received on or before the specified Airspace, Incorporation by reference, modify the ceiling of the Class D Surface closing date for comments will be Navigation (air). Area at Chandler Municipal airport in considered before taking action on the Chandler, Arizona. A review of airspace proposed rule. The proposal contained The Proposed Amendment classification and air traffic procedures in this action may be changed in light In consideration of the foregoing, the has made this action necessary. The of comments received. All comments Federal Aviation Administration proposed action would lower the ceiling submitted will be available for proposes to amend 14 CFR part 71 as of the Chandler Municipal Airport Class examination in the Airspace Branch, Air follows: D Surface Area so that it would extend Traffic Division, at 15000 Aviation upward from the surface to, but not Boulevard, Lawndale, California 90261, PART 71—DESIGNATION OF CLASS A, including, 3,000 feet above Mean Sea both before and after the closing date for CLASS B, CLASS C, CLASS D AND Level (MSL). comments. A report summarizing each CLASS E AIRSPACE AREAS; DATES: Comments must be received on substantive public contact with FAA AIRWAYS; ROUTES; AND REPORTING or before July 20, 2001. personnel concerned with this POINTS ADDRESSES: Send comments on the rulemaking will be filed in the docket. 1. The authority citation for 14 CFR proposal in triplicate to: Federal Availability of NPRM Aviation Administration, Attn: part 71 continues to read as follows: Any person may obtain a copy of this Manager, Airspace Branch, AWP–520, Notice of Proposed Rulemaking (NPRM) Authority: 49 U.S.C. 106(g), 40103, 40113, Docket No. 01–AWP–3, Air Traffic by submitting a request to the Federal 40120; E. O. 10854, 24 FR 9565, 3 CFR, 1959– Division, P.O. Box 92007, Los Angeles, 1963 Comp., p. 389. Aviation Administration, Airspace California 90009. The official docket Branch, 15000 Aviation Boulevard, § 71.1 [Amended] may be examined in the Office of the Lawndale, California 90261. 2. The incorporation by reference in Regional Counsel, Western-Pacific Communications must identify the 14 CFR 71.1 of the Federal Aviation Region, Federal Aviation docket number of this NPRM. Persons Administration Order 7400.9H, Administration, Room 6007, 15000 interested in being placed on a mailing Airspace Designations and Reporting Aviation Boulevard, Lawndale, list for future NPRM’s should also Points, dated September 1, 2000, and California 90261.An informal docket request a copy of Advisory Circular No. effective September 16, 2000, is may also be examined during normal 11–2A, which describes the application amended as follows: business hours at the Office of the procedures. Manager, Airspace Branch, Air Traffic Paragraph 5000 Class D Airspace Division at the above address. The Proposal * * * * * FOR FURTHER INFORMATION CONTACT: Jeri The FAA is considering an AWP AZ D Phoenix, Deer Valley Municipal Carson, Airspace Specialist, Airspace amendment to 14 CFR part 71 that Airport, AZ [REVISED] Branch, AWP–520.11, Air Traffic would modify the Chandler Municipal Phoenix, Deer Valley Municipal Airport, AZ Division, Western-Pacific Region, Airport Class D Surface Area at (Lat. 33°41′18″N, long. 112°04′57″W) Federal Aviation Administration, 15000 Chandler, AZ. A review of airspace That airspace extending upward from the Aviation Boulevard, Lawndale, classification and air traffic procedures surface to, but not including, 4,000 feet MSL California 90261, telephone number has made this action necessary. This within a 4.4-mile radius of Phoenix-Deer (310) 725–6611. action proposes to lower the ceiling of Valley Municipal Airport. This Class D SUPPLEMENTARY INFORMATION: the Class D Surface Area so that it airspace area is effective during the specific would extend from the surface up to, dates and times established in advance by a Comments Invited but not including, 3,000 feet MSL. This Notice to Airmen. The effective date and time Interested parties are invited to action would enhance safety of air will thereafter be continuously published in the Airport/Facility Directory. participate in this proposed rulemaking traffic operations by allowing the by submitting such written data, views, airspace to be charted in a manner more Issued in Los Angeles, California, on May or arguments, as they may desire. consistent with the nature of the 21, 2001. Comments that provide the factual basis operations conducted at Chandler John Clancy, supporting the views and suggestions Municipal Airport. Class D airspace Manager, Air Traffic Division, Western-Pacific presented are particularly helpful in areas are published in Paragraph 5000 of Region. developing reasoned regulatory FAA Order 7400.9H, Airspace [FR Doc. 01–14105 Filed 6–4–01; 8:45 am] decisions on the proposal. Comments Designations and Reporting Points, BILLING CODE 4910–13–M are specifically invited on the overall dated September 1, 2000, and effective regulatory, aeronautical, economic, September 16, 2000, through September environmental, and energy-related 15, 2001, which is incorporated by DEPARTMENT OF TRANSPORTATION aspects of the proposal. reference in 14 CFR 71.1. The Class D Communications should identify the Federal Aviation Administration airspace designation listed in this airspace docket number and be document would be published submitted in triplicate to the address 14 CFR Part 71 subsequently in this Order. listed above. Commenters wishing the The FAA has determined that this [Airspace Docket No. 01–AWP–3] FAA to acknowledge receipt of their proposed regulation only involves an comments on this action must submit established body of technical Proposed Modification to Chandler with the comments a self-addressed, regulations for which frequent and Municipal Airport Class D Surface stamped postcard on which the routine amendments are necessary to Area; Chandler, AZ following statement is made: keep them operationally current. AGENCY: Federal Aviation ‘‘Comments to Airspace Docket No. 01– Therefore, this proposed regulation—(1) Administration (FAA) DOT. AWP–3.’’ The postcard will be date/ is not a ‘‘significant regulatory action’’ time stamped and returned to the under Executive Order 12866; (2) is not ACTION: Notice of proposed rulemaking. commenter. All communications a ‘‘significant rule’’ under DOT
VerDate 11
Regulatory Policies and Procedures (44 Issued in Los Angeles, California, on May to receive comments from the public, FR 11034; February 26, 1979); and (3) 21, 2001. make adjustments, and issue a final rule does not warrant preparation of a John Clancy, as quickly as possible. Solid mineral Regulatory Evaluation, as the Manager, Air Traffic Division, Western-Pacific reporters need to know our final anticipated impact is so minimal. Since Region. reporting requirements as much in this is a routine matter that will only [FR Doc. 01–14106 Filed 6–4–01; 8:45 am] advance of the October 1, 2001, effective affect air traffic procedures and air BILLING CODE 4910–13–M date as possible in order to train navigation, it is certified that this employees and modify existing proposed rule would not have a reporting procedures. The date for implementing the reporting changes in significant economic impact on a DEPARTMENT OF THE INTERIOR this proposed rulemaking cannot be substantial number of small entities Minerals Management Service delayed because MMS will be installing under the criteria of the Regulatory its new computer system as of October Flexibility Act. 30 CFR Parts 206, 210, 216, and 218 1, 2001. List of Subjects in 14 CFR Part 71 The principal authors of this rule are RIN 1010–AC86 Glenn W. Kepler, Sr., Cynthia Stuckey, Airspace, Incorporation by reference, Solid Minerals Reporting and Herb Wincentsen, of Solid Minerals Navigation (air). Requirements and Geothermal Compliance and Asset Management, Minerals Revenue The Proposed Amendment AGENCY: Minerals Management Service Management, MMS, and Geoffrey Heath In consideration of the foregoing, the (MMS), Interior. of the Office of the Solicitor, Federal Aviation Administration ACTION: Proposed rule. Department of the Interior. proposes to amend 14 CFR part 71 as I. Background SUMMARY: MMS is proposing to revise follows: its solid minerals reporting regulations. In April 1996, MMS initiated a reengineering effort to examine our PART 71—DESIGNATION OF CLASS A, The new reporting requirements would replace several existing information compliance strategy and determine the CLASS B, CLASS C, CLASS D AND collections and decrease the reporting best approach for the future. In April CLASS E AIRSPACE AREAS; burden for solid mineral reporters. The 1997, we decided to move beyond AIRWAYS; ROUTES; AND REPORTING new requirements would also improve compliance and reengineer all of our POINTS MMS’s ability to verify that revenues core business processes including our due the government have been paid reporting and financial processes. In 1. The authority citation for 14 CFR correctly under applicable laws, November 1998, we initiated an part 71 continues to read as follows: regulations and lease terms. operational model for solid minerals to Authority: 49 U.S.C. 106(g), 40103, 40113, EFFECTIVE DATE: Comments must be test proposed reengineered business 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– submitted on or before July 5, 2001. processes and new reporting formats. Our two major goals were as follows: 1963 Comp., p. 389. ADDRESSES: Address your comments, 1. Reduce our compliance time frame suggestions, or objections regarding this § 71.1 [Amended] from 5 or 6 years to 3 years or less; and proposed rule to: 2. The incorporation by reference in 2. Develop and implement more By regular U.S. mail. Minerals efficient, less burdensome reporting 14 CFR 71.1 of the Federal Aviation Management Service, Minerals Revenue requirements. Administration Order 7400.9H, Management, Regulations and FOIA We included State and tribal partners Airspace Designations and Reporting Team, P.O. Box 25165, MS 320B2, from four States and two Indian tribes Points, dated September 1, 2000, and Denver, Colorado 80225–0165; or as full participating members in the effective September 16, 2000, is By overnight mail or courier. Minerals operational model. We sought input on amended as follows: Management Service, Minerals Revenue our reengineering efforts from MMS’s Management, Building 85, Room F421, Paragraph 5000 Class D Airspace Royalty Policy Committee (RPC), Coal Denver Federal Center, Denver, Subcommittee, which is comprised of * * * * * Colorado 80225; or representatives from industry, States, AWP AZ D Chandler Municipal Airport, By e-mail. [email protected]. tribes, and the public. We provided AZ [REVISED] Please submit Internet comments as an periodic updates to the Coal ASCII file and avoid the use of special Subcommittee throughout our Chandler Municipal Airport, AZ characters and any form of encryption. (Lat. 33°16′09″ N, long. 111°48′40″ W) reengineering efforts. Each of the solid Also, please include ‘‘Attn: RIN 1010– mineral model respondents was a Williams Gateway Airport, AZ AC86’’ and your name and return (Lat. 33°18′28″ N, long. 111°39′19″ W) member of the RPC Coal Subcommittee. address in your Internet message. If you We began the solid minerals That airspace extending upward from the do not receive a confirmation that we surface to, but not including, 3,000 feet MSL operational model with 6 large coal have received your Internet message, companies that initially reported on 17 within a 4-mile radius of Chandler Municipal call the contact person listed below. Airport, excluding the portion within the mines. These mines included 72 Federal FOR FURTHER INFORMATION CONTACT: Paul Williams Gateway Airport, AZ, Class D and Indian coal leases and over 40 A. Knueven, Chief, Regulations and airspace area. This Class D airspace area is percent of Federal and Indian coal effective during the specific dates and times FOIA Team, Minerals Revenue production. We requested that the established in advance by a Notice to Management, MMS, telephone (303) original 6 coal companies participate in Airmen. The effective date and time will 231–3316, fax (303) 231–3385, or e-mail our reengineering efforts because of the thereafter be continuously published in the [email protected]. different compliance scenarios their Airport/Facility Directory. SUPPLEMENTARY INFORMATION: MMS is mines presented for testing. For * * * * * limiting the comment period for this example, these mines included coal proposed rulemaking to 30 days in order washing operations, arm’s-length and
VerDate 11
non-arm’s-length sales, free-on-board Form MMS–4430, Solid Minerals document submissions discussed below. destination sales, and transportation Production and Royalty Report Further, many solid mineral producers, allowances. In late 2000, we expanded Our proposed Form MMS–4430 particularly of coal and metals, have the model to include two additional would provide many improvements contract provisions that allow for price coal mines and two Indian sand and over existing reporting requirements true-up after the initial sale. Such price gravel operations. including: true-ups are not normally interest- On November 24, 1998, the Office of • No reporting of codes or converted bearing if they are invoiced timely to the Management and Budget (OMB) lease numbers. No product, transaction purchaser and if royalty is timely paid. approved our emergency information or adjustment reason codes would be Our proposed form would permit the collection request (OMB Control required on Form MMS–4430. Also, we reporter to indicate on the form that the Number 1010–0120) to collect and test would use the Bureau of Land retroactive price adjustment is not reporting formats and frequencies in the Management’s (BLM) lease serial interest-bearing. Our compliance solid minerals operational model. This number rather than MMS’s converted process would determine whether further review of the reported approval included the use of three lease number. This would reduce the retroactive price adjustment is forms: Form MMS–4430, Solid Minerals time required for a reporter to complete Production and Royalty Report; Form necessary. the form but provide the same • MMS–4431, Facility Report; and Form Eliminate BLM’s collection of substantive information. supplementary information. During MMS–4432, Marketing Profile. A • Net adjustments reporting. The BLM’s production verification duties, revised information collection request proposed Form MMS–4430 would allow was submitted to OMB which BLM often supplements the data we net reporting so that you would report provide with additional mine data eliminated Forms MMS–4431 and only the net change in a transaction. MMS–4432 because we found industry collected from the producer. Our Thus, it would eliminate double line proposed Form MMS–4430 would could submit data using their own entry (that is, line reversal and reentry) internal reports. OMB approved this collect total mine production and sales when reporting an adjustment. data. We believe collecting all of the revision. • Electronic reporting. Our proposed During the model, we asked data needed in one data submission will Internet submission of Form MMS–4430 reduce reporter burden and assist BLM participants whether our reengineered is consistent with our electronic reporting formats were the best option. with its production verification duties. reporting rule for oil and gas leases at • Create a central database for all Several of the model participants 30 CFR parts 210 and 216. Like the oil lease/mine information accessible to all responded with letters supporting Form and gas rule, this would help meet our BLM offices nationwide. Data that MMS MMS–4430. Some of the reasons given paperwork reduction goals and reduce collects would be immediately for their support are as follows: our costs associated with document • accessible to BLM offices nationwide Form MMS–4430 is designed to handling. Also, a reporter would be able and would eliminate delays found in collect the appropriate information from to access online its historical production existing interagency data-sharing solid mineral lessees at the appropriate and royalty data. processes. time in the business cycle; • Form functionality. Our proposed • Collect lease-level data for the • Form MMS–4430 and the three Form MMS–4430 would provide several entire mine. Form MMS–4430 would other data collections replace eight features that would contribute to collect lease-level production and sales separate forms that companies are reduced reporting burden and error-free value and volume information for the currently required to file; submissions. First, the proposed form entire mine (including non-Federal and • Form MMS–4430 allows for the net would combine most production and non-Indian production data). These data reporting of prior period adjustments royalty reporting into a single form. were not previously collected in any of thus reducing reporting burden by Second, the proposed form would our existing forms. Unlike oil and gas approximately 40 percent; and automatically populate various static lease production occurring from units, • Form MMS–4430, as designed, data fields that are essential to the communitization agreements or reduces reporter burden and enhances production and royalty reporting participating agreements, solid mineral the accuracy of the data submitted process, including lease number, royalty lease production from within a mine because many fields are automatically rate, and products produced. Third, our constantly varies as production panels populated with and edited against data form would provide arithmetic and pits shift across leases. A basic that MMS maintains. functions and built-in tools to provide compliance requirement is to assure that Because of the success of the support for mine production and sales the revenues generated from the mine’s operational model, MMS is proposing to allocations back to the individual leases. sales are allocated to the lease where the revise our reporting requirements for Fourth, our proposed form would production occurred. During the course coal and other solid minerals to include contain electronic edits (internal of a royalty compliance audit, we would all solid mineral reporters in our integrity checks). These edits would normally verify production allocation. reengineered compliance process. We prevent the submission of forms Under our reengineered compliance believe these requirements will reduce containing errors or omissions resulting strategy, we would conduct this the reporting burden currently placed from oversight or data entry error. compliance check contemporaneously. on industry and enhance our ability to Reporter burden, as well as MMS verify that proper royalties were paid. burden, associated with error correction Other Proposed Data Collections should decrease significantly. In addition to Form MMS–4430 II. Reasons for Revising Reporting • Eliminate compliance issues from described above, we are proposing three Requirements reports. The proposed Form MMS–4430 other regular data submissions by The new reporting requirements would eliminate selling arrangement reporters. These proposed information presented in this proposed rulemaking codes that are the source of many collections are contract submissions (for would replace eight existing royalty and compliance issues. We would determine certain minerals), sales summaries, and production forms with a single form and arm’s-length and non-arm’s-length facility data. This data is created and three other data collections. transactions through the other maintained by the reporter as part of its
VerDate 11
normal business practices. Our goal is to in a table. We would also remove captured on another data submission. utilize the same data the reporter uses, §§ 206.263 and 206.462 because the This submission called ‘‘facility data’’ is thus eliminating the need for additional requirement to submit sales contracts in discussed later in this preamble. information gathering and preparation. these two sections duplicate or Proposed Form MMS–4430 would These other data submissions would contradict our proposed reporting eliminate reporting of specific but replace several existing form-based data requirements. The procedures for related products and, instead, group submissions and would also provide us valuing coal and other solid minerals for related products into a family of earlier access to the information royalty purposes would not be affected products. For example, potash normally collected in the audit process. by this proposed rule. producers, instead of reporting muriates We need the three associated data of potash (chemical, coarse, fine, Part 210—Forms and Report submissions as well as the Form MMS– granular, industrial, soluable, or 4430 because each individual form or Subpart A—General Provisions standard) as required by current reporting instructions, would group document, standing alone, cannot Section 210.10 Information Collection provide the data necessary to monitor these muriates of potash and report compliance contemporaneously. For We would revise § 210.10 to add our production only as potash. example, we removed the selling proposed information collections to the Form MMS–4430 also incorporates a arrangement code from Form MMS– list of collections approved by the Office new reporting requirement based on the 4430 because other data submittals such of Management and Budget (OMB) and use of remote storage and sales points. as contract documents and sales remove other information collections If you move unsold production to five summaries would provide us eliminated by this rulemaking. See our or fewer remote storage sites and information on affiliate sales. The same discussion of §§ 210.200 through conduct sales from those sites, you compliance follow-up would occur had 210.205 below for a complete would be required to report the sales for the lessee reported selling arrangement explanation of the new reporting each site separately on the Form MMS– code 200 (non-arm’s-length sales) on the requirements. 4430. If you conduct sales from more than five remote storage sites, you Form MMS–2014, Report of Sales and Subpart E—Solid Minerals, General Royalty Remittance. Another example is would be required to combine the sales the elimination of several production We would remove existing §§ 210.200 from all sites on one Form MMS–4430. reports, including the Form MMS–4060, through 210.204 because they pertain to Our experience from the solid minerals Solid Minerals Facility Report Parts A forms that would be eliminated in this operational model showed that some and B. Facility data that the reporter proposed rulemaking. We would add producers move production, unsold, uses as part of its internal process to new §§ 210.200 through 210.205 to from the mine to distant points such as monitor processing operations would explain our proposed reporting from Utah coal mines to the Port of Los supplant this production report. We requirements. Angeles Export Terminal. Producers ship coal to this port facility over believe this approach is less Section 210.200 What Is the Purpose burdensome to the reporter yet results several months until a sufficient of This Subpart? quantity of coal has accumulated to in equal or better data collected on This section would explain that the supply a vessel sale. These remote mineral processing operations. purpose of this subpart is to specify storage and sales points operate III. Analysis of Regulatory Changes your production and royalty reporting similarly to a mine, gaining and losing Part 206—Product Valuation requirements for Federal and Indian inventory based on sales activities. solid mineral leases. However, inventories at remote storage Almost all of the amendments in part sites function independently of the Section 210.201 How Do I Submit 206 would be nomenclature changes. mine’s inventories. Thus, when a sale Form MMS–4430, Solid Minerals First, the ‘‘Royalty Management occurs at the remote storage site, the Production and Royalty Report? Program’’ reorganized and changed its allocations of sales proceeds back to the name to ‘‘Minerals Revenue What to submit. We would add this leases would be different from the sales Management’’ effective October 1, 2000. section to explain the requirements to occurring at the mine. Because Form We would insert the new name of our submit Form MMS–4430. Form MMS– MMS–4430 includes inventory organization, wherever the old name 4430 would replace Form MMS–2014, management functions, the sales from occurs, and change management titles Report of Sales and Royalty Remittance, five or fewer remote storage sites would and the names and addresses of internal and Form MMS–4059, Solid Minerals be reported separately on the Form working groups that were also affected Operations Report Parts A and B. MMS–4430. by the reorganization. Second, we Form MMS–4430 would significantly When to submit. Form MMS–4430 would replace ‘‘Form MMS–2014’’ with change what data is reported to MMS would be due at the end of the month ‘‘Form MMS–4430’’ to reflect the using a form. For production that is following the month activity occurs proposed reporting requirements in this processed prior to sale (e.g., washed assuming your lease requires royalty rulemaking. You will see many of these coal, soda ash, potash, or metal payments on a monthly cycle. If your types of changes throughout the concentrates), you would not report the lease requires a different royalty remainder of this proposed rulemaking raw ore production volumes on Form payment cycle, you would submit this so they will not be discussed again. MMS–4430. You would only report the form at the same time your payment is In addition, we propose to remove the tons that are actually sold and on which due in accordance with your lease requirements in §§ 206.254(a) and royalty is due. For example, if you terms. If the information on a previously 206.453(a) to report quality data on produce 1,600 tons of trona ore and you reported Form MMS–4430 is incorrect, solid minerals because the existing refine 1,000 tons of soda ash from that you must submit a revised report by the production forms that capture quality raw production, you would only report end of the month in which you discover data would be eliminated. Therefore, we the tons of soda ash produced and, the error. have inserted more new comprehensive separately, the tons sold and the sales How to submit. Form MMS–4430 quality requirements for sales summary proceeds. Raw production and the would be submitted to MMS using the data in § 210.202 which is summarized associated processing activity would be Internet. The production and royalty
VerDate 11
module associated with this Internet required to report electronically if you Section 210.202 How Do I Submit application would allow solid mineral report only annual obligations such as Sales Summaries? reporters to submit and maintain solid rent or minimum royalty. Two, you What to submit. We intend to collect mineral data via the Internet for the first would not be required to report the sales summary data in the least time. A system user would be furnished electronically if you are a small burdensome manner. This means, to the a valid log-in identification and business, as defined by the U.S. Small extent possible, using information that password. MMS’s Internet application Business Administration, and you have you, as a solid minerals reporter, have would handle all security and no computer and no plans to purchase already generated as part of your normal authentication required by system users. a computer or contract with an business practices. The following table We have provided two exceptions to electronic reporting service. summarizes the sales summary data the electronic reporting requirement to elements you would be required to prevent undue burden on small submit for a specific lease type or businesses. One, you would not be mineral:
All other leases Western phos- All other leases with no ad valo- Data element Coal Sodium/potassium phate Metals with ad valorem rem royalty royalty terms terms
Purchaser name or Monthly ...... As requested ...... Monthly ...... Monthly ...... Monthly ...... As requested. unique ID. Sales units ...... Monthly ...... Monthly ...... Monthly ...... Monthly ...... Monthly ...... Monthly. Gross proceeds .... Monthly ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... Not required. Processing or Monthly ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... Not required. washing costs. Transportation Monthly ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... Not required. costs. Name of product Not required ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... As requested. type sold. Btu/lb ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. Ash % ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. Sulfur % ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. lbs SO2 ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. Moisture % ...... Monthly ...... Not required ...... Monthly ...... Not required ...... Not required ...... Not required. By-product units ... Not required ...... As requested ...... Monthly ...... As requested ...... As requested ...... Not required. P2O5 % ...... Not required ...... Not required ...... Monthly ...... Not required ...... Not required ...... Not required. Size ...... Monthly ...... Not required ...... Not required ...... Not required ...... As requested ...... Not required. Net smelter return Not required ...... Not required ...... Not required ...... Monthly ...... Not required ...... Not required. data. Other data e.g., As requested ...... Monthly ...... As requested ...... As requested ...... As requested ...... As requested. royalty calcula- tion worksheet.
When to submit. For leases with ad accept sales summary data in paper leases, you would submit sales contracts valorem royalty terms, you would be copy; however, this approach is not to us quarterly only if requested by required to submit sales summaries preferred because of the additional cost, MMS. We are proposing less frequent monthly. For leases with no ad valorem handling and storage burden. contract submission for sodium and royalty terms (that is, leases with royalty potassium producers because most Section 210.203 How Do I Submit terms that do not depend upon sales sodium and potassium products are sold value to determine royalty due such as Sales Contracts? in refined form that have identical cents-per-ton or dollars-per-unit), you What to submit. You would be quality from month to month and from would submit sales summaries monthly required to submit sales contracts, customer to customer. Thus, many of only if you are specifically requested to agreements, contract amendments or the pricing issues related to quality do so. other documents that affect gross variables that appear in coal and metal How to submit. Sales summary data is proceeds received for the sale of lease concentrate contracts do not occur in not submitted on a form. Sales summary production. sodium and potassium sales agreements. data would be submitted in the same When to submit. You would be • Phosphate producers consume format the producer uses. Our required to submit sales contracts, most, if not all, production internally in experience from the solid minerals agreements, contract amendments or complex chemical processing plants, operational model shows that most other documents affecting gross which produce elemental phosphorus companies maintain sales summary data proceeds as follows: and different fertilizer compounds. using off-the-shelf spreadsheet software • If you produce Federal or Indian MMS determines value in these cases such as Microsoft Excel. We would coal, you would submit your sales using a non-arm’s-length valuation prefer that you submit these data contracts to us quarterly. Contracts or process. However, some phosphate ore electronically, using electronic mail. contract amendments entered into by-products are produced and sold at Electronic submission of data allows us during the preceding quarter would be arm’s-length. For these sales, you would to transfer that data to our internal submitted to us whether or not sales submit sales contracts quarterly only if systems and formats for analysis. We under that contract had commenced. requested by MMS. would establish an electronic mailbox • If you produce sodium or potassium • If you produce metals from Federal for receipt of these data. We would also compounds from Federal or Indian or Indian leases, you would submit your
VerDate 11
sales contracts (typically net smelter 1. Coal—If you wash coal, you would Sections 216.200 through 216.204 return contracts) to us quarterly. submit facility data. We would remove §§ 216.200 through • If you produce from any other ad 2. Sodium or potassium—If you refine 216.204 that describe existing reports valorem lease, you would submit sales sodium or potassium products, and reporting requirements. These contracts on a quarterly basis only if including dissolution, crystallization, reports would be eliminated by the requested by MMS. Minerals in this compacting, or other processing to make proposed information collection in this category vary considerably and include, products to which ad valorem royalty rule. for example, garnets, limestone, terms apply, you would submit facility gilsonite, quartz crystals, and some sand data. Part 218—Collection of Royalties and and gravel leases. 3. Metals—If you concentrate metal- Rentals, Bonuses and Other Monies Due • If you produce from any other lease bearing ores to produce a metal the Federal Government with no ad valorem royalty terms—that concentrate to which ad valorem royalty Section 218.40 Assessments for is, leases in which the royalty due is not terms apply, you would submit facility Incorrect or Late Reports and Failure To dependent upon sales price such as data. Report cents-per-ton or dollars-per-unit—you 4. All other ad valorem lease We would revise § 218.40 to add would not be required to submit sales production—If you process raw lease assessments for lines related to royalty contracts. production through any form of a reported on the Form MMS–4430. We How to submit. You would be beneficiation, concentration, or any are also making a technical correction to required to submit paper copies of your other mineral processing prior to sale, remove assessments under this section contracts to us using either courier and ad valorem royalty terms apply to with respect to oil and gas leases. service or the U.S. Postal Service and the value of the processed product, you Assessments for oil and gas leases for the addresses in § 210.203(c). would submit facility data. chronic erroneous reporting are now Section 210.204 How Do I Submit Section 210.205 Do I Need To Submit governed by 30 U.S.C. 1725, enacted as Facility Data? Additional Documents or Evidence to part of the Federal Oil and Gas Royalty Simplification and Fairness Act of 1996. What to submit. We are proposing to MMS? eliminate the Form MMS–4060, Solid We added this section to emphasize Section 218.51 How to Make Payments Minerals Facility Report Parts A and B, that Federal and Indian lease terms We would make nomenclature and relating to solid mineral processing allow us to request other information to address changes as necessary. operations. We would replace the data support our compliance activities; normally supplied on these forms with however, we will request the additional Section 218.201 Method of Payment other types of facility data. The facility information only as needed, not as a We would refer solid mineral data you would supply would include regular submission. reporters to § 218.51 for reporting the total throughput of the plant, instructions except that: including Federal, Indian, non-Federal, Part 216—Production Accounting (1) The definition of ‘‘report’’ would and non-Indian lease production. This Subpart A—General Provisions be Form MMS–4430, rather than Form approach to collecting facility data is MMS–2014; consistent with the physical operations Section 216.11 Electronic Reporting (2) Solid mineral reporters would of processing plants because production We would revise § 216.11 to add the include both their customer from the various leases in the mine is reference to electronic reporting identification and customer document normally commingled at the time the requirements for Form MMS–4430. identification numbers on their payment production is input to the plant. document, rather than the information Section 216.15 Reporting Instructions How to submit. Facility data would required under § 218.51(f)(1); and not be submitted on a form. Generally, We would revise § 216.15 to inform (3) For rental payments not reported facility data would be submitted in the solid minerals reporters where they may on Form MMS–4430, solid mineral same format normally used by the obtain solid mineral reporting reporters would include the MMS producer because all producers who instructions. Courtesy Notice, when provided, or process solid minerals prior to sale write their customer identification Section 216.16 Where to Report maintain records of processing plant number and government-assigned lease operations. As a minimum, your facility In § 216.16, we would add MMS number on the payment document, data submissions must include addresses where reporters would send rather than the information required identification of your facility, the mines paper reports for solid mineral leases. under § 218.51(f)(4)(iii). served, input quantity, output quantity, Section 216.21 General Obligations of Section 218.203 Recoupment of and output quality or product grades. the Reporter Overpayments on Indian Mineral Leases We would prefer that you submit these data electronically, using electronic We would revise § 216.21 to remove We would make nomenclature and mail. Electronic submission of data the references to the Production address changes as necessary. allows us to transfer data to our internal Accounting and Auditing System IV. Procedural Matters systems and formats for analysis. We (PAAS) because it will be replaced by a would establish an electronic mailbox new system effective October 1, 2001. 1. Public Comment Policy for receipt of these data. We would also Our practice is to make comments, Section 216.40 Assessments for accept facility data in paper copy; including names and home addresses of Incorrect or Late Reports and Failure to however, this approach is not preferred respondents, available for public review Report because of the additional costs, during regular business hours and on handling and storage burden. We would revise § 216.40 to include our Internet site at www.mrm.mms.gov. When to submit. You would be assessments for lines related to Individual respondents may request that required to submit monthly facility data production reported on the Form MMS– we withhold their home address from for the following leaseable minerals: 4430. the rulemaking record, which we will
VerDate 11
honor to the extent allowable by law. will submit facility data and that this coordinate computer-related issues with There also may be circumstances in annual reporting burden will be 90 the implementation of this information which we would withhold from the hours (30 lessees × 1⁄4 hour per month collection and to assist us in developing rulemaking record a respondent’s × 12 months). software requirements and describing identity, as allowable by law. If you Contracts and contract amendments. the company’s hardware and software wish us to withhold your name and/or Contracts and contract amendments will configuration. We will provide the address, you must state this be copied and sent to MMS. The average necessary electronic reporting software prominently at the beginning of your reporting burden for providing contracts interface with our financial and comments. However, we will not and contract amendments to us is 1 production application systems for the consider anonymous comments. We hour. We estimate that 90 lessees companies to submit the required will make all submissions from (predominantly coal companies) will information. organizations or businesses, and from submit contracts and contract Benefit—Eliminating Eight Existing individuals identifying themselves as amendments. Consequently, the annual Reports. MMS currently requires solid representatives or officials of reporting burden is 90 hours (90 lessees minerals reporters to submit eight organizations or businesses, available × 1 hour per year). separate forms: for public inspection in their entirety. Additional documents or evidence. 1. Form MMS–4030, Payor Federal and Indian lease terms allow us Information Form (PIF), OMB Control 2. Summary Cost and Benefit Data to request detailed statements, Number 1010–0064. This form is used We have summarized below the documents, or other evidence that to establish and maintain the payor economic impacts of this rule on the supports our compliance and asset accounts required for processing Form groups affected by our regulations: management responsibilities. We will MMS–2014. Estimated annual burden Industry, State and local governments, request this additional information as hours are 173. Indian tribes and allottees, and the we need it, not as a regular submission. 2. Form MMS–2014, Report of Sales Federal Government. All costs We estimate that 10 percent of the 200 and Royalty Remittance, OMB Control summarized below are associated with solid minerals lessees, or 20 lessees, Number 1010–0022. This form serves as reporting changes. As stated previously, will submit this additional information the monthly report form on which this rule does not affect the valuation— annually, and that each lessee will payors report all royalty and lease-level for royalty purposes—of Federal or require 1 hour to submit this transactions. Estimated annual burden Indian coal or other solid minerals. The information for a total annual reporting hours for solid mineral payors are 1,884. cost and benefit information in this Item burden of 20 hours. 3. Form MMS–4050, Mine 2 of Procedural Matters is used as the Method of Payment. Each payment Information Form (MIF), OMB Control basis for the Departmental certifications document associated with Form MMS– Number 1010–0063. This form is used in Items 3–12. 4430 (Electronic Funds Transfer or hard to establish and maintain mine-level copy check) must be annotated with the production reporting. Estimated annual A. Industry lessee’s customer identification and the burden hours for forms in this number The effect of the information customer document identification 3 and numbers 4 through 8 below are collection changes in this proposed numbers. For each rental payment 2,763. rulemaking would be a net savings of document not reported on Form MMS– 4. Form MMS–4051, Facility and $173,000 per year for all solid minerals 4430, the lessee must include the MMS Measurement Information Form (FMIF), reporters, calculated as follows: Courtesy Notice, when provided, or OMB Control Number 1010–0063. This Cost—New Information Collection. annotate the payment document with form is used to establish and maintain We estimate that there are 200 solid the customer identification number and facilities in the volume-tracking system mineral lessees who are required to Government-assigned lease number. including identifying key sales/transfer report production and royalty This requirement will help MMS link measurement points that are required to information to us. Using the annual payments with Form MMS–4430 track production and identify all reporting burden experienced by the submittals. secondary processing and remote participants in the operational model, The annual reporting burden for all of storage facilities. we estimate the annual cost of the new these documents is summarized below: 5. Form MMS–4059–A, Solid information collection proposed in this Minerals Operations Report, Part A rulemaking to be $68,100, calculated as Estimated Total cost (SMOR–A), OMB Control Number follows: hours to × 1010–0063. This form is used to Document name prepare hrs $50/ Form MMS–4430. The average and submit hr identify, for a mine, the quantity and reporting burden for completing Form quality of all raw material produced MMS–4430 is 20 minutes per month. Form MMS–4430 .. 800 $40,000 from each Federal or Indian lease, We estimate that all 200 solid minerals Sales summaries .. 360 18,000 specify the disposition of those raw lessees will submit Form MMS–4430, Facility data ...... 90 4,500 materials including sales, transfers, and and that this annual reporting burden Contracts and sub- adjustments, and track raw material sequent amend- will be 800 hours (200 lessees × 1⁄3 hour inventories. × ments ...... 90 4,500 6. Form MMS–4059–B, Solid Minerals per month 12 months). Other documents .. 20 1,000 Sales summaries. The average Method of pay- Operations Report, Part B (SMOR–B), reporting burden for sales summaries is ments ...... 2 100 OMB Control Number 1010–0063. This 15 minutes per month. We estimate that form is used to allocate sales from a 120 lessees will submit sales summary Total ...... 1,362 $68,100 secondary processing or remote storage data and that this annual reporting facility back to individual Federal or burden will be 360 hours (120 lessees × Cost—Planning Meetings. Submitting Indian leases within a mine. 1⁄4 hour per month × 12 months). this information to us will not require 7. Form MMS–4060–A, Solid Facility data. The average reporting an initial capital cost by the respondent. Minerals Facility Report, Part A (SMFR– burden for facility data is 15 minutes We will meet with each reporter’s A), OMB Control Number 1010–0063. per month. We estimate that 30 lessees information technology staff to This form is used to provide detailed
VerDate 11
information on a secondary processing setting up hardware and software Compliance and Asset Management’s 23 facility’s inputs/outputs. configuration. We plan to provide the employees will allocate about 10 8. Form MMS–4060–B, Solid Minerals necessary electronic reporting software percent of their time to collect and Facility Report, Part B (SMFR–B), OMB that will interface with our financial analyze contracts, sales summaries, and Control Number 1010–0063. This form and production application systems. We facility data required by this rulemaking is used to show a secondary processing will also cover the cost associated with for a total cost of $239,200 (2.3 or remote storage facility’s raw material the development and implementation of employees × 2,080 hours/year × $50/ receipts, production, inventory, and the reporting software. We will provide hour) annually. However, under current disposition. any initial software formatting or other reporting processes, Solid Minerals and These eight forms would be replaced assistance needed to get a company Geothermal Compliance and Asset by Form MMS–4430 and other data ready to comply with the new Management allocates the equivalent of submissions described in the cost information collection proposed in this 2.5 employees annually to error section above. The combined annual rule by October 1, 2001. correction. Under this rulemaking error burden that will be eliminated if these correction is expected to be negligible. B. State and Local Governments eight forms are no longer submitted by Therefore this rulemaking nets no solid mineral reporters is 4,820 hours or This rulemaking would not impose additional personnel cost but rather a a total cost of $241,000. The effect of any additional costs on State or local minimal savings of .2 employees or replacing these eight forms with the governments. $20,800 (.2 employees × 2,080 hours/ new information collection (costing × C. Indian Tribes and Allottees year $50/hour) annually. $68,100) would be an estimated savings These employees will also resolve of $173,000 per year. This rulemaking would not impose compliance issues using end-to-end Issues Affecting Small Businesses. any additional costs on Indian tribes or processes that eliminate handoffs that Approximately 200 solid mineral allottees. would otherwise occur between reporters submit forms and other functionally aligned units which also information to MMS, 91 percent of D. Federal Government improves efficiencies. which are small businesses because they MMS is reengineering its financial have 500 employees or less. As noted and compliance processes to transform This rule would allow substantial earlier, the effect of the information its function-based program to a process- administrative dollar savings to MMS. collection changes in this proposed centered organization. The new Owing to the elimination of eight rulemaking would be a net savings of reengineered MMS will be highly separate reporting forms under this $173,000 per year for all solid minerals integrated and positioned to provide proposed rule, MMS can utilize its solid reporters. We expect small businesses to royalty management services at less cost minerals personnel more efficiently and benefit proportionately from the to the Nation. Some of the more effectively for verification of mineral reduction in reporting burden. important goals for the reengineering revenues. Solid minerals personnel Using the experience gained through initiative include cutting in half the would review and process only one the model, our reengineered initiative time necessary to collect and verify reporting form in place of eight existing ensures that the information requested mineral revenues, distributing revenue reporting forms, which would result in is the minimum necessary and places to States and Indian mineral owners associated reductions in error the least possible burden on industry. within 1 business day, reducing corrections, document handling issues, We have further provided two industry reporting requirements, and data entry problems, and time spent exceptions to the requirement to submit modernizing our computer and software correcting those issues with industry the Form MMS–4430 electronically to systems. personnel. avoid placing undue burden on small We are undertaking this reengineering Cost—Computer software. MMS is businesses. You would not be required initiative because new legislative also building a computer platform and to report electronically if you report mandates, such as the Federal Oil and associated database as the host for data only annual obligations such as rent or Gas Royalty Simplification and Fairness collected. This computer platform, and minimum royalty. Further, you would Act of 1996, and market changes require associated cost to MMS, will involve not be required to report electronically MMS to replace its outdated computer data from the Onshore, Offshore, and if you are a small business, as defined systems to facilitate a more cost- Solid Minerals Operational Models and by the U.S. Small Business effective operation. MMS expects all exception processing and Administration, and you have no significant reduction in annual compliance activity. We estimate the computer and no plans to purchase a operating costs of administration, cost for the solid minerals portion of the computer or contract with an electronic accelerated cash flows through new computer system to be about reporting service. For other data reductions in current business cycle $445,500 within the first and second submissions, respondents including times, and increased revenue through years after implementation of this rule small businesses or other small entities improved compliance coverage. or $891,000 over 2 fiscal years ($891,000 would have the flexibility to submit Although all benefits of this ÷ 2 = $445,500). information to us via hard copy or rulemaking cannot be quantified at this MMS has allocated the cost of its electronic submissions. time, the Federal Government should solid minerals portion of the new During the summer 2001, we plan to see significant savings and far greater computer system in its reengineering hold several seminars to explain the efficiencies. budget requests. Accordingly, MMS will revised reporting requirements. We will The quantifiable costs and benefits of not need additional funds for computer encourage all solid mineral lessees to this proposed rulemaking to the Federal systems as a result of the provisions attend one of these seminars to Government is a cost of $424,700 in the proposed in this rulemaking. familiarize themselves with the revised first two years after this rule is effective 3. Regulatory Planning and Review reporting requirements and to prepare to and a savings of $20,800 each year (Executive Order 12866) implement these requirements. thereafter, as calculated below. We will meet with each company’s Benefit—Personnel. We estimate that This document is not a significant information technology staff to assist in Solid Minerals and Geothermal rule and is not subject to review by the
VerDate 11
Office of Management and Budget under unique effect on State, local, or tribal system that we have received your Executive Order 12866. governments or the private sector. A Internet message, contact Carol Shelby (1) This rule will not have an effect of statement containing the information at (303) 231–3151 or FAX (303) 231– $100 million or more on the economy. required by the Unfunded Mandates 3385. It will not adversely affect in a material Reform Act (2 U.S.C. 1531 et seq.) is not After the comment period closes, we way the economy, productivity, required. will post public comments on the competition, jobs, the environment, Internet at http://www.mrm.mms.gov. 7. Takings (Executive Order 12630) public health or safety, or State, local, We make paper copies of these or tribal governments or communities. In accordance with Executive Order comments, including names and (2) This rule will not create a serious 12630, this proposed rule does not have addresses of respondents, available for inconsistency or otherwise interfere significant takings implications. This public review during regular business with an action taken or planned by rule does not impose conditions or hours at our offices in Lakewood, another agency. limitations on the use of any private Colorado. Individual respondents may (3) This rule does not alter the property; consequently, a takings request that we withhold their home budgetary effects of entitlements, grants, implication assessment is not required. address from the rulemaking record, user fees, or loan programs or the rights 8. Federalism (Executive Order 13132) which we will honor to the extent or obligations of their recipients. allowable by law. There may also be (4) This rule does not raise novel legal In accordance with Executive Order circumstances in which we would or policy issues. 13132, this proposed rule does not have withhold from the rulemaking record a Federalism implications. This rule does 4. Regulatory Flexibility Act respondent’s identity, as allowable by not substantially or directly affect the law. If you wish us to withhold your The Department of the Interior relationship between the Federal and name and/or address, you must state certifies that this document will not State governments or impose costs on this prominently at the beginning of have a significant adverse effect on a States or localities. your comments. We will make all substantial number of small entities 9. Civil Justice Reform (Executive Order submissions from organizations or under the Regulatory Flexibility Act (5 12988) businesses, and from individuals U.S.C. 601 et seq.). For additional identifying themselves as In accordance with Executive Order information on small business issues, representatives or officials of 12988, the Office of the Solicitor has see the cost and benefit data in item 2 organizations or businesses, available determined that this rule does not of these Procedural Matters. for public inspection in their entirety. Your comments are important. The unduly burden the judicial system and Section 3506(c)(2)(A) of the Small Business and Agricultural meets the requirements of sections 3(a) Paperwork Reduction Act requires each Regulatory Enforcement Ombudsman and 3(b)(2) of the Order. agency ‘‘to provide notice * * * and and 10 Regional Fairness Boards were 10. Paperwork Reduction Act of 1995 otherwise consult with members of the established to receive comments from We are soliciting comments on the public and affected agencies concerning small businesses about Federal agency each proposed collection of information enforcement actions. The Ombudsman information collection associated with this rulemaking. The information ***.’’ Agencies must specifically will annually evaluate the enforcement solicit comments to: (a) Evaluate activities and rate each agency’s collection is titled ‘‘Solid Minerals Compliance and Asset Management whether the proposed collection of responsiveness to small business. If you information is necessary for the agency wish to comment on the enforcement Process’’ and has been submitted to OMB for review and approval. Written to perform its duties, including whether actions in this rule, call 1–888–734– the information is useful; (b) evaluate 3247. comments should be submitted on or before July 5, 2001. the accuracy of the agency’s estimate of 5. Small Business Regulatory You may submit comments directly to the burden of the proposed collection of Enforcement Act (SBREFA) the Office of Information and Regulatory information; (c) enhance the quality, usefulness, and clarity of the This rule is not a major rule under 5 Affairs, Office of Management and information to be collected; and (d) U.S.C. 804(2), the Small Business Budget, Attention: Desk Officer for the minimize the burden on the Regulatory Enforcement Fairness Act. Interior Department (OMB Control No. respondents, including the use of This rule: 1010–0120), 725 17th Street, NW, automated techniques and other forms a. Does not have an annual effect on Washington, DC 20503. Also, please of information technology. the economy of $100 million or more. submit copies of your comments to On August 3, 2000, we published a b. Will not cause a major increase in Carol Shelby, Regulatory Specialist, Federal Register Notice (65 FR 47802), costs or prices for consumers, Regulations and FOIA Team, Minerals soliciting comments on revising the individual industries, Federal, State, or Revenue Management, MS 320B2, P.O. Solid Minerals Operational Model local government agencies, or Box 25165, Denver, CO 80225–0165. information collection (OMB Control geographic regions. Courier or overnight delivery address is c. Does not have significant adverse Building 85, Room F421, Denver Number 1010–0120). effects on competition, employment, Federal Center, Denver, Colorado 80225. Note: We are requesting OMB approval to investment, productivity, innovation, or You may also comment via the revise the information collection the ability of U.S.-based enterprises to Internet to [email protected]. requirements under the currently approved compete with foreign-based enterprises. Submit Internet comments as an ASCII information collection titled ‘‘Solid Minerals file avoiding the use of special Operational Model’’ so that the requirements 6. Unfunded Mandates Reform Act characters and any form of encryption. apply to all solid minerals lessees and to This rule does not impose an Also include the title of the information change the title to ‘‘Solid Minerals Compliance and Asset Management unfunded mandate on State, local, or collection and the OMB control number Process.’’) tribal governments or the private sector along with your name and return of more than $100 million per year. The address in your Internet message. If you We received comments from two rule does not have a significant or do not receive a confirmation from the organizations on the August 3, 2000,
VerDate 11
notice—one from an industry partner in Method of Payment. Each payment format of the rule (grouping and order the operational model and one from an document associated with Form MMS– of sections, use of headings, association whose membership includes 4430 (Electronic Funds Transfer or hard paragraphing, etc.) aid or reduce its coal, metal and non-metal mineral copy check) must be annotated with the clarity? (4) Would the rule be easier to producers as well as manufacturers of lessee’s customer identification and the understand if it were divided into more mining and processing equipment and customer document identification (but shorter) sections? (A ‘‘section’’ engineering, consulting and financial numbers. For each rental payment appears in bold type and is preceded by institutions serving the industry. These document not reported on Form MMS– the symbol ‘‘§ ’’ and a numbered comments are addressed in the 4430, the lessee must include the MMS heading, for example, ‘‘§ 210.200 What information collection request Courtesy Notice, when provided, or is the purpose of this subpart?’’) (5) Is submitted to OMB. annotate the payment document with the description of the rule in the We estimate that there are 200 solid the customer identification number and ‘‘Supplementary Information’’ section of mineral lessees who are required to Government-assigned lease number. the preamble helpful in understanding report production and royalty This requirement will help MMS link the rule? What else could we do to make information to us. Using the annual payments with Form MMS–4430 the rule easier to understand? reporting burden experienced by the submittals. Send a copy of any comments that participants in the operational model, The annual reporting burden for all of concern how we could make this rule we estimate the annual reporting burden these documents is as follows: easier to understand to: Office of for this information collection is 1,362 Regulatory Affairs, Department of the hours. Estimated Interior, Room 7229, 1849 C Street NW, hours to Washington, DC 20240. You may also e- Form MMS–4430. The average Document Name prepare reporting burden for completing Form and sub- mail the comments to this address: MMS–4430 is 20 minutes per month. mit [email protected]. We estimate that all 200 solid minerals List of Subjects lessees will submit Form MMS–4430, Form MMS–4430 ...... 800 Sales summaries ...... 360 30 CFR part 206 and that this annual reporting burden Facility data ...... 90 × 1 will be 800 hours (200 lessees ⁄3 hour Contracts and subsequent Coal, Continental shelf, Geothermal per month × 12 months). amendments ...... 90 energy, Government contracts, Indian Sales summaries. The average Other documents ...... 20 lands, Mineral royalties, Natural gas, reporting burden for sales summaries is Method of payments ...... 2 Petroleum, Public lands—mineral 15 minutes per month. We estimate that Total ...... 1,362 resources, Reporting and recordkeeping 120 lessees will submit sales summary requirements. data and that this annual reporting Using an average cost of $50 per hour, 30 CFR part 210 burden will be 360 hours (120 lessees × we estimate the annual cost to 1⁄4 hour per month × 12 months). respondents for the hour burden will be Coal, Continental shelf, Geothermal × Facility data. The average reporting $68,100 (1,362 hours $50). energy, Government contracts, Indian burden for facility data is 15 minutes The PRA provides that an agency may lands, Mineral royalties, Natural gas, per month. We estimate that 30 lessees not conduct or sponsor, and a person is Petroleum, Public lands—mineral will submit facility data and that this not required to respond to, a collection resources, Reporting and recordkeeping annual reporting burden will be 90 of information unless it displays a requirements. × currently valid OMB control number. hours (30 lessees 1.4 hour per month 30 CFR part 216 × 12 months). 11. National Environmental Policy Act Contracts and contract amendments. Coal, Continental shelf, Geothermal This rule does not constitute a major energy, Government contracts, Indian Contracts and contract amendments will Federal action significantly affecting the be copied and sent to MMS. The average lands, Mineral royalties, Natural gas, quality of the human environment. A Penalties, Petroleum, Public lands— reporting burden for providing contracts detailed statement under the National and contract amendments to us is 1 mineral resources, Reporting and Environmental Policy Act of 1969 is not recordkeeping requirements. hour. We estimate that 90 lessees required. (predominantly coal companies) will 30 CFR part 218 12. Consultation and Coordination With submit contracts and contract Coal, Continental shelf, Electronic Indian Tribal Governments amendments. Consequently, the annual funds transfers, Geothermal energy, reporting burden is 90 hours (90 lessees In accordance with Executive Order × Government contracts, Indian lands, 1 hour per year). 13175, this proposed rule does not have Mineral royalties, Natural gas, Penalties, Additional documents or evidence. tribal implications that impose Petroleum, Public lands—mineral Federal and Indian lease terms allow us substantial direct compliance costs on resources, Reporting and recordkeeping to request detailed statements, Indian tribal governments. requirements. documents, or other evidence that supports our compliance and asset 13. Clarity of This Regulation Dated: May 30, 2001. management responsibilities. We will Executive Order 12866 requires each Piet deWitt, only request this additional information agency to write regulations that are easy Acting Assistant Secretary, Land and as we need it, not as a regular to understand. We invite your Minerals Management. submission. We estimate that 10 percent comments on how to make this rule For reasons set out in the preamble, of the 200 solid mineral lessees, or 20 easier to understand, including answers 30 CFR parts 206, 210, 216, and 218 are lessees, will submit this additional to questions such as the following: (1) proposed to be amended as follows: Are the requirements in the rule clearly information annually, and that each PART 206—PRODUCT VALUATION lessee will require 1 hour to submit this stated? (2) Does the rule contain information for a total annual reporting technical language or jargon that 1. The authority citation for part 206 burden of 20 hours. interferes with this clarity? (3) Does the continues to read as follows:
VerDate 11
Authority: 5 U.S.C. 301 et seq.; 25 U.S.C. § 206.262 [Amended] word ‘‘MMS–2014’’ and add in its place 396 et seq., 396a et seq., 2101 et seq.; 30 6. In § 206.262, paragraphs (a)(1), the word ‘‘MMS–4430.’’ U.S.C. 181 et seq., 351 et seq., 1001 et seq., (b)(1), (c)(1)(i), (c)(2)(i), (d)(1), (e)(1) b. In paragraphs (c)(4), (d)(1), (e)(1), 1701 et seq.; 31 U.S.C. 9701; 43 U.S.C. 1301 [occurs twice] and (e)(2), remove the and (e)(2), remove the word ‘‘MMS– et seq., 1331 et seq., and 1801 et seq. word ‘‘MMS–2014’’ and add in its place 2014’’ and add in its place the word § 206.251 [Amended] the word ‘‘MMS–4430.’’ ‘‘MMS–4430.’’ 2. In § 206.251, definition of § 206.263 [Removed] § 206.461 [Amended] ‘‘netting,’’ remove the word ‘‘MMS– 7. Remove § 206.263. 11. Amend § 206.461 as follows: 2014’’ and add in its place the word a. In paragraphs (c)(1)(i) and (c)(2)(i), ‘‘MMS–4430.’’ § 206.453 [Amended] remove the words ‘‘Form MMS–2014, § 206.254 [Amended] 8. Amend § 206.453 as follows: Report of Sales and Royalty a. Remove paragraph (a). Remittance,’’ and add in their place the 3. Amend § 206.254 as follows: b. In paragraph (b), remove the words words ‘‘Form MMS–4430, Solid a. Remove paragraph (a). ‘‘Report of Sales and Royalty Minerals Production and Royalty b. In paragraph (b), last sentence, Remittance, Form MMS–2014’’ and add Report.’’ remove the words ‘‘Report of Sales and in their place the words ‘‘Solid Minerals b. In paragraphs (c)(4), (d)(1), (e)(1) Royalty Remittance, Form MMS–2014’’ Production and Royalty Report, Form and (e)(2), remove the word ‘‘MMS– and add in their place the words ‘‘Solid MMS–4430.’’ 2014’’ and add in its place the word Minerals Production and Royalty c. Remove the paragraph designation ‘‘MMS–4430.’’ Report, Form MMS–4430.’’ from paragraph (b). § 206.462 [Removed] c. Remove the paragraph designation § 206.456 [Amended] for paragraph (b). 12. Remove § 206.462. 9. Amend § 206.456 as follows: § 206.257 [Amended] a. In paragraph (d)(3), second PART 210—FORMS AND REPORTS sentence, remove the title ‘‘Associate 4. Amend § 206.257 as follows: Director for Royalty Management’’ and 13. The authority citation for part 210 a. In paragraph (d)(3), second add in its place the title ‘‘Associate continues to read as follows: sentence, remove the title ‘‘Associate Director for Minerals Revenue Director for Royalty Management’’ and Authority: 5 U.S.C. 301 et seq.; 25 U.S.C. Management.’’ 396, 2107; 30 U.S.C. 189, 190, 359, 1023, add in its place ‘‘Associate Director for b. In paragraph (d)(3), last sentence, 1751(a); 31 U.S.C. 3716, 9701; 43 U.S.C. Minerals Revenue Management.’’ remove the word ‘‘MMS–2014’’ and add 1334, 1801 et seq.; and 44 U.S.C. 3506(a). b. In paragraph (d)(3), last sentence, in its place the word ‘‘MMS–4430.’’ 14. Amend § 210.10 as follows: remove the word ‘‘MMS–2014’’ and add a. In paragraph (a), first sentence, in its place the word ‘‘MMS–4430.’’ § 206.458 [Amended] remove the name ‘‘Royalty Management 10. Amend § 206.458 as follows: Program’’ and add in its place ‘‘Minerals § 206.259 [Amended] a. In paragraphs (c)(1)(i) and (c)(2)(i), Revenue Management.’’ 5. In § 206.259, paragraphs (a)(1), remove the words ‘‘Form MMS–2014, b. In paragraph (a), revise the table to (b)(1), (c)(1)(i), (c)(2)(i), (d)(1), (e)(1) and Report of Sales and Royalty Remittance’’ read as follows: (e)(2), remove the word ‘‘MMS–2014’’ and add in their place the words ‘‘Form and add in its place the word ‘‘MMS– MMS–4430, Solid Minerals Production § 210.10 Information collection. 4430.’’ and Royalty Report’’ and remove the (a) * * *
Form No., name, and filing date OMB No.
MMS–2014—Report of Sales and Royalty Remittance—Due by the end of first month following production month for royalty payment and for rentals no later than anniversary date of the lease ...... 1010–0022 MMS–3160—Monthly Report of Operations—Due by the 15th day of the second month following the production month ...... 1010–0040 MMS–4025—Oil and Gas Payor Information Form— Due 30 days after issuance of a new lease or change to an existing lease 1010–0033 MMS–4051—Facility and Measurement Information Form and Supplement—Due at the request of MMS during the initial con- version of the facility and measurement device operators ...... 1010–0040 MMS–4053—First Purchaser Report—Due at the request of MMS ...... 1010–0040 MMS–4054—Oil and Gas Operations Report—Due by the 15th day of the second month following the production month ...... 1010–0040 MMS–4055—Gas Analysis Report—Due by the 15th day of the second month following the production month ...... 1010–0040 MMS–4056—Gas Plant Operations Report—Due by the 15th day of the second month following the production month ...... 1010–0040 MMS–4058—Production Allocation Schedule Report—Due by the 15th day of the second month following the production month 1010–0040 MMS–4070—Application of the Purchase of Royalty Oil—Due prior to the date of sale in accordance with the instructions in the Notice of Availability of Royalty Oil ...... 1010–0042 MMS–4109—Gas Processing Allowance Summary Report—Initial report due within 3 months following the last day of the month for which an allowance is first claimed, unless a longer period is approved by MMS ...... 1010–0075 MMS–4110—Oil Transportation Allowance Report—Initial report due within 3 months following the last day of the month for which an allowance is first claimed, unless a longer period is approved by MMS ...... 1010–0061 MMS–4280—Application for Reward for Original Information— Due when a reward is claimed for information provided which may lead to the recovery of royalty or other payments owed to the United States ...... 1010–0076 MMS–4292—Coal Washing Allowance Report—Due prior to or at the same time that the allowance is first reported on Form MMS–4430 and annually thereafter if the allowance does not change ...... 1010–0074 MMS–4293—Coal Transportation Allowance Report—Due prior to or at the same time that the allowance is first reported on Form. MMS–4430 and annually thereafter if the allowance does not change ...... 1010–0074 MMS–4295—Gas Transportation Allowance Report—Initial report due within 3 months following the last day of month for which an allowance is first claimed unless a longer period is approved by MMS ...... 1010–0075
VerDate 11
Form No., name, and filing date OMB No.
MMS–4377—Stripper Royalty Rate Reduction Notification—Due for each 12-month qualifying period that a reduced royalty rate is granted by the Bureau of Land Management ...... 1010–0090 MMS–4430—Solid Minerals Production and Royalty Report—Due by the end of the month following the month of production or sale and for rentals no later than the payment date specified in your lease ...... 1010–0120 Facility Data—Due monthly or as requested for specific solid mineral products and lease types; see § 210.204 ...... 1010–0120 Sales Contracts—Due quarterly or as requested on certain solid mineral products and lease types; see § 210.203 ...... 1010–0120 Sales Summaries—Due monthly or as requested for specific solid mineral products and lease types; see § 210.202 ...... 1010–0120
* * * * * Service, Solid Minerals and Geothermal or when otherwise requested by MMS c. In paragraph (b)(2), first sentence, Compliance and Asset Management, (see § 210.203). Contracts, agreements, remove the words ‘‘or MMS–4030.’’ Building 85, Room A–614, Denver contract amendments and other Also, remove the name ‘‘Royalty Federal Center, Denver, Colorado 80225. documents affecting gross proceeds are Management Program’’ and add in its * * * * * used for compliance purposes place the name ‘‘Minerals Revenue g. Remove paragraphs (c)(4), (c)(11), including, but not limited to, identifying Management.’’ and (c)(12). valuation issues and establishing selling d. In paragraph (b)(3), first sentence, arrangement relationships. Public h. Redesignate paragraphs (c)(5) remove the words ‘‘MMS–4059, MMS– reporting burden is estimated to be 1 through (c)(10) as paragraphs (c)(4) 4060,.’’ Also, remove the name ‘‘Royalty hour per reporter per month to compile through (c)(9). Management Program’’ and add in its and submit contracts and contract i. Redesignate paragraphs (c)(13) place ‘‘Minerals Revenue Management.’’ amendments. Comments submitted through (c)(20) as paragraphs (c)(10) e. Remove paragraph (b)(6). relating to this information collection through (c)(17). f. Add paragraphs (b)(6) through (b)(9) should reference OMB Control Number to read as follows: j. Add paragraphs (c)(18) through (c)(21) to read as follows: 1010–0120. § 210.10 Information collection. (21) Sales Summaries—Submitted * * * * * § 210.10 Information collection. monthly by producers of specific solid (b) * * * * * * * * minerals from specific Federal and (6) Requests for Form MMS–4430 (c) * * * Indian lease types or when otherwise should be addressed to Minerals (18) MMS–4430—Submitted monthly requested by MMS (see § 210.202). This Management Service, Minerals Revenue to report production from and royalty data is used for compliance purposes Management, Solid Minerals and due on all Federal and Indian solid including, but not limited to, assuring Geothermal Compliance and Asset minerals leases (See § 210.201). The that sales volumes and values are Management, P.O. Box 25165, MS data is used to distribute payments to properly attributed or allocated to 390G1, Denver, Colorado 80225–0165. appropriate recipients and to determine Federal or Indian leases. Public Completed forms should be mailed to if lessees properly paid lease reporting burden is estimated to be 15 Minerals Management Service, Minerals obligations. Public reporting burden is minutes per month for each reporter to Revenue Management, Solid Minerals estimated to be 20 minutes per month compile in-house formatted sales and Geothermal Compliance and Asset per reporter. Comments submitted information and submit that information Management, P.O. Box 17110, Denver, relating to this information collection electronically. Comments submitted Colorado 80217–0110. should reference OMB Control Number relating to this information collection (7) Facility data and sales 1010–0120. should reference OMB Control Number summaries—when not submitted (19) Facility Data—Submitted 1010–0120. electronically—should be mailed to monthly by operators of wash plant, * * * * * Minerals Management Service, Minerals refining, ore concentration, or other k. Revise paragraph (d) to read as Revenue Management, Solid Minerals processing facilities for specific solid follows: and Geothermal Compliance and Asset minerals produced from specific Federal § 210.10 Information collection. Management, P.O. Box 25165, Mail Stop and Indian lease types or when 390G1, Denver, Colorado 80225–0165. otherwise requested by MMS (see * * * * * (8) Sales contracts should be mailed § 210.204). The data is used to assure (d) Comments on burden estimates. to Minerals Management Service, that Federal or Indian lease processed Send comments on the accuracy of this Minerals Revenue Management, Solid production (the output of process burden estimate or suggestions on Minerals and Geothermal Compliance plants) is consistent with the input of reducing this burden to the Minerals and Asset Management, P.O. Box 25165, raw production. Public reporting burden Management Service, Attention: MS 390G1, Denver, Colorado 80225– is estimated to be approximately 15 Information Collection Clearance 0165. minutes per reporter per month to Officer, (OMB Control Number 1010– (9) Reports sent by special couriers or compile in-house formatted information (insert appropriate OMB Control overnight mail (excluding U.S. Postal and submit that information Number), Mail Stop 4230, 1849 C Street, Service Express Mail) should be electronically. Comments submitted NW, Washington, D.C. 20240. An addressed as follows: relating to this information collection agency may not conduct or sponsor, and (i) For oil and gas and geothermal should reference OMB Control Number a person is not required to respond to, leases, the address is: Minerals 1010–0120. a collection of information unless it Management Service, Minerals Revenue (20) Sales Contracts—Submitted each displays a currently valid OMB Control Management, Building 85, Room A–614, calendar quarter by producers of Number. Denver Federal Center, Denver, specific solid mineral products on §§ 210.200–210.204 [Removed] Colorado 80225; and specific Federal and Indian lease types (ii) For solid mineral leases, the 15. Remove §§ 210.200 through address is: Minerals Management 210.204.
VerDate 11
§§ 210.200–210.205 [Added] storage sites, you must total the data using our Internet web site unless you 16. Add §§ 210.200 through 210.205 from all sites and report the summarized meet the conditions in paragraphs (c)(2) to read as follows: data on one Form MMS–4430. or (c)(3) of this section. We will provide (3) Instructions for completing and written instructions and a valid login Subpart E—Solid Minerals, General submitting Form MMS–4430 are identification and password before you Sec. available on our Internet web site or you begin reporting. 210.200 What is the purpose of this may contact us toll free at 1–888–201– subpart? (2) You are not required to report 210.201 How do I submit Form MMS–4430, 6416. electronically if you report only rent, Solid Minerals Production and Royalty (b) When to submit. (1) Unless your minimum royalty, or other annual Report? lease terms specify a different frequency obligations on Form MMS–4430. These 210.202 How do I submit sales summaries? for royalty payments, you must submit payments are submitted with a courtesy 210.203 How do I submit sales contracts? your Form MMS–4430 monthly. Your notice as instructed in § 218.201(c) of 210.204 How do I submit facility data? Form MMS–4430 is due at the end of this chapter. 210.205 Do I need to submit additional the month following the month in (3) You are not required to report documents or evidence to MMS? which a reportable action occurs. electronically if you are a small business § 210.200 What is the purpose of this However, if the last day of the month as defined by the U.S. Small Business subpart? falls on a weekend or holiday, your Administration (13 CFR 121.201) and This subpart explains your reporting Form MMS–4430 is due on the next you have no computer, no plans to requirements if you produce coal or business day. purchase a computer or contract with an other solid minerals from Federal or (2) If your lease terms specify a electronic reporting service. Indian leases. Included are your different frequency for royalty payment, then you must report at the same time § 210.202 How do I submit sales requirements for reporting production, summaries? sales, and royalties. you must pay according to lease terms. (3) If you are submitting a Form (a) What to submit. You must submit § 210.201 How do I submit Form MMS– MMS–4430 to accompany a rental sales summaries for all coal and other 4430, Solid Minerals Production and payment, your report is due no later solid minerals produced from Federal Royalty Report? than the rental payment date specified and Indian leases and for any remote (a) What to submit. (1) You must in your lease terms. storage site from which you sell Federal submit a completed Form MMS–4430 (4) If the information on a previously or Indian solid minerals. If you sell from for all coal and other solid minerals reported Form MMS–4430 is incorrect five or fewer remote storage sites, you produced from Federal and Indian or has changed, you must submit a must submit a sales summary for each leases accompanied by all required revised Form MMS–4430 by the last day site. If you sell from more than five royalty and rental payments (except for of the month in which you discover the remote storage sites, you may total the first year rentals). error or change, except when the last data from all sites and submit the (2) You must submit a completed day of the month falls on a weekend or summarized data as one sales summary. Form MMS–4430 for any product you holiday. If the last day of the month falls The details you report on the sales sell from a remote storage site. If you on a weekend or holiday, your revised summary are for the same sales reported sell from five or fewer remote storage Form MMS–4430 is due on the first on Form MMS–4430. Use the following sites, you must report sales from each business day of the following month. table to determine the time frames for site on separate Forms MMS–4430. If (c) How to submit. (1) You must submitting sales summaries and the data you sell from more than five remote submit Form MMS–4430 electronically elements you must include:
All other leases Western phos- All other leases with no ad valo- Date element Coal Sodium/potassium phate Metals with ad valorem rem royalty royalty terms terms
(1) Purchaser Monthly ...... As requested ...... Monthly ...... Monthly ...... Monthly ...... As requested. name or unique identification. (2) Sales units ...... Monthly ...... Monthly ...... Monthly ...... Monthly ...... Monthly ...... Monthly. (3) Gross pro- Monthly ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... Not required. ceeds. (4) Processing or Monthly ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... Not required. washing costs. (5) Transportation Monthly ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... Not required. costs. (6) Name of prod- Not required ...... Monthly ...... Not required ...... Monthly ...... Monthly ...... As Required. uct type sold. (7) Btu/lb ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. (8) Ash % ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. (9) Sulfur % ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. (10) lbs SO2 ...... Monthly ...... Not required ...... Not required ...... Not required ...... Not required ...... Not required. (11) Moisture % ... Monthly ...... Not required ...... Monthly ...... Not required ...... Not required ...... Not required. (12) By-product Not required ...... As requested ...... Monthly ...... As requested ...... As requested ...... Not required. units. (13) P2O5 % ...... Not required ...... Not required ...... Monthly ...... Not required ...... Not required ...... Not required. (14) Size ...... Monthly ...... Not required ...... Not required ...... Not required ...... As requested ...... Not required. (15) Net smelter Not required ...... Not required ...... Not required ...... Monthly ...... Not required ...... Not required. return data.
VerDate 11
All other leases Western phos- All other leases with no ad valo- Date element Coal Sodium/potassium phate Metals with ad valorem rem royalty royalty terms terms
(16) Other data As requested ...... Monthly ...... As requested ...... As requested ...... As requested ...... As requested. e.g., royalty cal- culation work- sheet.
(b) When to submit. (1) For leases Building 85, Room A–614, Denver accordance with electronic reporting with ad valorem royalty terms (that is, Federal Center, Denver, Colorado 80225. requirements in §§ 210.20 through leases for which royalty due is 210.22 of this chapter. dependent upon sales value), you must § 210.204 How do I submit facility data? (b) You must submit your Solid submit your sales summaries monthly at (a) What to submit. If you operate a Minerals Production and Royalty the same time you submit Form MMS– wash plant, refining, ore concentration, Report, Form MMS–4430, in accordance 4430. or other processing facility for any coal, with electronic reporting requirements (2) For leases with no ad valorem sodium, potassium, metals, or other in § 210.201 of this chapter. royalty terms (that is, leases in which solid minerals produced from Federal or 19. In § 216.15, revise paragraph (a) to the royalty due is not dependent upon Indian leases with ad valorem royalty read as follows: terms, you must submit facility data, sales value such as cents-per-ton or § 216.15 Reporting instructions. dollars-per-unit), you must submit regardless of whether the facility is monthly sales summaries only if we located on or off the lease. You must (a) Specific guidance on how to specifically request you to do so. include in your facility data all leases prepare and submit required (c) How to submit. (1) You should processed in the facility (Federal and information collection reports and forms provide the sales summary data via non-Federal and Indian and non- to MMS may be obtained from the electronic mail. We will provide Indian). Facility data submissions must following sources: (1) For oil and gas, instructions are instructions and the proper e-mail include the following minimum available in handbooks requested at address for these submissions. information: identification of your Minerals Management Service, Minerals (2) We will accept sales summary data facility, mines served, input quantity, Revenue Management, P.O. Box 17110, submissions in paper copy. If you output quantity, and output quality or product grades. Denver, Colorado 80217–0110. submit sales summaries by paper, use (2) For coal and other solid minerals, our mailing addresses in § 210.203(c). (b) When to submit. You must submit your facility data monthly at the same instructions are available at our Internet § 210.203 How do I submit sales time you submit your Form MMS–4430. web site or by calling 1–888–201–6416. contracts? (c) How to submit. (1) You should 20. In § 216.16, revise paragraphs (a) (a) What to submit. You must submit provide the facility data via electronic and (b) to read as follows: mail. We will provide instructions and sales contracts, agreements, contract § 216.16 Where to report. amendments, or other documents that the proper e-mail address for these submissions before you begin reporting. (a) All reporting forms listed in this affect gross proceeds received for the part that are mailed or sent by U.S. sale of all coal and other solid minerals (2) We will accept facility data submissions in paper copy. If Postal Service (including express mail) produced from Federal and Indian should be mailed to the following leases with ad valorem royalty terms. submitting facility data by paper, use our mailing addresses in § 210.203(c). addresses: (b) When to submit. (1) For coal and (1) For oil and gas, the address is metal production, you must submit the § 210.205 Do I need to submit additional Minerals Management Service, Minerals required documents at the end of each documents or evidence to MMS? Revenue Management, P.O. Box 17110, calendar quarter. (a) Federal and Indian lease terms Denver, Colorado 80217–0110; and (2) For sodium, potassium, and allow us to request detailed statements, (2) For coal and other solid minerals, phosphate production, and production documents, or other evidence that the address is Minerals Management from any other lease with ad valorem supports our compliance and asset Service, Minerals Revenue Management, royalty terms, you must submit the management responsibilities. Solid Minerals and Geothermal required documents only if you are (b) We will only request this Compliance and Asset Management, specifically requested to do so. additional information as we need it, P.O. Box 17110, Denver, Colorado (c) How to submit. You must submit not as a regular submission. 80225–0110. complete copies to us at one of the (b) Reports delivered to MMS by following addresses: PART 216—PRODUCTION special couriers or overnight mail (1) For U.S. Postal Service mail ACCOUNTING (except U.S. Postal Service express mail) service (including Express Mail): 17. The authority citation for part 216 should be addressed as follows: Minerals Management Service, Minerals continues to read as follows: (1) For oil and gas, the address is Revenue Management, Solid Minerals Minerals Management Service, Minerals and Geothermal Compliance and Asset Authority: 5 U.S.C. 301 et seq.; 25 U.S.C. Revenue Management, Building 85, Management, P.O. Box 25165, MS 396, 2107; 30 U.S.C. 189, 190, 359, 1023, 1751(a); 31 U.S.C. 3716, 9701; 43 U.S.C. Room A–614, Denver Federal Center, 390G1, Denver, Colorado 80225–0165; 1334, 1801 et seq.; and 44 U.S.C. 3506(a). Denver, Colorado 80225; and or 18. Revise § 216.11 to read as follows: (2) For coal and other solid minerals, (2) For courier service (excluding the address is Minerals Management Express Mail): Minerals Management § 216.11 Electronic reporting. Service, Minerals Revenue Management, Service, Solid Minerals and Geothermal (a) You must submit your Oil and Gas Solid Minerals and Geothermal Compliance and Asset Management, Operations Report, Form MMS–4054, in Compliance and Asset Management,
VerDate 11
Building 85, Room A–614, Denver Program’’ and add in its place the name proposed rule will affect individuals Federal Center, Denver, Colorado 80225. ‘‘Minerals Revenue Management.’’ and entities seeking access or disclosure * * * * * b. In paragraph (e), remove the name of information contained in NARA ‘‘Royalty Management Program’’ and Privacy Act systems of records and § 216.21 [Amended] add in its place the name ‘‘Minerals subject individuals covered by a NARA 21. Amend § 216.21 as follows: Revenue Management’’ and remove the Privacy Act system. (a) In the second sentence, remove the room number ‘‘A–212’’ and add in its DATES: Comments must be received by words ‘‘the Production Accounting and place ‘‘A–614.’’ August 6, 2001. Auditing System Reporters Handbook’’ 27. Revise § 218.201 to read as ADDRESSES: Comments must be sent to and add in their place ‘‘our reporter follows: Regulation Comments Desk (NPOL), handbooks or our Internet web site.’’ § 218.201 Method of payment. Room 4100, Policy and (b) In the last sentence, remove the Communications Staff, National You must tender all payments in word ‘‘handbook’’ and add in its place Archives and Records Administration, accordance with § 218.51, except as ‘‘handbooks.’’ 8601 Adelphi Road, College Park, MD follows: 22. In § 216.40, revise paragraph (d) to 20740–6001. They may be faxed to 301– (a) For purposes of this section, report read as follows: 713–7270. You may also comment via means the Solid Minerals Production the Internet to [email protected]. § 216.40 Assessments for incorrect or late and Royalty Report, Form MMS–4430, reports and failure to report. Please submit Internet comments as rather than the Form MMS–2014. an ASCII file avoiding the use of special * * * * * (b) For Form MMS–4430 payments, (d) For purposes of solid minerals characters and any form of encryption. include both your customer Please also include ‘‘Attn: 3095–AA99’’ reporting, a report is defined as each identification and your customer and your name and return mailing line of information required on the document identification numbers on address in your Internet message. If you Solid Minerals Production and Royalty your payment document, rather than the do not receive a confirmation from Report, Form MMS–4430. information required under NARA that we have received your * * * * * § 218.51(f)(1). Internet message, contact the Regulation (c) For a rental payment that is not Comment Desk at 301–713–7360, ext. Subpart E—Solid Minerals, General reported on Form MMS–4430, include 226. [Reserved] the MMS Courtesy Notice when provided or write your customer FOR FURTHER INFORMATION CONTACT: §§ 216.200—216.204 [Removed] identification number and Government- Nancy Allard at telephone number 301– 23. Remove §§ 216.200 through assigned lease number on the payment 713–7360, ext. 226, or fax number 301– 216.204 and reserve subpart E. document, rather than the information 713–7270. required under § 218.51(f)(4)(iii). SUPPLEMENTARY INFORMATION: As noted PART 218—COLLECTION OF in the SUMMARY, NARA is rewriting its ROYALTIES, RENTALS, BONUSES § 218.203 [Amended] regulations on implementing the AND OTHER MONIES DUE THE 28. Amend § 218.203 as follows: Privacy Act of 1974, in accordance with FEDERAL GOVERNMENT a. In paragraph (a), first sentence, the Presidential Memorandum of June 1, 24. The authority citation for part 218 remove the word ‘‘MMS–2014’’ and add 1998. The proposed rule is written in continues to read as follows: in its place ‘‘MMS–4430.’’ plain language. Each section is written b. In paragraph (b), second sentence, in the question and answer format. This Authority: 25 U.S.C. 396 et seq., 396a et remove the words ‘‘in the [‘‘]AFS Payor format not only simplifies the seq., 2101 et seq.; 30 U.S.C. 181 et seq., 351 Handbook—Solid Minerals[’’].’’ et seq., 1001 et seq., 1701 et seq.; 31 U.S.C.A. regulations and its application, but it 3335; 43 U.S.C. 1301 et seq., 1331 et seq., and c. In paragraph (b), remove the third personalizes the regulation to the 1801 et seq. sentence, ‘‘See 30 CFR 210.204[.]’’ and customer. The proposed rule specifies add in its place the sentence ‘‘Call 1– how NARA collects, maintains and uses 25. In § 218.40, revise paragraph (c) to 888–201–6416 for instructions.’’ personal information collected and read as follows: [FR Doc. 01–14123 Filed 6–4–01; 8:45 am] maintained by NARA and defunct § 218.40 Assessments for incorrect or late BILLING CODE 4310–MR–P agencies under the Privacy Act. The reports and failure to report. proposed rule explains the authority * * * * * under which NARA collects and (c) For purposes of assessments NATIONAL ARCHIVES AND RECORDS disseminates this information, how a discussed in this section, a report is ADMINISTRATION person can obtain access to such defined as follows: information, and how to amend or (1) For coal and other solid mineral 36 CFR Part 1202 correct such information. leases, a report is each line on the Solid NARA last amended its Privacy Act Minerals Production and Royalty RIN 3095–AA99 regulations in 1998 (63 FR 70342). In preparing to rewrite the regulations in Report, Form MMS–4430. Privacy Act; Implementation (2) For geothermal leases, a report is plain language, we reviewed our each line on the Report of Sales and AGENCY: National Archives and Records policies and procedures. We have also Royalty Remittance, Form MMS–2014. Administration (NARA). reviewed all of our Privacy Act systems (3) For oil and gas leases, this section ACTION: Proposed rule. of records. As a result of these actions, does not apply. we are making several substantive * * * * * SUMMARY: NARA is rewriting our changes to the regulations. First, NARA Privacy Act regulations to update the does not forward requests for other § 218.51 [Amended] procedures for making a Privacy Act agencies’ records stored in a NARA 26. Amend § 218.51 as follows: request, and to reflect the President’s record center to the appropriate agency; a. In paragraph (d)(2) and (d)(3), memorandum of June 1, 1998, Plain therefore, in the proposed rule we tell remove the name ‘‘Royalty Management Language in Government Writing. This the requester that he/she must request
VerDate 11
those records from that agency directly. 1202.30 How does NARA safeguard its (b) This part explains how NARA Second, to strengthen our controls to systems of records? collects, uses and maintains records prevent improper access to information Subpart C—Individual Access to Records about you that are filed by your name protected by the Privacy Act, we are 1202.40 How can I gain access to NARA or other personal identifiers and which adding a requirement for subject records about myself? are contained in a ‘‘system of records’’ individuals to submit a certification 1202.42 How are requests for access to as defined by 5 U.S.C. 552a(a)(5). statement or have their signature medical records handled? (c) This part describes the procedures notarized when requesting records 1202.44 How long will it take for NARA to to gain access to and contest the about themselves. Finally, we are process my request? contents of your records, and the exempting an additional NARA Privacy 1202.46 In what ways will NARA provide conditions under which NARA Act system, NARA 18, General Legal access? discloses such records to others. Files, from access/amendment 1202.48 Will I have to pay for copies of records? § 1202.2 What this part does not cover. provisions of the Act on the basis of the 1202.50 Does NARA require prepayment of law enforcement exemption. fees? This part does not cover: This proposed rule is not a significant 1202.52 How do I pay? (a) Records that have been transferred regulatory action for the purposes of 1202.54 On what grounds can NARA deny into the National Archives of the United Executive Order 12866 and has not been my Privacy Act request? States for permanent preservation. reviewed by the Office of Management 1202.56 How do I appeal a denial of my Archival records that are contained in and Budget. As required by the Privacy Act request? systems of records that become part of Regulatory Flexibility Act, I certify that 1202.58 How are appeals processed? the National Archives of the United this proposed rule will not have a Subpart D—Disclosure of Records States are exempt from most provisions significant impact on a substantial 1202.60 When does NARA disclose a of the Privacy Act (see 5 U.S.C. number of small entities because it only record in a Privacy Act system of 552a(l)(2) and (l)(3)). See subchapter C affects individuals and entities seeking records? of this chapter for rules governing access or disclosure of information 1202.62 What are the procedures for access to these type records. contained in NARA Privacy Act systems disclosure of records to a third party? (b) Records of other agencies that are of records. This proposed rule does not 1202.64 How do I appeal a denial of stored in NARA record centers on behalf have any federalism implications. disclosure? of that agency are governed by the 1202.66 How does NARA keep account of Privacy Act rules of the transferring disclosures? List of Subjects in 36 CFR Part 1202 agency. Send your request for those Privacy. Subpart E—Request To Amend Records records directly to those agencies. 1202.70 Whom should I contact at NARA (c) Personnel and medical records For the reason set forth in the to amend records about myself? held by the National Personnel Records preamble, NARA proposes to revise part 1202.72 How does NARA handle requests Center (NPRC) on behalf of the 1202 of title 36, Code of Federal to amend records? Department of Defense and the Office of Regulations, to read as follows: 1202.74 How will I know if NARA Personnel Management. Privacy Act approved my amendment request? PART 1202—REGULATIONS 1202.76 Can NARA deny my request for requests for these records should come IMPLEMENTING THE PRIVACY ACT OF amendment? to the NPRC. 1974 1202.78 How do I accept an alternative § 1202.4 Definitions. amendment? Subpart A—General Information About the 1202.80 How do I appeal the denial of a For the purposes of this part, the term: Privacy Act request to amend a record? (a) Access means a transfer of a Sec. 1202.82 How do I file a Statement of record, a copy of a record, or the 1202.1 What does this part cover? Disagreement? information in a record to the subject 1202.2 What this part does not cover. 1202.84 Can I seek judicial review? individual, or the review of a record by 1202.4 Definitions. Subpart F—Exemptions the subject individual. 1202.6 Whom should I contact for Privacy 1202.90 What NARA systems of records are (b) Agency means any executive Act matters at NARA? department, military department, 1202.8 How does NARA handle records exempt from release under the National that are in Government-wide Privacy Act Security Exemption of the Privacy Act? Government corporation, Government systems? 1202.92 What NARA systems of records are controlled corporation, or other 1202.10 Does NARA handle access to and exempt from release under the Law establishment in the executive branch of disclosure of records of defunct agencies Enforcement Exemption of the Privacy the Government (including the in the custody of NARA? Act? Executive Office of the President), or 1202.94 What NARA systems of records are any independent regulatory agency. Subpart B—Collecting Information exempt from release under the (c) Defunct agency means an agency 1202.18 How does NARA collect Investigatory Information Material information about individuals? Exemption of the Privacy Act? that has ceased to exist, and has no successor in function. 1202.20 What advisory information does Authority: 5 U.S.C. 552a; 44 U.S.C. NARA provide before collecting 2104(a). (d) Defunct agency records means the information from me? records in a Privacy Act system of a 1202.22 Will NARA need my Social Subpart A—General Information About defunct agency that are stored in a Security Number? the Privacy Act NARA records center. 1202.24 Will NARA ever request (e) Disclosure means a transfer by any information about me from someone § 1202.1 What does this part cover? means of a record, a copy of a record, else? 1202.26 Who will make sure that my record (a) This part covers requests under the or the information contained in a record is accurate? Privacy Act (5 U.S.C. 552a) for NARA to a recipient other than the subject 1202.28 What rules do NARA employees operational records and records of individual, or the review of a record by follow in managing personal defunct agencies stored in NARA record someone other than the subject information? centers. individual.
VerDate 11
(f) Individual means a citizen of the Act request, or if you need assistance (b) If you are asked to provide your United States or an alien lawfully with an existing request. The Privacy SSN, the NARA employee or contractor admitted for permanent residence. Act Officer will refer you to the must first inform you: (g) Maintain includes maintain, responsible system manager. Details (1) Whether the disclosure is collect, use, or disseminate. about what to include in your Privacy mandatory or voluntary; (h) NARA Privacy Act Appeal Official Act request are discussed in Subpart C (2) The statute or authority under means the Deputy Archivist of the of this part. which your SSN is solicited; and United States for appeals of denials of (3) How your SSN will be used. access to or amendment of records § 1202.8 How does NARA handle records maintained in a system of records, that are in Government-wide Privacy Act § 1202.24 Will NARA ever request systems? except where the system manager is the information about me from someone else? Inspector General; then the term means Records in the custody of NARA in a NARA will make every effort to gather the Archivist of the United States. Government-wide Privacy Act system information from you directly. When (i) Record means any item, collection, are the primary responsibility of another NARA solicits information about you or grouping of information about an agency, e.g., the Office of Personnel from someone else, NARA will explain individual that is maintained by an Management (OPM) or the Office of to that person the purpose for which the agency, including, but not limited to, Government Ethics (OGE). These information will be used. his or her education, financial records are governed by the regulations transactions, medical history and established by that agency pursuant to § 1202.26 Who will make sure that my record is accurate? criminal or employment history, and the Privacy Act. NARA provides access that contains his or her name or an using that agency’s regulations. The system manager ensures that all identifying number, symbol, or other records used by NARA to make a § 1202.10 Does NARA handle access to identifying particular assigned to the determination about any individual are and disclosure of records of defunct maintained with such accuracy, individual, such as a fingerprint, agencies in the custody of NARA? voiceprint, or photograph. For purposes relevancy, timeliness, and completeness of this part, ‘‘record’’ does not mean Yes, records of defunct agencies in the as is reasonably possible to ensure archival records that have been custody of NARA at a NARA record fairness to you. transferred to the National Archives of center are covered by the provisions of this part. § 1202.28 What rules do NARA employees the United States. follow in managing personal information? (j) Routine use means, with respect to Subpart B—Collecting Information the disclosure of a record, the use of that All NARA employees and contractors record for a purpose which is § 1202.18 How does NARA collect involved in the design, development, compatible with the purpose for which information about individuals? operation or maintenance of any system it was collected. of records must review the provisions of Any information that is used in the Privacy Act and the regulations in (k) Solicitation means a request by a making a determination about your NARA employee or contractor that an this part. NARA employees and rights, benefits, or privileges under contractors must conduct themselves in individual provide information about NARA programs is collected directly himself or herself. accordance with the rules of conduct from you—the subject individual— to concerning the protection of nonpublic (l) Statistical record means a record in the greatest extent possible. a system of records maintained for information in the Standards of Ethical statistical research or reporting purposes § 1202.20 What advisory information does Conduct for Employees of the Executive only and not used in whole or in part NARA provide before collecting information Branch, 5 CFR 2635.703. from me? in making any determination about an § 1202.30 How does NARA safeguard its identifiable individual, except as (a) Before collecting information from systems of records? provided by 13 U.S.C. 8. you, NARA will advise you of: (a) The system manager ensures that (m) Subject individual means the (1) The authority for collecting the appropriate administrative, technical, individual named or discussed in a information and whether providing the and physical safeguards are established record or the individual to whom a information is mandatory or voluntary; to ensure the security and record otherwise pertains. (2) The purpose for which the confidentiality of records. In order to (n) System manager means the NARA information will be used; employee who is responsible for the protect against any threats or hazards to (3) The routine uses of the maintenance of a system of records and their security or loss of integrity, paper information; and for the collection, use, and records are maintained in areas dissemination of information in that (4) The effect on you, if any, of not accessible only to authorized NARA system of records. providing the information. personnel. Electronic records are (o) System of records means a group (b) NARA ensures that forms used to protected in accordance with the of records from which information is record the information that you provide Computer Security Act, OMB Circular retrieved by the name of the individual are in compliance with the Privacy Act A–11 requiring privacy analysis in or by some identifying number, symbol, and this part. reporting to OMB, and are accessed via passwords from terminals located in or other identifier assigned to that § 1202.22 Will NARA need my Social individual. attended offices. After hours, buildings Security Number? have security guards and/or doors are § 1202.6 Whom should I contact for (a) Before a NARA employee or NARA secured and all entrances are monitored Privacy Act matters at NARA? contractor asks you to provide your by electronic surveillance equipment. Contact the NARA Privacy Act social security number (SSN), he or she (b) The system manager, at his/her Officer, National Archives and Records will ensure that the disclosure is discretion, may designate additional Administration (NGC), Room 3110, 8601 required by Federal law or under a safeguards similar to or greater than Adelphi Road, College Park, MD 20740– Federal law or regulation adopted before those described in paragraph (a) of this 6001, for guidance in making a Privacy January 1, 1975. section for unusually sensitive records.
VerDate 11
(c) The system manager only permits § 1202.42 How are requests for access to identification to assure NARA of your access to and use of automated or medical records handled? identity. You will also be asked to sign manual personnel records to persons When NARA receives a request for an acknowledgement that you have been whose official duties require such access to medical records, if NARA given access. access, or to you or to a representative believes that disclosure of medical and/ designated by you. or psychological information directly to § 1202.48 Will I have to pay for copies of records? you could have an adverse effect on Subpart C—Individual Access to you, you may be asked to designate in Yes. However NARA will waive fees Records writing a physician or mental health for the first 100 pages copied or when professional to whom you would like the cost to collect the fee will exceed the § 1202.40 How can I gain access to NARA amount collected. When a fee is records about myself? the records to be disclosed, and disclosure that otherwise would be charged, the charge per copy is $0.20 (a) If you wish to request access to made to you will instead be made to the per page if NARA makes the copy or information about yourself contained in designated physician or mental health $0.15 per page if you make the copy on a NARA Privacy Act system of records, professional. a NARA self-service copier. Fees for you must notify the NARA Privacy Act other reproduction processes are Officer, National Archives and Records § 1202.44 How long will it take for NARA to computed upon request. Administration, Rm. 3110, 8601 process my request? Adelphi Rd., College Park, MD 20740– (a) NARA will acknowledge your § 1202.50 Does NARA require prepayment of fees? 6001. If you wish to allow another request within 10 workdays of its person to review or obtain a copy of receipt by NARA and if possible, will If the system manager determines that your record, you must provide make the records available to you at that the estimated total fee is likely to exceed authorization for that person to obtain time. If NARA cannot make the records $250, NARA will notify you that the access as part of your request. immediately available, the estimated fee must be prepaid before (b) Your request must be in writing acknowledgment will indicate when the you can have copies of the records. If and the letter and the envelope must be system manager will make the records the final fee is less than the amount you marked ‘‘Privacy Act Request.’’ Your available. prepaid, NARA will refund the request letter must contain: (b) If NARA anticipates more than a difference. (1) The complete name and 10 workday delay in making a record § 1202.52 How do I pay? identifying number of the NARA system you requested available, NARA also will You must pay by check or money as published in the Federal Register; explain in the acknowledgment specific order. Make your check or money order (2) A brief description of the nature, reasons for the delay. payable to the National Archives and time, place, and circumstances of your (c) If your request for access does not Records Administration and send it to association with NARA; contain sufficient information to permit the NARA Privacy Act Officer, Room (3) Any other information, which you the system manager to locate the 3110, 8601 Adelphi Road, College Park, believe, would help NARA to determine records, NARA will request additional MD 20740–6001. whether the information about you is information from you. NARA will have included in the system of records; 10 workdays following receipt of the § 1202.54 On what grounds can NARA (4) If you are authorizing another additional information in which to deny my Privacy Act request? individual to have access to your make the records available or to (a) NARA can deny your Privacy Act records, the name of that person; and acknowledge receipt of the request and request for records if the records are (5) A Privacy Act certification of to indicate when the records will be maintained in an exempt systems of identity. When you make a request for available. records are described in subpart F of access to records about yourself, you this part. § 1202.46 In what ways will NARA provide (b) A system manager may deny your must verify your identity. You must sign access? request for access to your records only your request and your signature must (a) At your request, NARA will either be notarized or submitted by you if: provide you, or a person authorized by (1) NARA has published rules in the under 28 U.S.C. 1746, a law that permits you, a copy of the records by mail or by Federal Register exempting the statements to be made under penalty of making the records available in person pertinent system of records from the perjury as a substitute for notarization. during normal business hours at the access requirement; and While no specific form is required, you NARA facility where the records are (2) The record is exempt from may obtain a Certification of Identity located. If you are seeking access in disclosure under the Freedom of form for this purpose from the NARA person, the system manager will permit Information Act (FOIA). Privacy Act Officer. The following you to examine the original record, will (c) Upon receipt of a request for information is required: provide you with a copy of the records, access to a record which is contained (i) Your full name; or both. within an exempt system of records, (ii) An acknowledgment that you (b) When obtaining access to the NARA will: understand the criminal penalty in the records in person at a NARA facility, (1) Review the record to determine Privacy Act for requesting or obtaining you must provide proof of identification whether all or part of the record must access to records under false pretenses either by producing at least one piece of be released to the you in accordance (5 U.S.C. 552a(i)(3)); and identification bearing a name or with § 1202.40, notwithstanding the (iii) A declaration that your statement signature and either a photograph or inclusion of the record within an is true and correct under penalty of physical description (e.g., a driver’s exempt system of records; and perjury (18 U.S.C. 1001). license or employee identification card) (2) Provide access to the record (or (c) The procedure for accessing an or by signing the Certification of part of the record, if it is not fully accounting of disclosure is identical to Identity form described in § 1204.40 releasable) in accordance with § 1202.46 the procedure for access to a record as (b)(5). NARA reserves the right to ask or notify you that the request has been set forth in this section. you to produce additional pieces of denied in whole or in part.
VerDate 11
(c) If your request is denied in whole Subpart D—Disclosure of Records course of the performance of the duties or in part, NARA’s notice will include of the General Accounting Office; a statement specifying the applicable § 1202.60 When does NARA disclose a (k) Pursuant to the order of a court of Privacy Act and FOIA exemptions and record in a Privacy Act system of records? competent jurisdiction; or advising you of the right to appeal the NARA will not disclose any records (l) To a consumer reporting agency in decision as explained in § 1202.56. in a Privacy Act system of records to accordance with 31 U.S.C. 3711(e). any person or to another agency without § 1202.56 How do I appeal a denial of my the express written consent of the § 1202.62 What are the procedures for Privacy Act request? subject individual unless the disclosure disclosure of records to a third party? (a) If you are denied access in whole is: (a) To obtain access to records about or in part to records pertaining to (a) To NARA employees who have a a person other than yourself, address the yourself, you may file with NARA an need for the information in the official request to the NARA Privacy Act appeal of that denial. Your appeal letter performance of their duties; Officer, National Archives and Records must be post marked no later than 35 (b) Required by the provisions of the Administration, Room 3110, 8601 calendar days after the date of the denial Freedom of Information Act, as Adelphi Rd., College Park, MD 20740– letter from NARA. amended; 6001. If you are requesting access for (1) Address appeals involving denial (c) For a routine use that has been statistical research as described in of access to Office of Inspector General published in a notice in the Federal § 1202.60(e), you must submit a written records to NARA Privacy Act Appeal Register; statement that includes as a minimum: (1) A statement of the purpose for Official (N), National Archives and (d) To the Bureau of Census for requesting the records; and Records Administration, Room 4200, purposes of planning or carrying out a census or survey or related activity (2) Certification that the records will 8601 Adelphi Road, College Park, MD be used only for statistical purposes. 20740–6001. pursuant to title 13 U.S.C.; (e) To a person who has provided (b) NARA will acknowledge your (2) Address all other appeals to the NARA with advance adequate written request within 10 workdays and will NARA Privacy Act Appeal Official (ND), assurance as specified in § 1202.62(a) make a decision within 30 workdays, National Archives and Records that the record will be used solely as a unless NARA notifies you that the time Administration, Room 4200, 8601 statistical research or reporting record. limit must be extended for good cause. Adelphi Road, College Park, MD 20740– (Personal identifying information is (c) Upon receipt of your request, 6001. deleted from the record released for NARA will verify your right to obtain (b) All appeals of denial of access to statistical purposes. The system access to documents pursuant to the NARA Privacy Act Appeal Official manager ensures that the identity of the § 1202.60. Upon verification, the system must be in writing. Mark both the individual cannot reasonably be manager will make the requested envelope and the appeal ‘‘Privacy Act— deduced by combining various records available to you. Access Appeal.’’ statistical records.) (d) If NARA determines that the disclosure is not permitted under § 1202.58 How are appeals processed? (f) To the National Archives of the United States as a record which has § 1202.60, the system manager will deny (a) Upon receipt of your appeal, the sufficient historical or other value to your request in writing. NARA will NARA Privacy Act Appeal Official will warrant its continued preservation by inform you of the right to submit a consult with the system manager, legal the United States Government or for request for review of the denial and a counsel, and such other officials as may evaluation by the Archivist or the final determination to the appropriate be appropriate. If the NARA Privacy Act designee of the Archivist to determine NARA Privacy Act Appeal Officer. Appeal Official determines that the whether the record has such value; records you requested are not exempt § 1202.64 How do I appeal a denial of (g) To another agency or any disclosure? from release, NARA grants you access governmental jurisdiction within or and so notifies you. (a) Your request for a review of the under the control of the United States denial of disclosure to records (b) If the NARA Privacy Act Appeal for a civil or criminal law enforcement Official determines that your appeal maintained by the Office of the activity if the activity is authorized by Inspector General must be addressed to must be rejected, NARA will law, and if the head of the agency or his immediately notify you in writing of the NARA Privacy Act Appeal Officer or her other designated representative (N), National Archives and Records that determination. This decision is has made a written request to NARA final and cannot be appealed further Administration, Room 4200, 8601 specifying the particular portion desired Adelphi Rd., College Park, MD 20740– within NARA. NARA’s notification to and the law enforcement activity for you will include: 6001. which the record is sought; (b) Requests for a review of a denial (1) The reason for the rejection of the (h) To a person showing compelling of disclosure to all other NARA records appeal; and circumstances affecting the health or must be addressed to the NARA Privacy (2) Notice of your right to seek safety of an individual, and not Act Appeal Officer (ND), National judicial review of NARA’s final necessarily the individual to whom the Archives and Records Administration, determination, as described in 36 CFR record pertains. A disclosure of this Room 4200, 8601 Adelphi Rd., College 1202.84. nature is followed by a notification to Park, MD 20740–6001. (c) NARA will make its final the last known address of the subject determination no later than 30 individual; § 1202.66 How does NARA keep account workdays from the date on which (i) To either House of Congress or to of disclosures? NARA receives your appeal. NARA may a committee or subcommittee (joint or of (a) Except for disclosures made to extend this time limit by notifying you either House), in the course of the NARA employees in the course of the in writing before the expiration of the 30 performance of official legislative performance of their duties or when workdays. This notification will include activities; required by the Freedom of Information an explanation of the reasons for the (j) To the Comptroller General or any Act (see § 1202.60(a) and (b)), NARA time extension. of his authorized representatives in the keeps an accurate accounting of each
VerDate 11
disclosure and retains it for 5 years after light of your proposed amendment to 8601 Adelphi Road, College Park, MD, the disclosure or for the life of the determine if your request to amend is 20740–6001. record, whichever is longer. The justified. If you request the deletion of (3) For current NARA employees if accounting includes the: information, the system manager also the denial to amend concerns a record (1) Date of disclosure; will review your request and the maintained in the employee’s Official (2) Nature, and purpose of each existing record to determine whether Personnel Folder or in another disclosure; and the information is relevant and Government-wide system maintained by (3) Name and address of the person or necessary to accomplish NARA’s NARA on behalf of another agency, agency to which the disclosure is made. purpose, as required by law or NARA will provide the employee with (b) The system manager also Executive order. name and address of the appropriate maintains with the accounting of appeal official in that agency. disclosures: § 1202.74 How will I know if NARA (b) Appeals to NARA must be in approved my amendment request? (1) A full statement of the justification writing and must be postmarked no later for the disclosures; If NARA approves your amendment than 35 calendar days from the date of (2) All documentation surrounding request, the system manager will the NARA denial of a request to amend. disclosure of a record for statistical or promptly make the necessary Your appeal letter and envelope must be law enforcement purposes; and amendment to the record and will send marked ‘‘Privacy Act—Appeal’’. (3) Evidence of written consent by the a copy of the amended record to you. (c) Upon receipt of an appeal, the subject individual to a disclosure, if NARA will also advise all previous NARA Privacy Act Appeal Official will applicable. recipients of the record, using the consult with the system manager, legal (c) Except for the accounting of accounting of disclosures, that an counsel, and such other officials as may disclosures made for a law enforcement amendment has been made and give the be appropriate. If the appeal official activity (see § 1202.60(g)) or of substance of the amendment. Where determines that the record should be disclosures made from exempt systems practicable, NARA will also send a copy amended, he or she will instruct the (see subpart F of this part), the of the amended record to previous system manager to amend the record in accounting of disclosures will be made recipients. accordance with § 1202.74 and will available to the subject individual upon § 1202.76 Can NARA deny my request for notify you of that action. request. Procedures for requesting amendment? (d) If, after consulting with officials specified in paragraph (c) of this access to the accounting of disclosures If the system manager denies your section, the NARA Privacy Act Appeal are in subpart C. request to amend or determines that the Official determines that your appeal record should be amended in a manner Subpart E—Request To Amend should be rejected, the NARA Privacy other than that requested by you, NARA Records Act Appeal Official will notify you in will advise you in writing of the writing of that determination. This decision. The denial letter will state: § 1202.70 Whom should I contact at NARA notice serves as NARA’s final to amend records about myself? (a) The reasons for the denial of your determination on your request to amend If you believe that a record that NARA amendment request; (b) Proposed alternative amendments, a record. The letter to you will include: maintains about you is not accurate, (1) The reason for the rejection of your timely, relevant or complete, you may if appropriate; (c) Your right to appeal the denial; appeal; request that the record be amended. (2) Proposed alternative amendments, Write to the NARA Privacy Act Officer, and (d) The procedures for appealing the if appropriate, which you may accept Room 3110, 8601 Adelphi Rd, College denial. (see 36 CFR 1202.78 for the procedure); Park, MD 20470–6001. Employees of (3) Notice of your right to file a NARA who desire to amend their § 1202.78 How do I accept an alternative Statement of Disagreement for personnel records should write to the amendment? distribution in accordance with 36 CFR Director, Human Resources Services If your request to amend a record is 1202.82; and Division. You should include as much denied and NARA suggested alternative (4) Notice of your right to seek information, documentation, or other amendments, and you agree to those judicial review of the NARA final evidence as needed to support your alternative amendments, you must determination, as provided in 36 CFR request to amend the pertinent record. notify the Privacy Act Officer who will 1202.84. Mark both the envelop and the letter then make the necessary amendments in (e) The NARA final determination with the phrase ‘‘Privacy Act—Request accordance with § 1202.74. will be made no later than 30 workdays To Amend Record.’’ from the date on which the appeal is § 1202.80 How do I appeal the denial of a received by the NARA Privacy Act § 1202.72 How does NARA handle request to amend a record? requests to amend records? Appeal Official. In extraordinary (a) If you disagree with a denial of circumstances, the NARA Privacy Act (a) NARA will acknowledge receipt of your request to amend a record, you can Appeal Official may extend this time a request to amend a record within 10 file an appeal of that denial. limit by notifying you in writing before workdays. If possible, the (1) Address your appeal of the denial the expiration of the 30 workdays. The acknowledgment will include the to amend records signed by a system notification will include a justification system manager’s determination either manager other than the Inspector for the extension of time. to amend the record or to deny your General, to the NARA Privacy Act request to amend as provided in Appeal Official (ND), Room 3110, 8601 § 1202.82 How do I file a Statement of § 1202.76. Adelphi Road, College Park, MD, Disagreement? (b) When reviewing a record in 20740–6001. If you receive a NARA final response to your request to amend, the (2) Address the appeal of the denial determination denying your request to system manager will assess the to amend records signed by the amend a record, you may file a accuracy, relevance, timeliness, and Inspector General to the NARA Privacy Statement of Disagreement with the completeness of the existing record in Act Appeal Official (N), Room 3110, appropriate system manager. The
VerDate 11
Statement of Disagreement must include requiring investigations to be administrative violation, of the an explanation of why you believe the continuously reinvestigated. existence of that investigation; of the record to be inaccurate, irrelevant, (3) From subsection (e)(1) because nature and scope of the information and untimely, or incomplete. The system verification of the accuracy of all evidence obtained as to his/her manager will maintain your Statement information to the records could result activities; of the identity of confidential of Disagreement in conjunction with the in the release of properly classified sources, witnesses, and law enforcement pertinent record. The System Manager information which would compromise personnel; and of information that may will send a copy of the Statement of the national defense or disrupt foreign enable the subject to avoid detection or Disagreement to any person or agency to policy. apprehension. These factors would whom the record has been disclosed, (4) From subsection (e)(4)(G) and (H) present a serious impediment to only if the disclosure was subject to the because these systems are exempt from effective law enforcement where they accounting requirements of § 1202.60. the access and amendment provisions of prevent the successful completion of the subsection (d), pursuant to subsection investigation, endanger the physical § 1202.84 Can I seek judicial review? (k)(1) of the Privacy Act. safety of confidential sources, witnesses, Yes, within 2 years of receipt of a and law enforcement personnel, and/or NARA final determination as provided § 1202.92 What NARA systems of records lead to the improper influencing of are exempt from release under the Law in § 1202.54 or § 1202.80, you may seek Enforcement Exemption of the Privacy Act? witnesses, the destruction of evidence, judicial review of that determination. or the fabrication of testimony. In You may file a civil action in the (a) The General Law Files in the addition, granting access to such Federal District Court: Office of the General Counsell (NARA– information could disclose security- (a) In which you reside or have a 18) and the Investigative Files of the sensitive or confidential business principal place of business; Inspector General (NARA–23) systems information or information that would (b) In which the NARA records are of records are eligible for exemption constitute an unwarranted invasion of located; or under 5 U.S.C. 552a(k)(2) because these the personal privacy of third parties. (c) In the District of Columbia. record systems contains investigatory The amendment of these records could material of actual, potential or alleged allow the subject to avoid detection or Subpart F—Exemptions criminal, civil or administrative apprehension and interfere with violations, compiled for law ongoing investigations and law § 1202.90 What NARA systems of records enforcement purposes other than within enforcement activities. are exempt from release under the National the scope of subsection (j)(2) of 5 U.S.C. Security Exemption of the Privacy Act? (3) From subsection (e)(1) because the 552a. If you are denied any right, application of this provision could (a) The Investigative Case Files of the privilege or benefit that you would impair investigations and interfere with Inspector General (NARA–23) and the otherwise be entitled by Federal law, or the law enforcement responsibilities of Personnel Security Case Files (NARA– for which you would otherwise be the OIG or another agency for the 24) systems of records are eligible for eligible, as a result of the record, NARA following reasons: exemption under 5 U.S.C. 552a(k)(1) will make the record available to you, (i) It is not possible to detect because the records in these systems: except for any information in the record relevance or need for specific (1) Contain information specifically that would disclose the identity of a information in the early stages of an authorized under criteria established by confidential source as described in 5 investigation, case or matter. After the an Executive Order to be kept secret in U.S.C. 552a(k)(2). information is evaluated, relevance and the interest of national defense or (b) The systems described in necessity may be established. foreign policy and paragraph (a) of this section are exempt (ii) During an investigation, the OIG (2) Are in fact properly classified from subsections (c)(3), (d), (e)(1) and may obtain information about other pursuant to such Executive Order. (e)(4) (G) and (H), and (f) of 5 U.S.C. actual or potential criminal, civil or (b) The systems described in 552a. Exemptions from the particular administrative violations, including paragraph (a) are exempt from subsections are justified for the those outside the scope of its subsections (c)(3), (d), (e)(1), and following reasons: jurisdiction. The OIG should retain this (e)(4)(G) and (H) of 5 U.S.C. 552a. (1) From subsection (c)(3) because information, as it may aid in Exemptions from the particular release of disclosure accounting could establishing patterns of inappropriate subsections are justified for the alert the subject of an investigation activity, and can provide valuable leads following reasons: about the alleged violations, to the for Federal and other law enforcement (1) From subsection (c)(3) because existence of the investigation and to the agencies. accounting for each disclosure could fact that they are being investigated by (iii) In interviewing individuals or result in the release of properly the Office of Inspector General (OIG) or obtaining other forms of evidence classified information which would another agency. Release of such during an investigation, information compromise the national defense or information could provide significant may be supplied to an investigator, disrupt foreign policy. information concerning the nature of the which relates to matters incidental to (2) From the access and amendment investigation, resulting in the tampering the primary purpose of the investigation provisions of subsection (d) because or destruction of evidence, influencing but which may relate also to matters access to the records in these systems of of witnesses, danger to individuals under the investigative jurisdiction of records could result in the release of involved, and other activities that could another agency. Such information properly classified information which impede or compromise the cannot readily be segregated. would compromise the national defense investigation. (iv) From subsection (e)(4)(G) and (H) or disrupt foreign policy. Amendment of (2) From the access and amendment because these systems are exempt from either of these series of records would provisions of subsection (d) because the access and amendment provisions of interfere with ongoing investigations access to the records contained in these subsection (d), pursuant to subsection and law enforcement or national systems of records could inform the (k)(2) of the Privacy Act. security activities and impose an subject of an investigation of an actual (v) From subsection (f) because these impossible administrative burden by or potential criminal, civil, or systems are exempt from the access and
VerDate 11
amendment provisions of subsection concerning malpractice payment Also, currently the regulations provide (d), pursuant to subsection (k)(2) of the reporting and clinical privileges actions that the peer review bodies are to be Privacy Act. reporting by stating that reporting may appointed by facility directors. We not be the subject of negotiated propose to change the delegation of § 1202.94 What NARA systems of records are exempt from release under the settlements and that independent authority for making the determinations Investigatory Information Material contractors acting on behalf of the of whether payment was made for the exemption of the Privacy Act? Department of Veterans Affairs (VA) are benefit of a practitioner by delegating (a) The General Law Files (NARA–18) subject to the NPDB reporting this function to malpractice payment and the Personnel Security Case Files provisions. These amendments appear review panels appointed by the Director (NARA–24) systems of records are to be necessary to make the reporting of Medical-Legal Affairs. We believe eligible for exemption under 5 U.S.C. process more efficient and fair and to that this will be a more efficient process 552a(k)(5) because these contain ensure that reporting is accomplished in and help ensure independent investigatory material compiled solely accordance with the statutory decisionmaking. We propose that this for the purpose of determining framework. new process be used in all cases for suitability, eligibility, or qualifications DATES: Comments must be received on which a panel is appointed on or after for federal employment or access to or before August 6, 2001. the effective date of the final rule. The current regulations further classified information. The only ADDRESSES: Mail or hand-deliver information exempt under this provide for reporting to the NPDB if it written comments to: Director, Office of is determined that payment was made provision is that which would disclose Regulations Management (02D), the identity of a confidential source for the benefit of a practitioner. We Department of Veterans Affairs, 810 propose to delegate this reporting described in 5 U.S.C. 552a(k)(2). Vermont Ave., NW., Room 1154, (b) The systems of records described authority to the Director of the facility Washington, DC 20420; or fax comments in which the acts or omissions occurred in paragraph (a) of this section are to (202) 273–9289; or e-mail comments exempt from 5 U.S.C. 552a(d)(1). and the Chief Patient Care Services to [email protected]. Officer. These are the appropriate Exemption from the particular Comments should indicate that they are subsection is justified as access to reporting officials within VA. Further, submitted in response to ‘‘RIN: 2900– to help ensure that the reported records in the system would reveal the AJ76.’’ All written comments received identity(ies) of the source(s) of practitioner is aware of the reporting, will be available for public inspection at the reporting official would be required information collected in the course of a the above address in the Office of background investigation. to send a copy of the report to the Regulations Management, Room 1158, reported practitioner. Dated: May 29, 2001. between the hours of 8 a.m. and 4:30 For malpractice payment John W. Carlin, p.m., Monday through Friday (except determinations, the current regulations holidays). Archivist of the United States. provide for review of documents [FR Doc. 01–14077 Filed 6–4–01; 8:45 am] FOR FURTHER INFORMATION CONTACT: pertinent to the claim, including, to the BILLING CODE 7515–01–P Kathryn W. Enchelmayer, Director, extent practicable, information collected Credentialing and Privileging, Office of directly from the individual for whose Quality and Performance (10Q), VHA, benefit payment was made. The DEPARTMENT OF VETERANS Department of Veterans Affairs, 810 regulations also provide that individuals AFFAIRS Vermont Avenue, NW., Washington, DC under consideration for malpractice 20420; (301) 443–9901 (This is not a payment reporting are to be given an 38 CFR Part 46 toll-free number). opportunity for discussion with the RIN 2900–AJ76 SUPPLEMENTARY INFORMATION: This facility director and any other document proposes to amend our individual designated by the facility Policy Regarding Participation in regulations set forth in 38 CFR Part 46 director before a reporting National Practitioner Data Bank concerning the reporting of physicians, determination is made. We propose to AGENCY: Department of Veterans Affairs. dentists, and other health care eliminate the discussion provisions and otherwise change these procedures as ACTION: Proposed rule. practitioners to the NPDB. These regulations concern malpractice follows: SUMMARY: We propose to amend our payment reporting and clinical • Written notice shall be provided to regulations regarding reporting of health privileges actions reporting. the practitioner whose actions are under care practitioners to the National With respect to malpractice payment review stating that VA is considering Practitioner Data Bank (NPDB). We reporting, the regulations currently whether to report the practitioner to the propose to amend the reporting provide that VA will file a report with NPDB because of a specified provisions concerning malpractice the NPDB regarding any payment for the malpractice payment made, and payment reporting by delegating the benefit of a physician, dentist, or other providing the practitioner with the underlying decision-making to health care practitioner which was opportunity to submit a written malpractice payment review panels; by made as the result of a settlement or statement concerning the care that led to delegating the actual reporting authority judgment of a claim of medical the claim within 30 days of receipt of to facility directors and the Chief Patient malpractice. The regulations also state the notice. The written notice shall be Care Services Officer; by establishing that the report will identify the hand-delivered to the practitioner new procedures for obtaining practitioner for whose benefit the whose actions are under review or sent information from affected health care payment is made. Currently, the return-receipt requested to the last practitioners and others; and by regulations provide for facility directors known address of such practitioner. establishing medical reporting criteria to file a report when they affirm a • Prior to making a determination, the for licensed trainees and supervisory recommendation from a peer review malpractice payment review panel will health care professionals. We also body regarding whether payment was review documents pertinent to the care propose to amend the regulations made for the benefit of a practitioner. that led to the claim. This may include
VerDate 11
information prepared in response to a legal proceedings, or any other collection of information is set forth in request from the panel. negotiated settlement. Also, we propose proposed 38 CFR 46.3(c). Accordingly, We believe these procedures provide to note that independent contractors are under section 3507(d) of the Act, VA for more efficient and timely reporting subject to NPDB reporting under the has submitted a copy of this rulemaking while preserving the practitioner’s right regulations. We believe these provisions action to the Office of Management and to fair and impartial consideration of his are consistent with the statutory Budget (OMB) for its review of the or her actions. framework for establishing NPDB proposed collection of information. With respect to malpractice payment reporting (42 U.S.C. 11101–11157). OMB assigns a control number for reporting, we also propose to establish Further, this policy will help ensure each collection of information it special reporting criteria for licensed that NPDB reporting occurs when approves. VA may not conduct or trainees and for health care warranted. sponsor, and a person is not required to professionals who supervise trainees. The provisions of § 46.4 set forth a respond to, a collection of information We propose that actions of a licensed mechanism for reporting based on unless it displays a currently valid OMB trainee acting within the scope of his or actions regarding clinical privileges. control number. her training program that otherwise The current provisions inadvertently Comments on the proposed collection would warrant reporting for indicated that the original report and a of information should be submitted to substandard care, professional copy would be filed with the State the Office of Management and Budget, incompetence, or professional Licensing Board in the State in which Attention: Desk Officer for the misconduct will be reported only if the the facility is located, and a copy filed Department of Veterans Affairs, Office panel, by at least a majority, concludes with the State Licensing Board in the of Information and Regulatory Affairs, that such actions constitute gross State(s) in which the practitioner is Washington, DC 20503, with copies negligence or willful professional licensed. However, this would be mailed or hand-delivered to: Director, misconduct. Also, we propose to report corrected to state that the report will be Office of Regulations Management a physician, dentist, or other health care filed with the National Practitioner Data (02D), Department of Veterans Affairs, practitioner in their supervisory Bank, with a copy to the State Licensing 810 Vermont Avenue, N.W., Room 1154, capacity, if the panel concludes, by at Board in the State(s) in which the Washington, DC 20420. Comments least a majority, that the health care practitioner is licensed and in which the should indicate that they are submitted practitioner was acting in a supervisory facility is located. in response to ‘‘RIN 2900–AJ76.’’ capacity when the event occurred; that The current regulations at § 46.4(a)(2) Title: Submission of Evidence. the payment was related to substandard provide that one basis for reporting to Summary of collection of information: care, professional incompetence, or the NPDB is the acceptance of the Under proposed § 46.3(c), written notice professional misconduct of the trainee surrender of clinical privileges or any shall be provided to the practitioner and not the supervisor; and that the restriction of such privileges by a whose actions are under review stating trainee did not commit gross negligence physician or dentist either while under that VA is considering whether to report or willful misconduct. Such report investigation by the health care entity the practitioner to the NPDB because of would note that the physician, dentist, relating to possible incompetence or a specified malpractice payment made, or other health care practitioner is being improper professional conduct, or in and provide the practitioner with the reported in a supervisory capacity. return for not conducting such an opportunity within 30 days of receipt to These provisions are intended to ensure investigation or proceeding. We propose submit a written statement concerning that reporting reflects responsibility for to specify that the acceptance of the the care which led to the malpractice actions. surrender of clinical privileges would payment. The peer review panel would With respect to malpractice payment include the surrender of clinical also request written information as reporting, the regulations currently state privileges inherent in resignation or needed. that it is intended that malpractice retirement. We believe that the need for Description of need for information reports be filed within 30 days of the reporting would be the same regardless and proposed use of information: This date payment is made. However, the of how an individual surrendered these information would be needed for the regulations acknowledge that VA may clinical privileges. Also, to advise malpractice payment review panels to not be able to report within 30 days if affected individuals of the reporting determine whether an affected health VA is not notified of such payments under § 46.4(a)(2) and to advise them care professional should be reported to within sufficient time to report within that copies will be sent to State the NPDB. the 30-day period. We propose to add an Licensing Boards, we propose to require Description of likely respondents: additional example specifically that, as soon as practicable following the Health care professionals who are under acknowledging that the 30-day period determination to report, VA shall consideration for reporting to the NPDB would not be met if the malpractice provide written notice to the and any other individual involved in payment review process were delayed. practitioner that a report shall be filed the care, which led to a claim resulting The examples are designed to ensure with the National Practitioner Data Bank in a malpractice payment. that VA officials understand that with a copy to the State Licensing Board Estimated number of respondents: reporting must still occur even if there in each State in which the practitioner 350 per year. is a valid reason for not reporting within is licensed and in the State in which the Estimated frequency of responses: 1 the 30-day period. facility is located. per year. In addition, we propose to add We also propose to make Estimated average burden per provisions regarding both malpractice nonsubstantive changes for purposes of collection: 5 hours. payment reporting and clinical clarity, including adding legal Estimated total annual reporting and privileges actions reporting. We propose definitions of ‘‘gross negligence’’ and recordkeeping burden: 1750 hours. to add provisions stating that NPDB ‘‘willful professional misconduct.’’ The Department considers comments reporting, including copies to State by the public on proposed collections of Licensing Boards, may not be the Paperwork Reduction Act of 1995 information in— subject of any negotiation in any Under the Paperwork Reduction Act • Evaluating whether the proposed settlement agreement, employee action, of 1995 (44 U.S.C. 3501–3520), a collections of information are necessary
VerDate 11
for the proper performance of the PART 46—POLICY REGARDING otherwise authorized by a State to functions of the Department, including PARTICIPATION IN NATIONAL provide health care services. whether the information will have PRACTITIONER DATA BANK (i) Physician means a doctor of practical utility; medicine or osteopathy authorized to Subpart A—General Provisions • Evaluating the accuracy of the practice medicine or surgery by a State Department’s estimate of the burden of Sec. (or any individual who holds himself or the proposed collections of information, 46.1 Definitions. herself out to be so authorized). 46.2 Purpose. including the validity of the (j) Professional review action means a methodology and assumptions used; Subpart B—National Practitioner Data Bank recommendation by a professional Reporting • Enhancing the quality, usefulness, review panel (with at least a majority and clarity of the information to be 46.3 Malpractice payment reporting. vote) to affect adversely the clinical collected; and 46.4 Clinical privileges actions reporting. privileges of a physician or dentist taken as a result of a professional review • Minimizing the burden of the Subpart C—National Practitioner Data Bank Inquiries activity based on the competence or collections of information on those who professional conduct of an individual are to respond, including through the 46.5 National Practitioner Data Bank inquiries. physician or dentist in cases in which use of appropriate automated, such conduct affects or could affect electronic, mechanical, or other Subpart D—Miscellaneous adversely the health or welfare of a technological collection techniques or 46.6 Medical quality assurance records patient, or patients. An action is not other forms of information technology, confidentiality. considered to be based on the e.g., permitting electronic submission of 46.7 Prohibitions concerning negotiations. competence or professional conduct of a responses. 46.8 Independent contractors. physician or dentist, if the action is OMB is required to make a decision Authority: 38 U.S.C. 501; 42 U.S.C. 11101– primarily based on: concerning the collection of information 11152 (1) A physician’s or dentist’s contained in this proposed rule between Subpart A—General Provisions association with, administrative 30 and 60 days after publication of this supervision of, delegation of authority document in the Federal Register. § 46.1 Definitions. to, support for, or training of, a member Therefore, a comment to OMB is best (a) Act means The Health Care Quality or members of a particular class of assured of having its full effect if OMB Improvement Act of 1986, as amended health care practitioner or professional, receives it within 30 days of (42 U.S.C. 11101–11152). or publication. This does not affect the (b) Claim of medical malpractice (2) Any other matter that does not deadline for the public to comment on means a written claim or demand for relate to the competence or professional the proposed regulations. payment based on an act or omission of conduct of a physician or dentist in his/ Executive Order 12866 a physician, dentist, or other health care her practice at a Department of Veterans practitioner in furnishing (or failing to Affairs health care facility. This document has been reviewed by furnish) health care services, and (k) Professional review activity means the Office of Management and Budget includes the filing of a complaint or an activity with respect to an individual under Executive Order 12866. administrative tort claim under the physician or dentist to establish a Regulatory Flexibility Act Federal Tort Claims Act, 28 U.S.C. recommendation regarding: 1346(b), 2671–2680. (1) Whether the physician or dentist The Secretary hereby certifies that the (c) Clinical privileges means may have clinical privileges with adoption of this proposed rule would privileges granted by a health care entity respect to the medical staff of the not have a significant economic impact to individuals to furnish health care. facility; on a substantial number of small entities (d) Dentist means a doctor of dental (2) The scope or conditions of such as they are defined in the Regulatory surgery or dental medicine legally privileges or appointment; or Flexibility Act, 5 U.S.C. 601–612. This authorized to practice dental surgery or (3) Change or modification of such rulemaking proceeding affects only dentistry by a State (or any individual privileges. individuals. Accordingly, pursuant to 5 who holds himself or herself out to be U.S.C. 605(b), this proposed rule is so authorized). (l) State means the fifty States, the exempt from the initial and final (e) Director means the duly appointed District of Columbia, Puerto Rico, the regulatory flexibility analyses director of a Department of Veterans Virgin Islands, Guam, American Samoa, requirements of §§ 603 and 604. Affairs health care facility or any the Northern Mariana Islands, and any individual with authorization to act for other territories or possessions of the The Catalog of Federal Domestic Assistance United States. numbers for the programs affected by this that person in the director’s absence. document are 64.005, 64.007, 64.008, 64,009, (f) Gross negligence is materially (m) State Licensing Board means, 64.010, 64.011, 64.012, 64.013, 64.014, worse than substandard care, and with respect to a physician, dentist, or 64.015, 64.016, 64.018, 64.019, 64.022, 640– consists of an entire absence of care, or other health care practitioner in a State, 024, and 64.025. an absence of even slight care or the agency of the State, which is primarily responsible for the licensing List of Subjects in 38 CFR Part 46 diligence; it implies a thoughtless disregard of consequences or of the physician, dentist, or practitioner Health professions. indifference to the rights of others. to furnish health care services. (n) Willful professional misconduct Approved: February 28, 2001. (g) Health care facility means a hospital, domiciliary, outpatient clinic, means worse than mere substandard Anthony J. Principi, or any other entity that provides health care, and contemplates the intentional Secretary of Veterans Affairs. care services. doing of something with knowledge that For the reasons set forth in the (h) Other health care practitioner it is likely to result in serious injuries preamble, 38 CFR part 46 is proposed to means an individual other than a or in reckless disregard of its probable be revised as follows: physician or dentist who is licensed or consequences.
VerDate 11
§ 46.2 Purpose. (vi) Name of each professional school patient whose care led to the claim, any The National Practitioner Data Bank, attended and year of graduation; report of an administrative investigation authorized by the Act and administered (vii) For each professional license: the board appointed to investigate the care, by the Department of Health and Human license number, the field of licensure, and the opinion of any consultant Services, was established for the and the State in which the license is which the panel may request in its purpose of collecting and releasing held; discretion. These documents do not certain information concerning (viii) Drug Enforcement include those generated primarily for physicians, dentists, and other health Administration registration number, if consideration or litigation of the claim care practitioners. The Act mandates applicable and known; of malpractice. In addition, to the extent that the Department of Health and (ix) Name of each health care entity practicable, the documents shall include Human Services seek to enter into a with which affiliated, if known. written statements of the individual(s) Memorandum of Understanding with (2) With respect to the reporting VA involved in the care which led to the the Department of Veterans Affairs (VA) entity— claim. The practitioner(s) whose actions for the purpose of having VA participate (i) Name and address of the reporting are under review will receive a written in the National Practitioner Data Bank. entity; notice, hand-delivered or sent to the Such a Memorandum of Understanding (ii) Name, title and telephone number practitioner’s last known address (return has been established. Pursuant to the of the responsible official submitting the receipt requested). That notice will Memorandum of Understanding, VA report on behalf of the Federal indicate that VA is considering whether will obtain information from the Data government; and to report the practitioner to the National Bank concerning physicians, dentists, (iii) Relationship of the entity to the Practitioner Data Bank because of a and other health care practitioners who physician, dentist, or other health care specified malpractice payment made, provide or seek to provide health care practitioner being reported. and provide the practitioner the services at VA facilities and also report (3) With respect to the judgment or opportunity, within 30 days of receipt, information regarding malpractice settlement resulting in the payment— to submit a written statement (i) Where an action or claim has been payments and adverse clinical concerning the care that led to the filed with an adjudicative body, privileges actions to the Data Bank. This claim. Inability to notify or non- identification of the adjudicative body part essentially restates or interprets response from the identified and the case number; provisions of that Memorandum of practitioner(s) will not preclude (ii) Date or dates on which the act(s) Understanding and constitutes the completion of the review and reporting or omission(s), which gave rise to the policy of VA for participation in the process. The panel, at its discretion, action or claim occurred; may request additional information National Practitioner Data Bank. (iii) Date of judgment or settlement; (iv) Amount paid, date of payment, from the practitioner or the VA facility Subpart B—National Practitioner Data where the incident occurred. Bank Reporting and whether payment is for a judgment or a settlement; (c) Attending staff (including contract § 46.3 Malpractice payment reporting. (v) Description and amount of employees, such as scarce medical (a) VA will file a report with the judgment or settlement and any specialists providing care pursuant to a National Practitioner Data Bank, in conditions attached thereto, including contract under 38 U.S.C. 7409) are accordance with regulations at 45 CFR terms of payment; responsible for actions of licensed part 60, subpart B, as applicable, (vi) A description of the acts or trainees assigned under their regarding any payment for the benefit of omissions and injuries or illnesses upon supervision. Notwithstanding the a physician, dentist, or other licensed which the action or claim was based; provisions of paragraph (b) of this health care practitioner which was and section, actions of a licensed trainee made as the result of a settlement or (vii) Classification of the acts or (intern or resident) acting within the judgment of a claim of medical omissions in accordance with a scope of his or her training program that malpractice. The report will identify the reporting code adopted by the Secretary otherwise would warrant reporting for physician, dentist, or other licensed of Health and Human Services. substandard care, professional health care practitioner for whose (b) Payment will be considered to incompetence, or professional benefit the payment is made. It is have been made for the benefit of a misconduct under the provisions of intended that the report be filed within physician, dentist, or other licensed paragraph (b) of this section, will be 30 days of the date payment is made. health care practitioner only if (at least reported only if the panel, by at least a This may not be possible in all cases; a majority of) a malpractice payment majority, concludes that such actions e.g., sometimes notification of payment review panel concludes that payment constitute gross negligence or willful is delayed, and sometimes the was related to substandard care, professional misconduct. For purposes malpractice payment review process professional incompetence, or of paragraph (b) of this section, payment cannot be completed within the professional misconduct on the part of will be considered to be made for the timeframe. The report will provide the the physician, dentist, or other licensed benefit of a physician, dentist, or other following information: health care practitioner. For purposes of health care practitioner, in their (1) With respect to the physician, this part, a panel shall have a minimum supervisory capacity, if the panel dentist, or other licensed health care of three individuals appointed by the concludes, by at least a majority, that practitioner for whose benefit the Director, Medical-Legal Affairs the physician, dentist or other health payment is made— (including at least one member of the care practitioner was acting in a (i) Name; profession/occupation of the supervisory capacity; that the payment (ii) Work address; practitioner(s) whose actions are under was related to substandard care, (iii) Home address, if known; review). The conclusions of the panel professional incompetence, or (iv) Social Security number, if known, shall, at a minimum, be based on review professional misconduct of the trainee and if obtained in accordance with of documents pertinent to the care that and not the supervisor; and that the section 7 of the Privacy Act of 1974; led to the claim. These documents trainee did not commit gross negligence (v) Date of birth; include the medical records of the or willful professional misconduct.
VerDate 11
Such report will note that the physician, (vi) Name of each professional school (c) At other times pursuant to VA dentist, or other health care practitioner attended and year of graduation; policy and needs and consistent with is being reported in a supervisory (vii) For each professional license: the the Act and Department of Health and capacity. license number, the field of licensure, Human Services Regulations (45 CFR Note to paragraph (c): Licensed trainees and the name of the State in which the part 60). acting outside the scope of their training license is held; program (e.g. acting as admitting officer of (viii) Drug Enforcement Subpart D—Miscellaneous the day) will be reported under the Administration registration number, if § 46.6 Medical quality assurance records provisions of paragraph (b) of this section. applicable and known; confidentiality. (d) The Director of the facility at (ix) A description of the acts or Note that medical quality assurance which the claim arose has the primary omissions or other reasons for privilege records that are confidential and responsibility for submitting the report loss, or, if known, for surrender; and privileged under the provisions of 38 to the National Practitioner Data Bank (x) Action taken, date action was U.S.C. 5705 may not be used as and for providing a copy to the made final, length of action and evidence for reporting individuals to the practitioner, to the State Licensing effective date of the action. National Practitioner Data Bank. (2) With respect to the VA facility— Board in each State where the (i) Name and address of the reporting § 46.7 Prohibitions concerning practitioner holds a license, and to the facility; and negotiations. State Licensing Board in which the (ii) Name, title, and telephone number facility is located. However, the Chief Reporting under this part (including of the responsible official submitting the Patient Care Services Officer is also the submission of copies) may not be report. the subject of negotiation in any authorized to submit the report to the (c) A copy of the report referred to in settlement agreement, employee action, National Practitioner Data Bank and paragraph (a) of this section will also be legal proceedings, or any other provide copies to the practitioner and filed with the State Licensing Board in negotiated settlement. State Licensing Boards in cases where the State(s) in which the practitioner is the Chief Patient Care Services Officer licensed and in which the facility is § 46.8 Independent contractors. deems it appropriate to do so. located. It is intended that the report be Independent contractors acting on § 46.4 Clinical privileges actions reporting. filed within 15 days of the date the behalf of the Department of Veterans Affairs are subject to the National (a) VA will file an adverse action action is made final, that is, subsequent to any internal (to the facility) appeal. Practitioner Data Bank reporting report with the National Practitioner provisions of this part. In the following Data Bank in accordance with (d) As soon as practicable after it is determined that a report shall be filed circumstances, VA will provide the regulations at 45 CFR part 60, subpart B, contractor with notice that a report of a as applicable, regarding any of the with the National Practitioner Data Bank and State Licensing Boards under clinical privileges action will be filed following actions: with the National Practitioner Data Bank (1) An action of a Director after paragraphs (a)(2) and (c) of this section, VA shall provide written notice to the with a copy with the State Licensing consideration of a professional review Board in the State(s) in which the action that, for a period longer than 30 practitioner that a report will be filed with the National Practitioner Data Bank contractor is licensed and in which the days, adversely affects (by reducing, facility is located: where VA terminates restricting, suspending, revoking, or with a copy to the State Licensing Board in each State in which the practitioner a contract for possible incompetence or failing to renew) the clinical privileges improper professional conduct, thereby of a physician or dentist relating to is licensed and in the State in which the facility is located. automatically revoking the contractor’s possible incompetence or improper clinical privileges, or where the professional conduct. Subpart C—National Practitioner Data contractor terminates the contract, (2) Acceptance of the surrender of Bank Inquiries thereby surrendering clinical privileges, clinical privileges, including the either while under investigation relating surrender of clinical privileges inherent § 46.5 National Practitioner Data Bank to possible incompetence or improper inquiries. in resignation or retirement, or any professional conduct or in return for not restriction of such privileges by a VA will request information from the conducting such an investigation or physician or dentist either while under National Practitioner Data Bank, in proceeding. investigation by the health care entity accordance with the regulations relating to possible incompetence or published at 45 CFR part 60, subpart C, (Authority: 38 U.S.C. 5705) improper professional conduct, or in as applicable, concerning a physician, [FR Doc. 01–13989 Filed 6–4–01; 8:45 am] return for not conducting such an dentist, or other licensed health care BILLING CODE 8320–01–P investigation or proceeding whether or practitioner as follows: not the individual remains in VA (a) At the time a physician, dentist, or service. other health care practitioner applies for ENVIRONMENTAL PROTECTION (b) The report specified in paragraph a position at VA Central Office, any of AGENCY (a) of this section will provide the its regional offices, or on the medical following information— staff, or for clinical privileges at a VA 40 CFR Part 52 (1) With respect to the physician or hospital or other health care entity [CA 242–0281; FRL–6990–8] dentist: operated under the auspice of VA; (i) Name; (b) No less often than every 2 years Revisions to the California State (ii) Work address; concerning any physician, dentist, or Implementation Plan, Imperial County (iii) Home address, if known; other health care practitioner who is on Air Pollution Control District (iv) Social Security number, if known the medical staff or who has clinical AGENCY: Environmental Protection (and if obtained in accordance with privileges at a VA hospital or other Agency (EPA). section 7 of the Privacy Act of 1974); health care entity operated under the ACTION: Proposed rule. (v) Date of birth; auspice of VA; and
VerDate 11
SUMMARY: EPA is proposing a limited You can inspect copies of the Table of Contents approval and limited disapproval of a submitted SIP revision and EPA’s I. The State’s Submittal revision to the Imperial County Air technical support document (TSD) at A. What rule did the State submit? Pollution Control District (ICAPCD) our Region IX office during normal B. Are there other versions of this rule? portion of the California State business hours. You may also see copies C. What is the purpose of the submitted Implementation Plan (SIP). This of the submitted SIP revision at the rule revision? revision concerns the control of following locations: II. EPA’s Evaluation and Action. A. How is EPA evaluating the rule? emissions from sulfur compounds. We California Air Resources Board, B. Does the rule meet the evaluation are proposing action on a local rule that Stationary Source Division, Rule criteria? regulates these emissions under the Evaluation Section, 1001 ‘‘I’’ Street, C. What are the rule deficiencies? Clean Air Act as amended in 1990 (CAA Sacramento, CA 95814. D. Proposed action and public comment. III. Background information. or the Act). We are taking comments on Imperial County Air Pollution Control this proposal and plan to follow with a A. Why was this rule submitted? District, 150 South 9th Street, El IV. Administrative Requirements final action. Centro, CA 92243–2801. I. The State’s Submittal DATES: Any comments must arrive by FOR FURTHER INFORMATION CONTACT: July 5, 2001. Christine Vineyard, Rulemaking Office A. What Rule Did the State Submit? ADDRESSES: Mail comments to Andy (AIR–4), U.S. Environmental Protection Table 1 lists the rule addressed by this Steckel, Rulemaking Office Chief (AIR– Agency, Region IX, (415) 744–1197. proposal with the date that it was 4), U.S. Environmental Protection SUPPLEMENTARY INFORMATION: adopted by the local air agency and Agency, Region IX, 75 Hawthorne Throughout this document, ‘‘we,’’ ‘‘us’’ submitted by the California Air Street, San Francisco, CA 94105–3901. and ‘‘our’’ refer to EPA. Resources Board (CARB).
TABLE 1.—SUBMITTED RULE
Local agency Rule No. Rule title Adopted Submitted
CAPCD ...... 405 Sulfur Compounds Emission Standards, Lim- 09/14/99 05/26/00 itations.
On October 6, 2000, this rule less than emissions associated with the test methods. This rule is largely submittal was found to meet the use of complying fuel. consistent with the relevant policy and completeness criteria in 40 CFR Part 51 • Several test methods are included guidance regarding enforceability. One Appendix V, which must be met before to determine compliance. The TSD has deficiency that does not meet the formal EPA review. more information about this rule. evaluation criteria summarized below and discussed further in the TSD. B. Are There Other Versions of This II. EPA’s Evaluation and Action Rule? C. What Is the Rule Deficiency? A. How Is EPA Evaluating the Rule? EPA approved a version of Rule 405 This rule lacks recordkeeping Generally, SIP rules for SO2 must be into the SIP on August 11, 1978. enforceable (see section 110(a) of the requirements for sources subject to the C. What Is the Purpose of the Submitted Act) and must not relax existing rule and prevents full approval of the Rule Revision? requirements (see sections 110(l) and SIP revision. 193). ICAPCD is listed as being ICAPCD Rule 405 includes the D. Proposed Action and Public attainment for the national ambient air Comment following significant changes from the quality standards (see 40 CFR 81) for current SIP: sulfur dioxide (SO ). Therefore, for As authorized in sections 110(k)(3) • 2 The effluent process gas from sulfur purposes of controlling SO2, Rule 405 and 301(a) of the Act, EPA is proposing recovery units, sulfuric acid units, and needs only to comply with the general a limited approval of the submitted rule fuel burning equipment shall not exceed provisions of Section 110 of the Act. to improve the SIP. If finalized, this 500 ppm by volume of sulfur Guidance and policy documents that action would incorporate the submitted compounds calculated as sulfur dioxide; we used to define specific enforceability rule into the SIP, including the or 200 lbs. per hour of sulfur requirements include the following: identified deficiency. This approval is compounds calculated as sulfur dioxide. 1. ‘‘Issues Relating to VOC Regulation limited because EPA is simultaneously Additionally, sulfur recovery units shall Cutpoints, Deficiencies, and Deviations; proposing a limited disapproval of the not discharge more than 10 ppm by Clarification to Appendix D of rule under section 110(k)(3). If this volume of hydrogen sulfide. November 24, 1987 Federal Register disapproval is finalized, sanctions will • A person shall not burn any gaseous Notice,’’ (Blue Book), notice of be not be imposed under section 179 fuel containing sulfur compounds in availability published in the May 25, because this an attainment area and not excess of 50 grains per 100 cubic feet of 1988 Federal Register. a required submittal. Note that the gaseous fuel, calculated as hydrogen 2. ‘‘SO2 Guideline Document,’’ EPA– submitted rule has been adopted by the sulfide at standard conditions; or a 452/R–94–008. ICAPCD, and EPA’s final limited sulfur content in excess of 0.5 percent disapproval would not prevent the local by weight. B. Does the Rule Meet the Evaluation agency from enforcing it. • The use of non-complying fuel may Criteria? We will accept comments from the be allowed with approval where process This rule improves the SIP by public on the proposed limited approval conditions or control equipment will establishing requirements for sulfur and limited disapproval for the next 30 reduce emissions at a level equal to or emissions and listing the appropriate days.
VerDate 11
III. Background Information costs incurred by State and local rule subject to notice and comment governments, or EPA consults with rulemaking requirements unless the A. Why Was This Rule Submitted? State and local officials early in the agency certifies that the rule will not Sulfur dioxide is formed by the process of developing the proposed have a significant economic impact on combustion of fuels containing sulfur regulation. EPA also may not issue a a substantial number of small entities. compounds and causes harm to human regulation that has federalism Small entities include small businesses, health and the environment. This rule is implications and that preempts State small not-for-profit enterprises, and designed to reduce SO2 emissions. law unless the Agency consults with small governmental jurisdictions. IV. Administrative Requirements State and local officials early in the This proposed rule will not have a process of developing the proposed significant impact on a substantial A. Executive Order 12866 regulation. number of small entities because SIP The Office of Management and Budget This proposed rule will not have approvals under section 110 and (OMB) has exempted this regulatory substantial direct effects on the States, subchapter I, part D of the Clean Air Act action from Executive Order (E.O.) on the relationship between the national do not create any new requirements but 12866, Regulatory Planning and Review. government and the States, or on the simply act on requirements that the distribution of power and B. Executive Order 13045 State is already imposing. Therefore, responsibilities among the various because the Federal SIP approval does Executive Order 13045, entitled levels of government, as specified in not create any new requirements, I Protection of Children from Executive Order 13132, because it certify that this action will not have a Environmental Health Risks and Safety merely acts on a state rule implementing significant economic impact on a Risks (62 FR 19885, April 23, 1997), a federal standard, and does not alter substantial number of small entities. applies to any rule that: (1) is the relationship or the distribution of EPA’s proposed disapproval of the determined to be ‘‘economically power and responsibilities established state request under section 110 and in the Clean Air Act. Thus, the significant’’ as defined under Equal subchapter I, part D of the Clean Air Act requirements of section 6 of the Opportunity 12866, and (2) concerns an does not affect any existing Executive Order do not apply to this environmental health or safety risk that requirements applicable to small proposed rule. EPA has reason to believe may have a entities. Any pre-existing federal disproportionate effect on children. If D. Executive Order 13175 requirements remain in place after this the regulatory action meets both criteria, disapproval. Federal disapproval of the the Agency must evaluate the Executive Order 13175, entitled state submittal does not affect state environmental health or safety effects of ‘‘Consultation and Coordination with enforceability. Moreover, EPA’s the planned rule on children, and Indian Tribal Governments’’ (65 FR disapproval of the submittal does not explain why the planned regulation is 67249, November 6, 2000), requires EPA impose any new Federal requirements. preferable to other potentially effective to develop an accountable process to Therefore, I certify that this action will and reasonably feasible alternatives ensure ‘‘meaningful and timely input by not have a significant economic impact considered by the Agency. tribal officials in the development of This rule is not subject to Equal regulatory policies that have tribal on a substantial number of small Opportunity 13045 because it does not implications.’’ ‘‘Policies that have tribal entities. involve decisions intended to mitigate implications’’ is defined in the Moreover, due to the nature of the environmental health or safety risks. Executive Order to include regulations Federal-State relationship under the that have ‘‘substantial direct effects on Clean Air Act, preparation of flexibility C. Executive Order 13132 one or more Indian tribes, on the analysis would constitute Federal Executive Order 13132, entitled relationship between the Federal inquiry into the economic Federalism (64 FR 43255, August 10, government and the Indian tribes, or on reasonableness of state action. The 1999) revokes and replaces Executive the distribution of power and Clean Air Act forbids EPA to base its Orders 12612, Federalism and 12875, responsibilities between the Federal actions concerning SIPs on such Enhancing the Intergovernmental government and Indian tribes.’’ grounds. Union Electric Co., v. U.S. Partnership. Equal Opportunity 13132 This proposed rule does not have EPA, 427 U.S. 246, 255–66 (1976); 42 requires EPA to develop an accountable tribal implications. It will not have U.S.C. 7410(a)(2). process to ensure ‘‘meaningful and substantial direct effects on tribal D. Unfunded Mandates timely input by State and local officials governments, on the relationship in the development of regulatory between the Federal government and Under section 202 of the Unfunded policies that have federalism Indian tribes, or on the distribution of Mandates Reform Act of 1995 implications.’’ ‘‘Policies that have power and responsibilities between the (‘‘Unfunded Mandates Act’’), signed federalism implications’’ is defined in Federal government and Indian tribes, into law on March 22, 1995, EPA must the Executive Order to include as specified in Executive Order 13175. prepare a budgetary impact statement to regulations that have ‘‘substantial direct Thus, Executive Order 13175 does not accompany any proposed or final rule effects on the States, on the relationship apply to this rule. In the spirit of that includes a Federal mandate that between the national government and Executive Order 13175, and consistent may result in estimated costs to State, the States, or on the distribution of with EPA policy to promote local, or tribal governments in the power and responsibilities among the communications between EPA and aggregate; or to private sector, of $100 various levels of government.’’ Under tribal governments, EPA specifically million or more. Under section 205, Equal Opportunity 13132, EPA may not solicits additional comment on this EPA must select the most cost-effective issue a regulation that has federalism proposed rule from tribal officials. and least burdensome alternative that implications, that imposes substantial achieves the objectives of the rule and direct compliance costs, and that is not E. Regulatory Flexibility Act is consistent with statutory required by statute, unless the Federal The Regulatory Flexibility Act (RFA) requirements. Section 203 requires EPA government provides the funds generally requires an agency to conduct to establish a plan for informing and necessary to pay the direct compliance a regulatory flexibility analysis of any advising any small governments that
VerDate 11
may be significantly or uniquely SUMMARY: We, the U.S. Fish and finding, while we determined that the impacted by the rule. Wildlife Service (Service), in listing of the yellow-billed cuckoo may EPA has determined that the conjunction with the United States be warranted, the taxonomy of the proposed action does not include a Geological Service (USGS), announce species is unclear. Federal mandate that may result in the availability of a genetics study To clarify the validity and range of a estimated costs of $100 million or more entitled the ‘‘Taxonomic and western subspecies, the Service and to either State, local, or tribal Evolutionary Significant Unit (ESU) USGS solicited proposals for a genetic governments in the aggregate, or to the Status of Western Yellow-billed analysis throughout the species private sector. This proposed Federal Cuckoos (Coccyzus americanus).’’ This breeding range in the United States and action acts on pre-existing requirements study, contracted by both agencies, was Mexico. We selected and funded a under State or local law, and imposes prepared by Dr. Robert Fleischer of the proposal submitted by Dr. Robert no new requirements. Accordingly, no National Zoological Park, Smithsonian Fleischer of the Smithsonian Institution additional costs to State, local, or tribal Institute, Washington DC. from a total of five proposals. We governments, or to the private sector, We are also providing notice of the received the final genetics study result from this action. reopening of the comment period for the prepared by Dr. Fleischer on April 24, 12-month finding on a petition to list 2001. E. National Technology Transfer and this species as endangered to allow all Advancement Act interested parties to comment Public Comments Solicited Section 12 of the National Technology simultaneously on the 90-day petition We will accept written comments and Transfer and Advancement Act and study. Comments previously information during this reopened (NTTAA) of 1995 requires Federal submitted need not be resubmitted as comment period. If you wish to agencies to evaluate existing technical they will be incorporated into the public comment, you may submit your standards when developing a new record as part of this reopened comment comments and materials by any of regulation. To comply with NTTAA, period, and will be fully considered in several methods: EPA must consider and use ‘‘voluntary the 12-month petition finding. (1) You may submit written comments consensus standards’’ (VCS) if available DATES: We will accept public comments and information to the Field Supervisor, and applicable when developing until June 20, 2001. Sacramento Fish and Wildlife Office, programs and policies unless doing so ADDRESSES: Persons wishing to review 2800 Cottage Way, Room W–2605, would be inconsistent with applicable the study may receive a copy by Sacramento, California 95825. law or otherwise impractical. contacting the Sacramento Fish and (2) You may send comments by EPA believes that VCS are Wildlife Office, 2800 Cottage Way, electronic mail (e-mail) to: inapplicable to today’s proposed action Room W–2605, Sacramento, California [email protected]. If you submit because it does not require the public to 95825. Written comments and comments by e-mail, please submit perform activities conducive to the use information should be submitted to the them as an ASCII file and avoid the use of VCS. Field Supervisor at the address above. of special characters and any form of List of Subjects in 40 CFR Part 52 For electronic mail address and further encryption. Please also include your instructions on commenting, refer to the name and return address in your e-mail Environmental protection, Air Public Comments Solicited section of message. If you do not receive a pollution control, Intergovernmental this notice. conformation from the system that we relations, Sulfur oxides, Nitrogen FOR FURTHER INFORMATION CONTACT: have received your e-mail message, dioxide, Ozone, Reporting and Dwight Harvey or Stephanie Brady at contact us directly by calling our recordkeeping requirements. the Sacramento Fish and Wildlife Sacramento Fish and Wildlife Office at Authority: 42 U.S.C. 7401 et seq. Office, at the above address (telephone telephone number 916/414–6600. Dated: May 8, 2001. 916/414–6600). (3) You may hand-deliver comments Jane Diamond, SUPPLEMENTARY INFORMATION: to our Sacramento Fish and Wildlife Office at the address given above. Acting Regional Administrator, Region IX. Background Comments and materials received, as [FR Doc. 01–14082 Filed 6–4–01; 8:45 am] On February 17, 2000, we published well as supporting documentation used BILLING CODE 6560–50–U in the Federal Register a 90-day finding in preparation of the 12-month petition on a petition to list the yellow-billed finding to list the yellow-billed cuckoo, cuckoo (Coccyzus americanus) as will be available for inspection, by DEPARTMENT OF THE INTERIOR endangered, pursuant to the Endangered appointment, during normal business Species Act (Act) of 1973, as amended hours at the address listed under (1) Fish and Wildlife Service (16 U.S.C. 1531 et seq.) (65 FR 8104). above. Copies of the study and the 90- We determined that the petition day petition finding are available by 50 CFR Part 17 presented substantial information that writing to the Field Supervisor at the the listing of the yellow-billed cuckoo address under (1) above. Endangered and Threatened Wildlife may be warranted, and initiated a status Author(s) and Plants; Notice of Availability of a review which will result in a 12-month Genetics Study for the Status Review finding at the conclusion of the review. The primary authors of this notice are of the Yellow-billed Cuckoo in the The information presented suggested Stephanie Brady (see ADDRESSES Western United States and Reopening that the yellow-billed cuckoo may be section), and Barbara Behan, U.S. Fish of Comment Period endangered in a significant portion of its and Wildlife Service, Regional Office, AGENCY: Fish and Wildlife Service, range (i.e., the western United States), 911 N.E. 11th Avenue, Portland, Oregon Interior. and that the western United States 97232. represents the range of a valid ACTION: Notice of availability and Authority: The authority for this action is subspecies, termed the western yellow- reopening of comment period. the Endangered Species Act of 1973, as billed cuckoo. In our 90-day petition amended, 16 U.S.C. 1531 et seq..
VerDate 11
Dated: May 30, 2001. the envelope, ‘‘Comments on Black Sea rarely or occasionally landed black sea Alexandra Pitts, Bass Control Date.’’ Comments also may bass during this period. There were 992 Acting Manager, California and Nevada be sent via facsimile (fax) to (302) 674– and 974 Federal black sea bass permit Operations Office. 5399. Comments will not be accepted if holders in 1999 and 2000, respectively. [FR Doc. 01–14052 Filed 6–4–01; 8:45 am] submitted via e-mail or the Internet. Based on dealer reports, 795 and 727 of BILLING CODE 4310–55–P FOR FURTHER INFORMATION CONTACT: these vessels in 1999 and 2000, Jennifer L. Anderson, Fishery respectively, landed black sea bass. Management Specialist, (978) 281–9226, However, 83 percent of the permit DEPARTMENT OF COMMERCE e-mail: [email protected] or holders participating in the black sea Christopher M. Moore, Ph.D., Deputy bass fishery in 1999 accounted for less National Oceanic and Atmospheric Director, Mid-Atlantic Fishery than 9 percent of the black sea bass Administration Management Council, (302) 674–2331. landings. The 1999 fishing year is the SUPPLEMENTARY INFORMATION: The black last full fishing year of complete 50 CFR Part 648 sea bass fishery is a major fishery on the landings information. Atlantic coast that extends from Cape The management measures for black [Docket No. 010515128–1128-01; I.D. Hatteras north to Maine. Regulations 041801C] sea bass implemented under implementing Amendment 9 to the Amendment 9 to the FMP have begun Fisheries of the Northeastern United Summer Flounder, Scup, and Black Sea to rebuild the black sea bass stock. States; Black Sea Bass Fishery Bass Fishery Management Plan (FMP) Although the Council and NMFS are (61 FR 58461, November 16, 1996) concerned that increasing stock AGENCY: National Marine Fisheries control fishing mortality on black sea abundance may stimulate the use of Service (NMFS), National Oceanic and bass through a variety of management unused capacity or effort by permit Atmospheric Administration (NOAA), measures including a commercial quota, holders, there is equal concern that Commerce. a limit on the number of commercial management measures have reduced permits, gear regulations, and minimum ACTION: Advance notice of proposed fishing opportunities and income for rulemaking; notice of a control date for fish size restrictions. commercial fishermen who have The most recent assessment on black the purposes of controlling capacity or historically depended on black sea bass sea bass, completed in June 1998, latent effort in the black sea bass for a major portion of their income. An indicates that black sea bass are over- commercial fishery. activation of latent effort could quickly exploited and at a low biomass level erode the benefits to traditional SUMMARY: NMFS announces that it is (27th Stock Assessment Workshop). operators who have sacrificed income as considering, and is seeking public However, more recent results from the part of the rebuilding program. comment on, a proposed rulemaking to Northeast Fisheries Science Center’s A control date of June 5, 2001 is place additional controls on access to spring survey indicate that the black sea intended to discourage speculative the black sea bass (Centropristis striata) bass biomass has increased in recent activation of previously unused effort or fishery under the Magnuson-Stevens years. In fact, the preliminary biomass capacity in the black sea bass fishery Fishery Conservation and Management index for 2000 is the highest in the time while alternative allocation schemes Act (Magnuson-Stevens Act). This series since 1976. and potential management regimes to announcement is intended , in part, to Commercial landings of black sea control capacity or latent effort are discourage speculative increases in bass, which are harvested in Federal discussed and possibly developed and effort or capacity while the Mid-Atlantic and state waters using a variety of gears, implemented. The control date may be Fishery Management Council (Council) have varied without trend since 1981, used by the Council and NMFS in and NMFS are considering whether and ranging from a low of 2.0 million lb determining historical or traditional how to additionally control access in (907.2 mt) in 1994, to a high of 4.3 million lb (1950.4 mt) in 1984. Since participation in the black sea bass this fishery. The date of publication of 1998, commercial landings have been fishery. The control date communicates this announcement, June 5, 2001, shall constrained by quotas at an annual level to black sea bass permit holders that be known as the control date and may of 3.025 million lb (1372.1 mt). performance or fishing effort after that be used for establishing revised A moratorium on the entry of date may not be treated the same as eligibility criteria for participation in additional commercial vessels into the performance or effort that was expanded the fishery; i.e., the level of fishing black sea bass fishery was put in place prior to the control date. The Council activity after this date will not on November 16, 1996, with the and NMFS could choose different and necessarily be used for future eligibility implementation of Amendment 9 to the variably weighted methods to qualify criteria. FMP. However, the qualifying criteria fishermen based on the type and length DATES: Written comments must be for obtaining initial permits under the of participation in the fishery or on the received on or before 5 p.m., local time, moratorium were liberal and only quantity of landings. A control date July 5, 2001. required that vessels provide a black sea does not commit the Council or NMFS ADDRESSES: Written comments should bass landing receipt demonstrating at to develop any particular management be sent to Daniel T. Furlong, Executive least 1 lb (0.45 kg) of black sea bass regime or criteria for participation in Director, Mid-Atlantic Fishery landed between January 26, 1989, and this fishery. The Council or NMFS may Management Council, Room 2115 January 26, 1993. Based on this choose a different control date, or may Federal Building, 300 South Street, criterion, a number of vessels attained a choose a management program that does Dover, DE 19904. Mark the outside of permit even though those vessels only not make use of such a date.
VerDate 11
The Council and NMFS may also This notification also gives the public Authority: 16 U.S.C. 1801 et seq. choose to take no further action to notice that interested participants Dated: May 24, 2001. control entry or access to the fishery, in should locate and preserve records that John Oliver, which case the control date may be substantiate and verify their rescinded. Any action by the Council or participation in the black sea bass Acting Deputy Assistant Administrator for NMFS will be taken pursuant to the fishery in Federal waters. Fisheries, National Marine Fisheries Service. requirements for FMP development This control date has been determined [FR Doc. 01–13833 Filed 6–4–01; 8:45 am] established under the Magnuson- to be not significant under Executive BILLING CODE 3510–22–S Stevens Act. Order 12866.
VerDate 11
Notices Federal Register Vol. 66, No. 108
Tuesday, June 5, 2001
This section of the FEDERAL REGISTER SUPPLEMENTARY INFORMATION: II. Eligibility contains documents other than rules or proposed rules that are applicable to the Paperwork Reduction Act The authorizing legislation specifies public. Notices of hearings and investigations, certain criteria that must be satisfied in The information collection order for an area to be eligible for committee meetings, agency decisions and requirements contained in this Notice rulings, delegations of authority, filing of Empowerment Zone designation, have been approved by the Office of petitions and applications and agency including population, general distress, statements of organization and functions are Management and Budget under OMB geographic size and boundary examples of documents appearing in this Control Number 0570–0027. configuration, and poverty rate by section. I. Background census tract (or by block numbering areas when the community is not The Empowerment Zone program delineated by census tracts; nominated represents a holistic approach to the DEPARTMENT OF AGRICULTURE areas in Alaska and Hawaii have the problems of distressed rural and urban option of qualifying by block groups). Office of the Secretary communities. It emphasizes a bottom-up The details of these requirements are community based strategy rather than described in 7 CFR part 25 of the Notice Inviting Applications for the traditional top-down bureaucratic Federal Register. Unless specified Designation of Rural Empowerment approach. It is a strategy to address otherwise, the terms used in this Notice, Zones economic, human, community, physical inclusive of the appendices, shall be development problems and AGENCY: Office of the Secretary, USDA. defined as contained in 7 CFR part 25. opportunities in a comprehensive ACTION: Notice inviting applications. USDA will accept certifications of the fashion. data by the State and local governments, SUMMARY: This Notice invites The Community Renewal Tax Relief subject to further verification of the data applications from state and local Act of 2000 (Public Law 106–554) prior to designation as an Empowerment governments, Indian tribal governments, authorized the Secretary of the U.S. Zone. regional planning agencies, non-profit Department of Agriculture (Secretary) to organizations, community-based designate up to two Empowerment III. Designation Factors organizations, or other locally-based Zones (‘‘Round III’’) in addition to those The statute specifies three factors to organizations on behalf of rural areas rural empowerment zones and be considered by the Secretary in nominated for designation as enterprise communities designated designating Empowerment Zones: (1) Empowerment Zones (EZ) as this term earlier. The effectiveness of the strategic plan; is defined in this Notice and title 7 Code This Notice invites applications from (2) the effectiveness of the assurances of Federal Regulations part 25 (7 CFR State and local governments, Indian provided in support of the strategic part 25). An application may be tribal governments, regional planning plan; and (3) other criteria to be prepared and submitted by any one of agencies, non-profit organizations, specified by the Secretary. Each of these a broad range of entities; however, the community-based organizations, or factors is discussed in greater detail in rural area in question must be other locally-based organizations on 7 CFR part 25. The required form and nominated for designation by the State, behalf of rural areas nominated for content of the application and the local or Indian tribal government having designation as Empowerment Zones in strategic plan are elaborated upon in jurisdiction over the nominated area. this third round. this Notice. Title 7 part 25 provides guidance which Applications submitted for IV. Timing and Location of Application is supplemental to that provided in this designation as a Round III Rural Submissions Notice and which is necessary for Empowerment Zone may also be completion and submission of considered, and used as the sole basis Application materials may be applications. for designation, for any additional obtained from USDA Rural Enterprise Communities or other special Development offices listed in Appendix ADDRESSES: Application materials may community designations authorized by A of this Notice or by sending an be obtained from U.S. Department of Congress prior to the date by which Internet e-mail message to: Agriculture (USDA) Rural Development designations of Round III Empowerment ‘‘[email protected]’’. They offices listed in appendix A to this Zones are required to be made. are also available at the following Notice or by sending an Internet Mail The program is intended to combine website: ‘‘http://www.ezec.gov/ message to the resources of the Federal Government round3’’. The deadline for receipt of the ‘‘[email protected]’’. with those of State and local complete application is 5 p.m. Eastern FOR FURTHER INFORMATION CONTACT: governments, educational institutions Time, Monday, October 1, 2001. Deputy Administrator, USDA Office of and the private and non-profit sectors to Applications received after that time Community Development, Reporters implement community-developed will not be accepted, and will be Building, 300 7th Street, SW, Room 266, strategic plans for community and returned to the sender. Since Washington, DC 20024–3203, telephone economic development. The Federal applications require certifications from 1–800–645–4712, or send an Internet e- Government has taken steps to the State and local governments, we mail message to coordinate Federal assistance in support cannot accept applications sent by FAX ‘‘[email protected].’’ of the Empowerment Zones, including or through the Internet system. Information may also be obtained at expedited processing and priority Applications must be submitted on ‘‘http://www.ezec.gov/round3’’. funding. standard 81⁄2″ × 11″ paper and contained
VerDate 11
in standard 3″ 3-ring binders. The (a) The local governments discussed (4) Section 4—Economic and Social original application and two paper in part I of the Application Form Conditions. Detailed statistical copies should be sent to: U.S. (Nomination); information, including tabular and Department of Agriculture, Office of (b) The nominated area; and graphical information, not included in Community Development, Reporters (c) Developable sites, if any. volume II, should be included in this Building, 300 7th Street, SW, Room 266, VII. Strategic plan section. Washington, DC 20024. No video or (5) Section 5—Implementation. This audio tapes, posters, display boards, or A. The strategic plan to be submitted section should include: other accompanying material will be on behalf of the nominated area shall (a) Descriptions of the roles which accepted as part of the Application. conform with the requirements each participating entity, identified in contained in 7 CFR § 25.202 and Applicants will be notified in the volume I, section 1, will have in § 25.204. Each major section of the implementing the strategic plan; and event of an incomplete application. strategic plan should address how the Provided that the application is received (b) Evidence that key participating plan will achieve the four key principal entities have the capacity to implement at the above address with sufficient time objectives contained in 7 CFR § 25.202. before the deadline, applicants will be the strategic plan. B. The strategic plan must be (6) Section 6—Public Information. given an opportunity to provide the organized into two separate volumes. missing information to USDA. This section should include newspaper Each volume should prominently clippings, photographs, news releases V. Notice of Intent To Participate identify the nominated area and be and other materials relating to the organized and labeled in the following community and its strategic planning Prospective applicants are encouraged sections and specified sequence. process. to complete and submit a Notice of C. Volume I of the Strategic Plan (7) Section 7—Letters of Support. Intent to Participate substantially in the (‘‘Documentation’’). Volume I must Letters of support are limited to those form provided in appendix B to this include the following sections and that pledge either monetary or in-kind Notice. A Notice form is included in the content: resources toward the implementation of application materials; it may also be (1) Section 1—Participants. the strategic plan. Letters of support obtained by sending an Internet e-mail (a) Applicant and Lead entities: the may be submitted as part of the message to name, address, description and primary Application and should be grouped in ‘‘[email protected]’’. contact person for the entity that will be this section of the strategic plan. Applicants may also submit the notice the lead managing entity for the D. Volume II of the Strategic Plan via the Internet by filling out the form proposed Empowerment Zone. Clarify (‘‘Plan’’), Part I. Volume II must contain on-line at the following website: ‘‘http: whether the applicant entity is different four major subparts of which part I must from the proposed lead managing entity; //www.ezec.gov/round3’’. Applicants include the following sections and if so, provide the same information for and other participants may wish to content: submit the form in order to be placed on the applicant entity; (1) Section 1—Vision and Values. The (b) Participating entities: a list of and the Empowerment Zone and Enterprise community’s strategic vision for descriptions of the specific groups, Community mailing list. While the change—a statement of what the organizations, and individuals notice is not mandatory for participation community would like to be like in the participating in the production of the in the program, USDA encourages the future together with a statement of the strategic plan, and descriptions of the submission of the notice, as it will community’s values which guided its history of these groups in the permit the Department to provide planning process and which will guide community; and prospective applicants with updated its implementation of the strategic plan. information on program requirements as (c) An explanation of how participants in the planning process (2) Section 2—Community well as information on technical Assessment. A comprehensive assistance. were selected and evidence that the participants, taken as a whole, are assessment of existing conditions and VI. Application materials broadly representative of the entire trends in the nominated area in two subsections: A. Application materials available community. (2) Section 2—The Planning Process. (a) Assessment of Problems and from USDA consist of the following: (a) Descriptions of how the Opportunities. A description and (1) Round III application form and participants created and developed the assessment of problems and (2) Round III application guide. strategic plan; opportunities. This subsection must B. The Application to be submitted on (b) Identification of two or three identify those baseline conditions behalf of nominated rural areas shall topics addressed in the strategic plan which the community wishes to include the following (‘‘Application’’): that caused the most serious improve as a result of the strategic plan. (1) A nomination package including: disagreements among participants and a It may include priority rankings by the community of problems and (a) Round III application form parts I description of how those disagreements opportunities to be addressed by the through IV; and were resolved; and (c) An explanation of how the community residents and key strategic plan. (b) The required certifications and organizations participated in choosing (b) Resource Analysis. An assessment written assurances contained in 7 CFR the area to be nominated and why the of the resources available to the § 25.200(b) which are not otherwise area was nominated. community, including financial, included in part III of the Round III (3) Section 3—Eligibility. technical, leadership, volunteerism, application form; (a) Include information not otherwise skills and other community assets (2) A strategic plan which meets the provided in the application form, or use which may be tapped in implementing requirements of 7 CFR part 25 and the this section if additional space is the strategic plan. form and content requirements specified needed to provide eligibility (3) Section 3—Goals. A statement of a in section VII of this Notice; and information; and comprehensive and holistic set of goals (3) Maps. Attach a copy of a map that (b) Maps and a general description of to be achieved through implementation shows the 1990 census boundaries of: the nominated area. of the strategic plan throughout the 10-
VerDate 11
year implementation period. This for amending and revising benchmark implementation efforts, if the Champion section should also include an index of goals and benchmark activities. Community elects to execute a topics and related benchmark activities G. Volume II of the Strategic Plan Memorandum of Agreement (MOA) which are incorporated in the strategic (‘‘Plan’’), Part IV. The fourth major with Rural Development. To the extent plan (education, criminal justice, subpart of volume II should be titled possible, preferential consideration will economic development, housing, health ‘‘Administration Plan’’. Part IV should be given to Champion Communities care, water and sewer, etc.) so as to present the community’s plan for when processing applications for loans facilitate the sharing of information administering the implementation of the and grants for Rural Development across Federal agencies such that they strategic plan. It should include the Programs. may more readily recognize how they following sections: X. Memorandum of Agreement may be able to support the (1) Section 1—Lead entity. The name Empowerment Zone during the of the proposed lead entity organization, It is expected that a MOA will be implementation phase. its existing and planned future legal entered into relating to each designated (4) Section 4—Strategies. A statement status and authority to receive and Round III Empowerment Zone. The of the strategies the community administer funds pursuant to Federal MOA shall conform in all material proposes to use to achieve its strategic and State and other nonprofit programs; respects to the form of MOA provided plan, in particular, the principal (2) Section 2—Capacity. Evidence, in appendix D to this Notice. objectives of economic opportunity and including an audited financial statement sustainable community development as of the most recent fiscal year, that the XI. Miscellaneous lead entity and other key organizations contained in 7 CFR 25.202(a)(3) and Empowerment Zone designation does (a)(4). implementing the strategic plan have the capacity to implement the strategic not constitute a Federal action for E. Volume II of the Strategic Plan provisions of the Uniform Relocation (‘‘Plan’’), Part II. The second major plan. If the lead entity is not yet established, provide evidence of its Act. However, any activity constituting subpart of volume II must include the a Federal action that may result from following sections and content: proposed capitalization; (3) Section 3—Board membership. such a designation may be subject to the (1) Section 1—Phase I work plan. The provisions of this Act, as well as any information required pursuant to 7 CFR The membership of the proposed Empowerment Zone board and the other statutory or regulatory provisions 25.403(c)(1) for the initial two years of governing the particular Federal action. the designation period. selection procedures; (4) Section 4—Partnerships. The (2) Section 2—Phase I operational All designation reviews will be relationship between the Empowerment budget. The information required conducted in compliance with Federal Zone board and local governments and pursuant to 7 CFR 25.402(c)(2) for the civil rights laws. other major regional and community initial two years of the designation Dated: May 25, 2001. organizations operating in the same period. geographic area; Ann M. Veneman, F. Volume II of the Strategic Plan (5) Section 5—Public information. Secretary. (‘‘Plan’’), Part III. The third major The proposed methods by which subpart of volume II should be titled List of Appendices citizens of the Empowerment Zone and ‘‘Continuous Quality Improvement partnership organizations will be kept A—Rural Development State EZ–EC Plan.’’ Part III should present the informed about the Empowerment State Contacts community’s plan for evaluating and Zone’s activities and progress in learning from its experiences. It should B—Notice of Intent To Participate implementing the strategic plan; also detail the methods by which the (6) Section 6—Public participation. C—Counties Which Meet the community will assess its own The methods and procedures by which Outmigration Test performance in implementing its the Empowerment Zone proposes to D—Form of Memorandum of Agreement benchmarks and the process it will use implement the principal objective of Appendix A: EZ/EC State Contacts for revising its strategic plan and community based partnerships pursuant benchmark goals. Part III should include to 7 CFR 25.202(a)(2). Alabama the following sections and content: VIII. Counties Which Meet the State Director, Rural Development, Sterling (1) Section 1—Participation. The Center, 4121 Carmichael Road/Suite 601, Outmigration Test for Purposes of 7 proposed procedures for assuring Montgomery, AL 36106–3683, phone: 334– continuous, broad based community CFR 25.104(b)(2)(iii) 279–3400, fax: 334–279–3403. participation in the implementation of For purposes of volume I, section 3— Alaska the strategic plan; Eligibility, counties which meet the (2) Section 2—Incorporation of outmigration test for purposes of 7 CFR State Director, Rural Development, 800 W. experiences. The methods proposed for 25.104(b)(2)(iii) are listed in appendix C Evergreen, Suite 201, Palmer, AK 99645– 6539, phone: 907–761–7700, fax: 907–761– incorporating learning from experience to this Notice. gained during implementation of the 7783. strategic plan and from information IX. Round III Champion Communities Arizona obtained from other sources into Champion Communities will be State Director, Rural Development, revisions of the strategic plan, selected from those rural communities Phoenix Corporate Center, 3003 North benchmark goals and implementation which applied for designation as an Central Avenue, Suite 900, Phoenix, AZ methods and procedures; Empowerment Zone and, despite having 85012–2906, phone: 602–280–8707, fax: 602– (3) Section 3—Benchmark review. The met all requirements for selection, were 808–8770. proposed procedure for reviewing not so designated. State Rural Arkansas benchmark progress within the Development Directors and staff will State Director, Rural Development, 700 W community; and work with Champion Communities to Capitol Avenue, Room 3416, Little Rock, AR (4) Section 4—Benchmark provide support, guidance and technical 72201–3225, phone: 501–301–3200, fax: 501– amendment. The proposed procedure assistance in strategic planning and 301–3278.
VerDate 11
California Massachusetts North Dakota State Director, Rural Development, 430 G. State Director, Rural Development, 451 State Director, Rural Development, P.O. Street, #4169, Davis, CA 95616–4169, phone: West St., Amherst, MA 01002, phone: 413– Box 1737, Bismarck, ND 58502, phone: 701– 530–792–5800, fax: 530–792–5837. 253–4310, fax: 413–253–4347. 530–2054, fax: 701–530–2108. Colorado Michigan Ohio State Director, Rural Development, 655 State Director, Rural Development, 3001 State Director, Rural Development, Federal Parfet Street, Room E–100, Lakewood, CO Coolidge Road, Suite 200, East Lansing, MI Building, Room 507, 200 North High Street, 80215, phone: 303–236–2801 Ext. 134, fax: 48823, phone: 616–745–8364, fax: 616–745– Columbus OH 43215–2418, phone: 614–255– 303–236–2854. 8493. 2390, fax: 614–255–2559. Delaware/Maryland Oklahoma Minnesota State Director, Rural Development, 5201 State Director, Rural Development, 100 South Dupont Highway, P.O. Box 400, State Director, Rural Development, 410 USDA, Suite 108, Stillwater, OK 74074–2654, Camden, DE 19934, phone: 302–697–4304, Agriculture Bank Building, 375 Jackson phone: 405–742–1000, fax: 405–742–1005. fax: 302–697–4390. Street, St. Paul, MN 55101–1853, phone: 651–602–7801, fax: 651–602–7824. Oregon Florida/Virgin Islands Mississippi State Director, Rural Development, 101 SW State Director, Rural Development, 4440 Main Street, Suite 1410, Portland, OR 97204– N.W. 25th Pl., P.O. Box 147010, Gainesville, State Director, Rural Development, 100 W 3222, phone: 503–414–3300, fax: 503–414– FL 32614–7010, phone: 352–338–3402, fax: Capital St., Federal Building, Suite 831, 3386. 352–338–3405. Jackson, MS 39269, phone: 601–965–4318, fax: 601–965–5384. Pennsylvania Georgia State Director, One Credit Union Place, State Director, Rural Development, 355 E. Missouri Suite 330, Harrisburg, PA 17110–2996, Hancock Ave., Athens, GA 30601–2768, State Director, Rural Development, 601 phone: 717–334–8827, fax: 717–237–2191. phone: 706–546–2162, fax: 706–546–2152. Business Loop, Parkade Center, Suite 235 , Puerto Rico Hawaii Columbia, MO 65203, phone: 573–876–0976, fax: 573–876–0977. State Director, Rural Development, P.O. State Director, Rural Development, Federal Box 366106, San Juan, PR 00936–6106, Building, Room 311, 154 Waianuenue Ave, Montana phone: 787–766–5095, fax: 787–766–5844. Hilo, HI 96720, phone: 808–933–8302, fax: State Director, Rural Development, 900 808–933–8325. South Carolina Technology Blvd. Suite B, P.O. Box 850, State Director, Rural Development, Strom Idaho Bozeman, MT 59771, phone: 406–585–2580, Thurmond Federal Building, 1835 Assembly State Director, Rural Development, 9173 fax: 406–585–2565. Street, Room 1007, Columbia, SC 29201, West Barms, Suite A1, Boise, ID 83709, Nebraska phone: 803–765–5163, fax: 803–765–5633. phone: 208–378–5615, fax: 208–378–5643. State Director, Rural Development, Federal South Dakota Illinois Building, Mail Room 152, 100 Centennial State Director, Rural Development, Federal State Director, Rural Development, Illini Mall N., Room 308, Lincoln, NE 68508, Building, Room 210, 200 Fourth Street SW, Plaza, Suite 103, 1817 South Neil Street, phone: 402–437–5550, fax: 402–437–5408. Huron, SD 57350–2477, phone: 605–352– Champaign, IL 61820, phone: 217–398–5235, 1100, fax: 605–352–1146. fax: 217–398–5337. Nevada State Director, Rural Development, 1390 Tennessee Indiana South Curry St., Carson City, NV 89703– State Director, Rural Development, 3322 State Director, Rural Development, 5975 9910, phone: 775–887–1222, fax: 775–885– West End Ave., Suite 300, Nashville, TN Lakeside Blvd., Indianapolis, IN 46278, 0841. 37203–1084, phone: 615–783–1300, fax: 615– phone: 317–290–3100 ext. 400, fax: 317–290– 783–1301. 3095. New Hampshire/Vermont Texas Iowa State Director, Rural Development, City Center, 3rd Floor, 89 Main Street, State Director, Rural Development, 101 S. State Director, Rural Development, 210 Montpelier, VT 05602, phone: 802–828– Main Street, Suite 102, Temple, TX 76501, Walnut Street, Federal Bldg./Room 873, Des 6002, fax: 802–828–6018. phone: 254–742–9710, fax: 254–742–9709. Moines IA 50309, phone: 515–284–4663, fax: 515–284–4859. New Jersey Utah State Director, Rural Development, State Director, Rural Development, Wallace Kansas F. Bennett Federal Bldg., Room 4311, Salt Tarnsfield Plaza, Suite 22, 790 Woodland State Director, P.O. Box 4653, 1201 SW Lake City, UT 84147–0350, phone: 801–524– Rd., Mt. Holly, NJ 08060, phone: 609–265– Executive Drive, Topeka, KS 66604, phone: 4320, fax: 801–524–4406. 3600, fax: 609–265–3651. 785–271–2701, fax: 785–271–2708. Vermont/New Hampshire New Mexico Kentucky. State Director, Rural Development, City State Director, Rural Development, 771 State Director, Rural Development, 6200 Center, 3rd Floor, 89 Main Street, Corporate Dr., Suite 200, Lexington, KY Jefferson Street NE, Room 255, Albuquerque, Montpelier, VT 05602, phone: 802–828– 40503, phone: 859–224–7300, fax: 859–224– NM 87109, phone: 505–761–4950, fax: 505– 6002, fax: 802–828–6018. 7425. 761–4976. Virginia New York Louisiana State Director, Rural Development, State Director, Rural Development, 3727 State Director, Rural Development, The Culpepper Building, Suite 238, 1606 Santa Government Street, Alexandria, LA 71302, Galleries of Syracuse, 441 S. Salina Street, Rosa Road, Richmond, VA 23229, phone: phone: 318–473–7811, fax: 318–473–7829. Suite 357, Syracuse, NY 13202–2541, phone: 804–287–1552, fax: 804–287–1721. 315–477–6435, fax: 315–477–6438. Maine Washington State Director, Rural Development, 444 North Carolina State Director, Rural Development, 1835 Stillwater Ave., Suite 2, P.O. Box 405, State Director, Rural Development, 4405 Black Lake Blvd. SW, Suite B, Olympia, WA Bangor, ME 04402–0405, phone: 207–990– Bland Rd, Suite 260, Raleigh NC 27609, 98512, phone: 360–704–7715, fax: 360–704– 9160, fax: 207–990–9165. phone: 919–873–2037, fax: 919–873–2075. 7742.
VerDate 11
Wisconsin Arizona Lyon County State Director, Rural Development, 4949 Greenlee County Osceola County Kirschling Court, Stevens Point, WI 54481, Palo Alto County Arkansas phone: 715–345–7676, fax: 715–345–7669. Pocahontas County Arkansas County Shelby County West Virginia Chicot County Webster County State Director, Rural Development, 75 High Desha County Kansas Street, Room 320, Morgantown, WV 26505, Lee County Barber County phone: 304–284–4860, fax: 304–284–4893. Mississippi County Monroe County Barton County Wyoming Phillips County Decatur County State Director, Rural Development, 100 St. Francis County Doniphan County Geary County East B, Federal Bldg. Room 1005, Casper, WY Woodruff County Gove County 82602, phone: 307–261–6300, fax: 307–261– Colorado Graham County 6327. Baca County Haskell County Appendix B Conejos County Jewell County Jackson County Morton County Notice of Intent to Participate Kiowa County Ness County U.S. Department of Agriculture, Office of Lake County Osborne County Community Development, Reporters Logan County Rawlins County Building, 300 Seventh Street, SW., Room Mineral County Rice County 266, Washington, DC 20024. Moffat County Rooks County Rush County Note: Rural entities may: Otero County San Juan County Scott County (1) fax this notice to (202) 260–6225; Sedgwick County Sheridan County (2) submit this notice via e-mail to Washington County Sherman County ‘‘[email protected]’’; or Stanton County (3) submit it electronically via the Florida Trego County following website: ‘‘http://www.ezec.gov/ Hardee County Wallace County round3’’. Wichita County This Notice of Intent to Participate in the Georgia Kentucky Rural Empowerment Zone application Calhoun County process is submitted by the following Early County Bell County participating entity: Miller County Breathitt County Location of Nominated Area (list state and Randolph County Floyd County counties proposed to be included): Terrell County Fulton County lllllllllllllllllllll Turner County Hardin County lllllllllllllllllllll Harlan County Idaho Leslie County Name & Address of Participating Entity: Bear Lake County Letcher County lllllllllllllllllllll Butte County Martin County lllllllllllllllllllll Caribou County Perry County Contact & Phone Number, Fax Number and Clark County Pike County Clearwater County E-mail address: Louisiana Elmore County lllllllllllllllllllll Shoshone County Cameron Parish Nominating Entity (check here if Catahoula Parish applicable). Illinois Concordia Parish Nominating Entity (if other than named Alexander County East Carroll Parish above) (City, State): Mason County Iberville Parish lllllllllllllllllllll Pulaski County Madison Parish lllllllllllllllllllll Stark County Morehouse Parish Warren County Red River Parish Appendix C Richland Parish Indiana St. Mary Parish Counties (including other geographic areas, Miami County Tensas Parish as applicable) which have demonstrated Vernon Parish Iowa outmigration of not less than 15 percent over the period 1980–1994 as reported by the U.S. Adams County Maine Bureau of the Census. Audubon County Aroostook County Buchanan County Alabama Cherokee County Michigan Conecuh County Chickasaw County Iosco County Dallas County Clay County Luce County Greene County Clinton County Marquette County Lowndes County Crawford County Minnesota Macon County Emmet County Perry County Fayette County Big Stone County Wilcox County Floyd County Cottonwood County Franklin County Faribault County Alaska Greene County Freeborn County Aleutians West Census Area Grundy County Jackson County Bristol Bay Borough Hancock County Kittson County Southeast Fairbanks Census Area Humboldt County Lac qui Parle County Wade Hampton Census Area Jackson County Lake County Yukon-Koyukuk Census Area Kossuth County Lincoln County
VerDate 11
Pennington County Holt County Jackson County Red Lake County Hooker County Kingfisher County Redwood County Keya Paha County Major County Renville County Kimball County Roger Mills County Swift County Knox County Texas County Traverse County Lincoln County Tillman County Wilkin County Logan County Washita County Yellow Medicine County Loup County Woods County Morrill County Woodward County Mississippi Nuckolls County Adams County Red Willow County Oregon Bolivar County Rock County Harney County Claiborne County Sioux County Sherman County Coahoma County Stanton County Pennsylvania Holmes County Thomas County Humphreys County Thurston County Cameron County Issaquena County Wheeler County South Carolina Jefferson County Leflore County New Mexico Bamberg County Noxubee County Cibola County Dillon County Quitman County Guadalupe County Marlboro County Sharkey County Harding County South Dakota Sunflower County Lea County Tallahatchie County McKinley County Buffalo County Tunica County Union County Campbell County Warren County Corson County North Dakota Washington County Day County Yazoo County Adams County Deuel County Benson County Dewey County Missouri Billings County Douglas County Knox County Bottineau County Edmunds County Mississippi County Bowman County Faulk County Pemiscot County Burke County Gregory County Pulaski County Cavalier County Haakon County Dickey County Hand County Montana Divide County Hanson County Big Horn County Dunn County Harding County Carter County Eddy County Hyde County Daniels County Emmons County Jackson County Dawson County Foster County Jerauld County Deer Lodge County Golden Valley County Jones County Fallon County Grant County Lyman County Garfield County Griggs County McPherson County Hill County Hettinger County Mellette County Judith Basin County Kidder County Perkins County Liberty County LaMoure County Potter County McCone County Logan County Roberts County Meagher County McHenry County Sanborn County Petroleum County McIntosh County Shannon County Pondera County McKenzie County Spink County Powder River County McLean County Sully County Prairie County Mercer County Walworth County Richland County Mountrail County Ziebach County Roosevelt County Oliver County Texas Rosebud County Pembina County Sheridan County Pierce County Andrews County Toole County Renville County Bailey County Treasure County Sargent County Briscoe County Valley County Sheridan County Brooks County Wibaux County Sioux County Castro County Slope County Cochran County Nebraska Stark County Collingsworth County Antelope County Steele County Cottle County Arthur County Stutsman County Crane County Banner County Towner County Crockett County Blaine County Walsh County Crosby County Boone County Ward County Culberson County Box Butte County Wells County Dawson County Boyd County Williams County Deaf Smith County Brown County Dickens County Cedar County Oklahoma Dimmit County Cuming County Beaver County Fisher County Frontier County Blaine County Floyd County Garden County Cimarron County Foard County Grant County Ellis County Garza County Hayes County Harmon County Glasscock County Hitchcock County Harper County Gray County
VerDate 11
Hale County Appendix D certifications, schedules or other submissions Hall County made in connection with the designation. Form of Memorandum of Agreement Hansford County 8. The lead entity agrees to submit to Hardeman County Rural Empowerment Zones periodic performance reviews by USDA in Hemphill County This Agreement among the United States accordance with the provisions of 7 C.F.R. Hutchinson County Department of Agriculture (USDA), the State 25.402 and 25.404. Upon request by USDA, Jim Hogg County of lllll and the Empowerment Zone the lead entity will permit representatives of Karnes County Lead Entity relating to the Rural USDA to inspect and make copies of any Kenedy County Empowerment Zone known as lllll, is records pertaining to matters covered by this Kent County made pursuant to the Internal Revenue Code Agreement. King County (title 26 of the United States Code) as 9. Each year after the execution of this Kleberg County amended by The Community Renewal Tax Lamb County Agreement, the lead entity will submit Relief Act of 2000 (Pub. L. 106–554). Lipscomb County updated documentation sufficient to identify In reliance upon and in consideration of Lynn County baselines, benchmark goals and activities and the mutual representations and obligations Matagorda County timetables for the implementation of the herein contained, the applicable statute and Motley County strategic plan during the following 2 years. part 25 to 7 C.F.R., the State and the Ochiltree County Upon written acceptance from USDA, such Empowerment Zone agree as follows: Parmer County documentation shall become part of this The Rural Empowerment Zone boundaries Pecos County Agreement and shall replace the are as follows: Census Tracts lll, lll, Reagan County documentation submitted previously, for lll [as such boundaries may be modified] Reeves County in accordance with maps provided in the purposes of operations during the following Refugio County application for designation. The term of the 2 years. Roberts County designation as a rural Empowerment Zone is 10. All benchmark goals, benchmark Shackelford County effective from [designation date] to December activities, baselines, and schedules approved Sherman County 31, lll, unless sooner revoked. by the Empowerment Zone after a full Stonewall County 1. The State and the Empowerment Zone community participation process (which Sutton County will comply with the requirements of The must be documented and which may be Swisher County Community Renewal Tax Relief Act of 2000, Terrell County further amended or supplemented from time and the regulations appearing in 7 C.F.R. part Terry County to time), will be incorporated as part of this 25 and any future regulations. Upton County Agreement. All references to the strategic 2. The State and the Empowerment Zone Ward County plan in this memorandum of agreement shall will comply with such further statutory, Wheeler County be deemed to refer to the strategic plan as regulatory and contractual requirements as Winkler County modified in accordance with this paragraph. may be applicable to the receipt and Yoakum County 11. This Agreement shall be a part of the expenditure of Federal funds. Zavala County strategic plan. 3. The State and the Empowerment Zone Utah will comply with all elements of the USDA 12. Amendments to the strategic plan may be made only with the approval of the Carbon County approved application for designation, including the strategic plan, submitted to Empowerment Zone and USDA. The lead Daggett County entity must demonstrate to USDA that the Duchesne County USDA pursuant to 7 C.F.R. part 25 (‘‘strategic local governments within the Empowerment Emery County plan’’) and all assurances, certifications, Grand County schedules or other submissions made in Zone were involved in the amendment Rich County support of the strategic plan or of this process. San Juan County Agreement. 13. All attachments and submissions in 4. The State and the Empowerment Zone accordance herewith are incorporated as part Virginia will submit with each 2-year workplan of this agreement. required under 7 C.F.R. 25.403 Alleghany County This Agreement is datedl. llllllll Bath County documentation, in form and substance State Government: State of l lllllll Buchanan County satisfactory to the Secretary, sufficient to Wise County identify baselines, benchmark goals, By:l llllllllllllllllll Covington City benchmark activities and timetables for the [Official authorized to commit the state] implementation of the strategic plan during Norton City llllllllllllllllll the applicable 2 years of the workplan. Title: West Virginia 5. Pursuant to the strategic plan, the lead Address: llllllllllllllll Boone County entity for the Empowerment Zone known as Empowerment Zone [Name of Empowerment Clay County lll [name of lead entity] lll, located Zone]. Fayette County at lll [address] lll, is responsible for By:l llllllllllllllllll Logan County the implementation of the strategic plan. The Title: llllllllllllllllll McDowell County current director of the lead entity, who is Mingo County duly authorized to execute this agreement, is Address: llllllllllllllll Webster County lll [name] lll. Lead entity: [Name of Lead entity]. 6. The use of Federal funds will be directed Wetzel County By: lllllllllllllllllll Wyoming County by the lead entity, in accordance with the strategic plan. The distribution of these funds Title: llllllllllllllllll Wyoming will be in accordance with the directives of Address: llllllllllllllll Big Horn County the lead entity, provided that such actions Federal Government: United States Carbon County are consistent with the USDA approved Department of Agriculture. Converse County strategic plan. Fremont County 7. The lead entity agrees to timely comply By: lllllllllllllllllll Hot Springs County with the reporting requirements contained in Title: llllllllllllllllll Platte County 7 C.F.R. part 25, including reporting on Address: llllllllllllllll Sweetwater County progress made in carrying out actions Washakie County necessary to implement the requirements of [FR Doc. 01–14119 Filed 6–4–01; 8:45 am] Weston County the strategic plan and any assurances, BILLING CODE 3410–07–P
VerDate 11
DEPARTMENT OF AGRICULTURE have been listed as water quality proposed plans with additional impaired under section 303(d) of the mitigation to address effects of mining Forest Service Clean Water Act. The Forest Service has on water quality and fisheries habitat. determined that mining operations have Public participation will be especially North Fork Burnt River Watershed- the potential to affect water quality. important at several points during the Mining Projects; Wallowa-Whitman Accordingly, the effects of new, analysis, beginning with the scoping National Forest, Baker County, Oregon existing, or modified Plans of process (40 CFR 1501.7). This AGENCY: Forest Service, USDA. Operations prepared under regulations environmental analysis and decision at 36 CFR 228.4 and 228.5, will be making process will enable additional ACTION: Notice of intent to prepare an analyzed in the EIS. interested and affected people to environmental impact statement. Mining operations are associated with participate and contribute to the final SUMMARY: The USDA, Forest Service the extraction of precious metals from decision. The public is encouraged to will prepare an environmental impact placer and lode deposits. A number of take part in the process and is statement (EIS) on a proposed action to different practices are being proposed encouraged to visit with Forest Service approve Proposed Plans of Operations on the various claims within the officials at any time during the analysis on mining claims located on the North analysis area. These may include one or and prior to the decision. The Forest Fork of the Burnt River and its more of the following practices: Service will be seeking information, tributaries, located in the North Fork Suction Dredging: Portable suction comments, and assistance from Federal, Burnt River Watershed. The project area dredges would be used in streams State, local agencies, tribes, and other is located on the Unity Ranger District, during the period specified by the State individuals or organizations that may be approximately 20 air miles northwest of of Oregon, generally July 1 to October interested in, or affected by the Unity, Oregon. 31. proposal. This input will be used in The proposed action is a compilation Test Pits: Holes are dug either by hand preparation of the draft EIS. The scoping of plans submitted by claimants or mechanical equipment to sample sub- process includes: surface deposits. operating within the analysis area. Identifying potential issues; Drilling: Portable drills are used as These plans describe the type of mining Identifying major issues to be analyzed part of the exploration process to operations proposed and how they in depth; sample sub-surface mineral deposits. would be conducted, the type and Placer Mining: This includes a wide Identifying issues which have covered standard of access routes, the means of variety of practices to extract minerals by a relevant previous environmental transportation to be used, the period from placer deposits. The techniques analysis; Considering additional alternatives during which the proposed mining include handwork with shovels and based on themes which will be activity will take place and measures to pans, small sluice boxes and more derived from issues recognized during be taken to meet the requirements for complex operations that use mechanical scoping activities; and environmental protection. Operations equipment. On the more heavily worked Identifying potential environmental include the exploration and extraction claims backhoes and front end loaders effects to this project and alternatives of valuable minerals from placer and are used for digging, and power (i.e. direct, indirect, and cumulative lode deposits. Methods range from the trommels for separation and extraction. effects and connected actions). hand panning to more complex Water, to varying degrees, is used in all operations utilizing mechanical these techniques. Some minor road The draft EIS is expected to be filed equipment. The 1990 Land and maintenance and maintenance of with the Environmental Protection Resource Management Plan final EIS for existing structures is also planned. Agency (EPA) and to be available to the the Wallowa-Whitman National Forest, Lode Mining: This includes tunneling public for a review by December 2001. as amended, provides overall guidance or other mechanical methods used to The comment period on the draft EIS for management of this area. Some of extract lode deposits. will be 45 days from the date the EPA the operations planned in the proposed Activities, which would occur in publishes the Notice of Availability in action may not be in compliance with association with mining operation, the Federal Register. It is important that this plan. include mitigation practices such as those interested in the management of DATES: Written comments concerning construction or maintenance of settling the Wallowa-Whitman National Forest the scope of the analysis should be ponds, and reclamation activities such participate at that time. received by July 15, 2001. as recontouring, seeding, and treatment Comments received in response to ADDRESSES: Send written comments and of noxious weeds. this notice, including names and suggestions to Jean Lavell, Unity District Preliminary issues include effects of addresses of those who comment, will Ranger, P.O. Box 38, Unity, Oregon proposed activities on—water quality be considered part of the public record 97884. and fish habitat. on this proposed action and will be The Forest Service will consider a full available for public inspection. FOR FURTHER INFORMATION CONTACT: range of alternatives, including a ‘‘no- Comments submitted anonymously will Katie Countryman, Project Team Leader, action’’alternative. The no-action be accepted and considered; however, Wallowa-Whitman National Forest alternative is evaluated in order to those who submit anonymous Supervisor’s Office. Phone: (541) 523– establish a baseline condition of existing comments will not have standing to 1264. and future environmental conditions in appeal the subsequent decision under SUPPLEMENTARY INFORMATION: The the project area. Based on the issues 36 CFR Parts 215. Additionally, planning area is within the boundary of gathered through scoping, the action pursuant to 7 CFR 1.27(d), any person the North Fork Burnt River Watershed. alternatives may vary in the type of may request the agency to withhold a The legal description of the decision operations permitted, the timing of submission from the public record by area is as follows: T9–11S, R35E, 35–1/ permitted operations and the types of showing how the Freedom of 2E, 36E, W.M. surveyed. mitigation required. Action alternatives Information Act (FOIA) permits such Since 1996, sections of the North Fork include—the proposed mining activities confidentiality. Persons requesting such of the Burnt River and its tributaries and alternatives that modify the confidentiality should be aware that,
VerDate 11
under the FOIA, confidentiality may be The Forest Service is the lead agency. Ranger District, P.O. Box 210 Dolores, granted in only very limited Jean Lavell, District Ranger, is the Co. 81323 (970–882–7296). circumstances, such as to protect trade Responsible Official. As the Responsible Responsible Official: Rick Cables, secrets. The Forest Service will inform Official, she will decide which, if any, Rocky Mountain Regional Forester at the requester of the agency’s decision of the proposed plans will be P.O. Box 25127, Lakewood, CO 80225– regarding the request for confidentiality, implemented. She will document the 0127. and where the request is denied, the decision and reasons for the decision in SUPPLEMENTARY INFORMATION: Pursuant agency will return the submission and the Record of Decision. That decision to part 36 Code of Federal Regulations notify the requester that the comments will be subject to Forest Service Appeal (CFR) 219.10(g), the Regional Forester may be resubmitted with or without Regulations (36 CFR Part 215). for the Rocky Mountain Region gives name and address within a specified Dated: May 30, 2001. notice of the agency’s intent to prepare number of days. an environmental impact statement for The Forest Service believes it is Karyn L. Wood, Forest Supervisor. road reconstruction and issuance of an important to give reviewers notice, at easement across such road in an [FR Doc. 01–14049 Filed 6–4–01; 8:45 am] this early stage, of several court rulings inventoried roadless area for the related to public participation in the BILLING CODE 3410–11–M purpose of providing the applicant environmental review process. First, access to non-federally owned lands reviewers of draft EIS’s must structure DEPARTMENT OF AGRICULTURE within the boundaries of the National their participation in the environmental Forest System. review of the proposal so that it is Forest Service The Regional Forester gives notice meaningful and alerts the agency to the that the Forest is initiating an reviewer’s position and contentions. Reconstruction of Meadows Road #205 environmental-analysis and decision- Vermont Yankee Nuclear Power Corp. v. and Issuance of a Road Easement for making process for this proposed action NRDC, 435 U.S. 519, 553 (1978). Also, Access to Private Land so that interested or affected people can environmental objections that could be participate in the analysis and raised at the draft EIS stage but that are AGENCY: Forest Service, USDA. contribute to the final decision. not raised until completion of the final ACTION: Notice of intent to prepare an Opportunities will be provided to EIS may be waived or dismissed by the environmental impact statement in discuss the road reconstruction and courts. City of Angoon v. Hodel, 803 f. conjunction with issuance of a road easement issuance proposal openly with 2d 1016, 1022 (9th Cir. 1986) and easement and reconstruction of the the public. The public is invited to help Wisconsin Heritages, Inc, v. Harris, 490 Meadows Road #205 through an identify issues and define the range of F. Supp. 1334, 1338 (E.D. Wis. 1980). inventoried roadless area Dolores alternatives to be considered in the Because of these court rulings, it is very County, Colorado. environmental impact statement. important that those interested in this Written comments identifying issues for proposed action participate by the close SUMMARY: The Forest Service will analysis and the range of alternatives of the 45-day comment period so that prepare an environmental impact will be encouraged. substantive comments and objections statement in conjunction with a The public has already identified a are made available to the Forest Service proposal to issue a road easement to a number of issues. Additional issue at the time when it can meaningfully private landowner and the reconstruct identification (scoping) will continue in consider and respond to them in the an existing classified roadway, the the summer of 2001. Requests to be on final EIS. Meadows Road #205, across a portion of the mailing list should be sent to: John To assist the Forest Service in an inventoried roadless area to access Reidinger, Forest, P.O. Box 210, Dolores, identifying and considering issues and the landowners property. Co. 81323 (970) 882–7296. concerns on the proposed action, This notice describes known issues This project is being undertaken to comments on the draft environmental with the proposed road reconstruction provide access to a private, non- impact statement should be as specific project, estimated dates for filing the federally owned land as required by the as possible. It is also helpful if environmental impact statement, Alaska Native Interest Lands comments refer to specific pages or information concerning public and Conservation Act (Pub. L. 96–487). chapters of the draft statement. tribal participation, and the names and Private land inholders are to be Comments may also address the addresses of the agency officials who provided access across National Forest adequacy of the draft EIS or merits of can provide additional information. System land to private land that is the alternatives formulated and DATES: Comments concerning the scope adequate to secure the owners thereof of discussed in the statement. (Reviewers of the analysis should be received in reasonable use and enjoyment of their may wish to refer to the Council on writing by July 6, 2001. The agency land. The private landowner has Environmental Quality Regulations for expects to file a draft environmental proposed use of the existing road across implementing the procedural provisions impact statement with the the inventoried roadless area to meet of the National Environmental Policy Environmental Protection Agency (EPA) Act at 40 CFR 1503.3 in addressing their access needs. and make it available for public, agency, these points). Major Issues The final EIS is scheduled for and tribal government comment in late completion July 2002. In the final EIS, summer of 2001. A final environmental Lizard Head Roadless Area the Forest Service is required to respond impact statement is expected to be filed This RARE II area is an area of to comments and responses received in November of 2001. approximately 4,940 acres that is during the comment period that pertain ADDRESSES: Send written comments to: immediately south of the Lizard Head to the environmental consequences James Powers, Forest Planner, San Juan Wilderness and north of Colorado discussed in the draft EIS and National Forest, 15 Burnett Court, Highway 145. It has a low wilderness applicable laws, regulations, and Durango, CO 81301. attribute rating because of its proximity policies considered in making a FOR FURTHER INFORMATION CONTACT: John to the highway and the West Dolores decision regarding the proposal. Reidinger, Forester, Mancos-Dolores road and was excluded from the Lizard
VerDate 11
Head wilderness when it was created in rulings, it is very important that those 3 p.m. During this meeting we will 1983. The existing Meadows road #205 interested in this proposed action finalize advice on Dry Forest Strategy crosses a portion of this inventoried participate by the close of the comment management implementation on the roadless area. period, so that substantive comments Okanogan and Wenatchee National and objectives are made available to the Wetlands Forests, develop advice on noxious Forest Service at a time when it can weed management, and share The existing roadway crosses a meaningfully consider them and information on the implementation of several small areas of wetlands. respond to them in the FEIS. the Northwest Forest Plan. All Eastern Geological Hazards To assist the Forest Service in Washington Cascades and Yakima identifying and considering issues and Province Advisory Committee meetings The only alternative to the Meadows concerns relating to the proposed are open to the public. Interested Road that provides access to the private actions, comments on the DEIS should citizens are welcome to attend. lands is another existing two-track road be as specific as possible. It is also that is unsafe and is closed by helpful if comments refer to specific FOR FURTHER INFORMATION CONTACT: landslides. pages or chapters of the draft statement. Direct questions regarding this meeting Involving the Public Comments may also address the to Paul Hart, Designated Federal adequacy of the DEIS or the merits of Official, USDA, Wenatchee National The Forest Service is seeking the alternatives formulated and information, comments, and assistance Forest, 215 Melody Lane, Wenatchee, discussed in the statements. In Washington 98801, 509–662–4335. from individuals, organizations, tribal addressing these points, reviewers may governments, and federal, state, and wish to refer to the Council on Dated: May 21, 2001. local agencies that are interested in or Environmental Quality Regulations for Sonny J. O’Neal, may be affected by the proposed action. implementing the procedural provisions Forest Supervisor, Okanogan and Wenatchee The range of alternatives to be of the National Environmental Policy National Forests. considered in the DEIS will be based on Act at 40 CFR 1503.3. [FR Doc. 01–13992 Filed 6–4–01; 8:45 am] public issues, management concerns, After the comment period on the DEIS BILLING CODE 3410–11–M resource management opportunities, ends, comments will be analyzed, and specific decisions to be made. considered, and responded to by the Public participation will be solicited Forest Service in preparing the Final DEPARTMENT OF AGRICULTURE by notifying in person and/or by mail EIS. The FEIS is scheduled to be known interested and affected local completed in the fall of 2001. The Forest Service government agencies. News releases responsible official will consider the will be used to give the public general comments, responses, environmental John Day/Snake Resource Advisory notice. consequences discussed in the FEIS, Council, Hells Canyon Subgroup Release and Review of the EIS and applicable laws, regulations, and AGENCY: Forest Service, USDA. We expect the DEIS to be filed with policies in making decisions regarding these revisions. The responsible official the Environmental Protection Agency ACTION: Notice of meeting. (EPA) and to be available for public, will document the decisions and reasons for the decisions in a Record of agency, and tribal government comment SUMMARY: Decision. The decision will be subject to The Hells Canyon Subgroup in summer of 2001. At that time, the of the John Day/Snake Resource EPA will publish a notice of availability appeal in accordance with 36 CFR part 251. Advisory Council will meet on June 15– for the DEIS in the Federal Register. The 16, 2001 at the Wallowa Mountains comment period on the DEIS will be 45 Dated: May 29, 2001. Visitors Center, 88401 Hwy 82, days from the date the EPA publishes Calvin N. Joyner, Enterprise, OR 97828. The meeting will the notice of availability in the Federal Forest Supervisor, San Juan National Forest. begin at 10 a.m. and continue until 5 Register. [FR Doc. 01–13991 Filed 6–4–01; 8:45 am] p.m. the first day and day 2 will begin The Forest Service believes, at this BILLING CODE 3410–11–M at 8 a.m and will be a field trip to the early stage, it is important to give reviewers notice of several court rulings Buckhorn Lookout Area. Agenda items to be covered include: (1) Update on related to public participation in the DEPARTMENT OF AGRICULTURE environmental review process. First, CMP (2) Review of the fires on the NRA reviewers of the DEIS must participate Forest Service in 2000. Public comments will be in the environmental review of the received June 15, 2001 at 1:30 p.m. at proposal in such a way that their Eastern Washington Cascades the Wallowa Mountains Visitors Center. participation is meaningful and alerts an Provincial Advisory Committee and Yakima Provincial Advisory Committee FOR FURTHER INFORMATION CONTACT: agency to the reviewer’s position and Direct questions regarding this meeting contentions, Vermont Yankee Nuclear AGENCY: Forest Service, USDA. to Kendall Clark, Area Ranger, USDA, Power Corp. v. NRDC. 435 U.S. 519, 553 ACTION: Notice of meeting. Hells Canyon National Recreation Area, (1978). Also, environmental objections 88401 Highway 82, Enterprise, OR that could be raised at the DEIS stage SUMMARY: The Eastern Washington 97828, 541–426–5501. but are not raised until after completion Cascades Provincial Advisory of the Final Environmental Impact Committee and the Yakima Provincial Dated: May 30, 2001. Statement (FEIS) may be waived or Advisory Committee will meet on Karyn L. Wood, dismissed by the courts: City of Angoon Friday, June 8, 2001, at the Wenatchee Forest Supervisor. v. Hodel, 803 2d 1016, 1022 (9th Cir. National Forest headquarters main [FR Doc. 01–14048 Filed 6–5–01; 8:45 am] 1986) and Wisconsin Hertages, Inc., v. conference room, 215 Melody Lane, BILLING CODE 3410–11–M Harris, 490 F. Supp. 1334, 1338 (E.D. Wenatchee, Washington. The meeting Wis. 1980). Because of these court will begin at 9 a.m. and continue until
VerDate 11
DEPARTMENT OF AGRICULTURE Agency Form Number: ITA–4139P, Copies of the above information and ITA–4140P. collection proposal can be obtained by Forest Service OMB Number: 0625–0240. calling or writing Madeleine Clayton, Type of Request: Regular Submission. Departmental Paperwork Clearance Willamette Provincial Advisory Estimated Burden: 352 hours. Officer, (202) 482–3129, Department of Committee (PAC) Estimated Number of Respondents: Commerce, Room 6086, 14th and 24. AGENCY: Forest Service, USDA. Constitution, NW., Washington, DC Est. Avg. Hours Per Response: 1—24 20230 ACTION: Action of meeting. hours. Written comments and Needs and Uses: Title V of the Trade recommendations for the proposed SUMMARY: The Willamette Province and Development Act of 2000 (‘‘the Advisory Committee (PAC) will meet on information collection should be sent to Act’’) contains several provisions to David Rostker, OMB Desk Officer, Room Thursday, June 21, 2001. The meeting is assist the wool products industries. scheduled to begin at 9 a.m., and will 10202, New Executive Office Building, These include the establishment of tariff Washington, DC 20503 within 30 days conclude at approximately 2 p.m. The rate quotas (TRQ) for a limited quantity meeting will be held at the Salem Office of the publication of this notice in the of worsted wool fabrics. The Act Federal Register. of the Bureau of Land Management; requires the President to fairly allocate 1717 Fabry Road SE; Salem, Oregon; the TRQ to persons who cut and sew Dated: May 31, 2001. (503) 375–5646. The tentative agenda men’s and boys’ worsted wool suits and Madeleine Clayton, includes: suit like jackets and trousers in the Departmental Paperwork Clearance Officer, (1) BPA Lower Columbia Assessment United States, and who apply for an Office of the Chief Information Officer. process, (2) Growth and development of allocation based on the amount of suits [FR Doc. 01–14112 Filed 6–4–01; 8:45 am] old-growth forests, (3) Public Forum, (4) they produce in the prior year. The Act BILLING CODE 3510–DR–P Subcommittee organization, (5) REO further requires the President, on an update and information sharing. annual basis, to consider requests from The Public Forum is tentatively the manufacturers of the apparel DEPARTMENT OF COMMERCE scheduled to begin at 10:30 a.m. Time products listed above, to modify the Submission for OMB Review; allotted for individual presentations limitation on the quantity of imports Comment Request will be limited to 3–4 minutes. Written subject to the TRQ. The Act specifies comments are encouraged, particularly factors to be considered in making The Department of Commerce has if the material cannot be presented determinations on such requests. The submitted to the Office of Management within the time limits for the Public TRQ is effective for goods entered or and Budget (OMB) for clearance the Forum. Written comments may be withdrawn from warehouse for following proposal for collection of submitted prior to the June 21 meeting consumption, on or after January 1, information under the provisions of the by sending them to Designated Federal 2001, and will remain in force through Paperwork Reduction Act (44 U.S.C. Official Neal Forrester at the address 2003. A TRQ allocation will be valid Chapter 35). given below. only in the year for which it is issued. Agency: National Institute of FOR FURTHER INFORMATION CONTACT: For On December 1, 2000, the President Standards and Technology. more information regarding this issued Proclamation 7383 that, among Title: BEES Please. meeting, contact Designated Federal other things, delegates authority to the Form Number(s): None. Official Neal Forrester; Willamette Secretary of Commerce to allocate the OMB Approval Number: None. National Forest; 211 East Seventh TRQ; to consider, on an annual basis, Type of Request: Regular submission. Avenue; Eugene, Oregon 97401; (541) requests to modify the limitation on the Burden Hours: 1875 hours. 465–6924. quantity of the TRQ and to recommend Number of Respondents: 30. Average Hours Per Response: 45 Dated: May 30, 2001. appropriate modifications to the President; and to issue regulations to hours for questionnaire covering 6 Daniel L. Call, environmental impacts; 80 hours for Acting Forest Supervisor. implement these provisions. On January 22, 2001, the Department of Commerce questionnaire covering 10 [FR Doc. 01–14047 Filed 6–4–01; 8:45 am] published regulations establishing environmental impacts. BILLING CODE 3410–11–M procedures for allocation of the tariff Needs and Uses: Over the last six rate quotas (66 FR 6459, 15 CFR part years, the Building and Fire Research 335) and for considering requests for Laboratory of the National Institute of Standards and Technology (NIST) has DEPARTMENT OF COMMERCE modification of the limitations (66 FR 6459, 15 CFR part 340). developed and automated an approach Submission for OMB Review; The Department must collect certain for measuring the life-cycle Comment Request information in order to fairly allocate environmental and economic the TRQ to eligible persons and to make performance of building products. DOC has submitted to the Office of informed recommendations to the Known as BEES (Building for Management and Budget (OMB) for President on whether or not to modify Environmental and Economic clearance the following proposal for the limitation on the quantity of the Sustainability), the tool reduces collection of information under the TRQ. This request for comment is for complex, science-based technical provisions of the Paperwork Reduction the proposed information collections content (e.g., up to 400 material and Act of 1995, Public Law 104–13. after July 31, 2001. energy flows from raw material Bureau: International Trade Affected Public: Business or other for- extraction through product disposal) to Administration. profits. decision-enabling results and delivers Title: Imports of Certain Worsted Frequency: Annually. them in a visually intuitive graphical Wool Fabric: Implementation of Tariff Respondent’s Obligation: Voluntary. format. While the latest version, BEES Rate Quota Established Under Title V of OMB Desk Officer: David Rostker, 2.0, includes estimated environmental the Trade and Development Act of 2000. (202) 395–7340. and economic performance data for 65
VerDate 11
generic, industry-average building DEPARTMENT OF COMMERCE The charging letter further alleged products, NIST has been asked by both that, in connection with the export EPA and BEES users to deliver more Bureau of Export Administration made on or about June 19, 1997, Fajardo precision and practicality by adding [Docket No. 00–BXA–10] prepared an air waybill, defined as an data for manufacturer-specific products. export control document in Part 772 of The rationale is that purchasers buy Miguel Angel Fajardo Individually and the Regulations, falsely representing actual products, not industry-averages Doing Business as Seguridad y that the goods being shipped had no (there is no such thing), and that actual Electronic MAFO, S.A., Respondent; value. BXA alleged that, by making false products likely perform quite differently Decision and Order or misleading representations, than their industry averages. The statements, or certifications directly or program encouraging collaboration with The Administrative Law Judge has indirectly to a U.S. Government agency building product manufacturers so that entered a Recommended Decision and in connection with the preparation, their products may be scientifically Order in the above-captioned matter. As submission, issuance, use, or evaluated by BEES is known as BEES provided by section 766.22(c) of the maintenance of an export control Please. Export Administration Regulations (15 document, Fajardo violated Section CFR parts 730–774 (2000) (the 764.2(g) of the Regulations. BEES directly supports Executive ‘‘Regulations’’)), issued pursuant to the Order 13101 (9/98), ‘‘Greening the The charging letter was served on Export Administration Act of 1979, as 2 Government Through Waste Prevention, amended (50 U.S.C.A. app. 2401–2420 Fajardo on January 31, 2001. Fajardo’s Recycling, and Federal Acquisition,’’ (1991 & Supp. 2000)) (the ‘‘Act’’, 1 the answer therefore was due on or before which encourages Federal agencies to Recommended Decision and Order has March 2, 2001. On February 28, 2001, purchase environmentally-preferable been referred to me for final action. On pursuant to section 766.16 of the products. EO 13101 is administered by December 18, 2000, the Office of Export Regulations, the parties filed a the U.S. EPA Environmentally Enforcement, Bureau of Export Stipulated Extension of Time to Answer Preferable Purchasing Program. In their Administration, United States Charging Letter. On March 5, 2001, the Congressionally-mandated Final Department of Commerce (hereinafter Administrative Law Judge (‘‘ALJ’’) Guidance, which was published in the ‘‘BXA’’), issued a charging letter issued an order granting an extension of Federal Register (available at http:// initiating this administrative proceeding time to answer the charging letter to www.epa.gov/opptintr/epp/ against Miguel Angel Fajardo, March 23, 2001. finalguidancetoc.htm), BEES is listed as individually and doing business as Fajardo failed to answer the charging one of only two life-cycle based Seguridad y Electronic MAFO, S.A. letter before March 23, 2001, as required resources that Federal agency personnel (hereinafter referred to collectively as by section 766.6 of the Regulations. may find useful in implementing ‘‘Fajardo’’). The charging letter alleged Pursuant to the default procedures set environmentally preferable purchasing. that Fajardo committed three violations forth in section 766.7 of the Regulations, NIST needs information from building of the Regulations. BXA moved that the ALJ find the facts product manufacturers so that Federal Specifically, the charging letter to be as alleged in the charging letter personnel may consider their products alleged that on or about June 19, 1997, and render a Recommended Decision in their environmentally-preferable Fajardo exported shotguns from the and Order. purchase decisions. Untied States to Honduras without Following BXA’s motion, the ALJ Affected Public: Business and other obtaining from BXA the validated issued a Recommended Decision and for-profit organizations. export license that Fajardo knew or had Order in which he found the facts to be Frequency: Once. reason to know was required by section as alleged in the charging letter served Respondent’s Obligation: Required to 742.7 of the Regulations. BXA alleged on Fajardo. The ALJ also found, based obtain or retain benefits. that, by transferring, transporting, or on those facts, that Fajardo violated OMB Desk Officer: David Rostker, forwarding U.S.-origin commodities to sections 764.2(a), 764.2(e), and 764.2(g) (202) 395–3897. be exported from the United States with of the Regulations by exporting Copies of the above information Knowledge or reason to know that a shotguns to Honduras without the collection proposal can be obtained by violation of the Act or any regulation, authorization Fajardo knew or had calling or writing Madeleine Clayton, order, or license issued thereunder has reason to know was required by the Departmental Paperwork Clearance occurred, is about to occur, or is Regulations, and by making false or Officer, (202) 482–3129, Department of intended to occur, Fajardo violated misleading statements of material fact to Commerce, Room 6086, 14th and section 764.2(e) of the Regulations. BXA a U.S. Government agency in Constitution Avenue, NW., Washington, also alleged that, by exporting a connection with the preparation, DC 20230 (or via the Internet at commodity to any person or destination submission, issuance, use, or [email protected]). or for any use in violation of or contrary maintenance of an export control to the terms, provisions, or conditions of Written comments and document. the Act, or any regulation, order, or recommendations for the proposed The ALJ also recommended that the license issued thereunder, Fajardo information collection should be sent appropriate penalty to be imposed violated section 764.2(a) of the within 30 days of publication of this against Fajardo for these violations is a Regulations. notice to David Rostker, OMB Desk civil penalty of $30,000 and a denial, for Officer, Room 10202, New Executive a period of 20 years, of all of Fajardo’s 1 The Act expired on August 20, 1994. Executive privileges of participating, directly or Office Building, Washington, DC 20503. Order 12924 (3 C.F.R., 1994 Comp. 917 (1995)), indirectly, in any manner or capacity, in Dated: May 31, 2001. which had been extended by successive Presidential Notices, the most recent being that of any transaction in the United States or Madeleine Clayton, August 3, 2000 (65 FR 48347, August 8, 2000), abroad involving commodities, Departmental Paperwork Clearance Officer, continued the Regulations in effect under the software, or technology exported or to Office of the Chief Information Officer. International Emergency Economic Powers Act (50 U.S.C.A. 1701–1706 (1991 & Supp. 2000)) until [FR Doc. 01–14117 Filed 6–4–01; 8:45 am] November 13, 2000, when the Act was 2 The parties have stipulated that this was the BILLING CODE 3510–13–P reauthorized. See Pub. L. 106–508. date of service.
VerDate 11
be exported from the United States and A. Export or reexport to or on behalf Dated: May 29, 2001. subject to the Regulations. of the denied person any item subject to Kenneth I. Juster, Based on my review of the entire the Regulations; Under Secretary for Export Administration. record, I affirm the findings of fact and B. Take any action that facilitates the [FR Doc. 01–13990 Filed 6–4–01; 8:45 am] conclusions of law in the Recommended acquisition or attempted acquisition by BILLING CODE 3510–DT–M Decision and Order of the the denied person of the ownership, Administrative Law Judge. possession, or control of any item Accordingly, It Is Therefore Ordered, subject to the Regulations that has been DEPARTMENT OF COMMERCE First, that a civil penalty of $30,000 is or will be exported from the United assessed against Fajardo, which shall be International Trade Administration States, including financing or other paid to the Department of Commerce support activities related to a within 30 days of the date of entry of Closed Meeting of the U.S. Automotive transaction whereby the denied person this Order. Payment shall be made in Parts Advisory Committee (APAC) the manner specified in the attached acquires or attempts to acquire such ownership, possession, or control; AGENCY: International Trade instructions. Administration, Commerce. Second, that, pursuant to the Debt C. Take any action to acquire from or ACTION: Collection Act of 1982, as amended (31 to facilitate the acquisition or attempted Announcement of meeting. U.S.C.A. 3701–3720E (1983 and Supp. acquisition from the denied person of SUMMARY: The APAC will have a closed 1999)), the civil penalty owed under any item subject to the Regulations that meeting on June 19, 2001 at the U.S. this Order accrues interest as more fully has been exported from the United Department of Commerce to discuss described in the attached Notice and, if States; U.S.-made automotive parts sales in payment is not made by the due date D. Obtain from the denied person in Japanese and other Asian markets. specified herein, respondent will be the United States any item subject to the DATES: June 19, 2000. assessed, in addition to interest, a Regulations with knowledge or reason penalty charge and an administrative FOR FURTHER INFORMATION CONTACT: Dr. to know that the item will be, or is charge, as more fully described in the Robert Reck, U.S. Department of intended to be, exported from the attached Notice. Commerce, Room 4036, Washington, DC United States; or Third, that, for a period of 20 years 20230, telephone: 202–482–1418. from the date of entry of this Order, E. Engage in any transaction to service SUPPLEMENTARY INFORMATION: The U.S. Miguel Angel Fajardo, individually and any item subject to the Regulations that Automotive Parts Advisory Committee doing business as Seguridad y has been or will be exported from the (the ‘‘Committee’’) advises U.S. Electronica MAFO, S.A. with an address United States and that is owned, Government officials on matters relating at 4 Calle, 15 y 16 Ave., S.O. Barrio possessed, or controlled by the denied to the implementation of the Fair Trade Suyapa #105, 58–0081 San Pedro Sula, person, or service any item, of whatever in Automotive Parts Act of 1998 (Pub. Honduras, Central America, and all origin, that is owned, possessed, or L. 105–261). The Committee: (1) Reports successors or assigns, officers, controlled by the denied person if such to the Secretary of Commerce on representatives, agents, and employees, service involves the use of any item barriers to sales of U.S.-made may not participate, directly or subject to the Regulations that has been automotive parts and accessories in indirectly, in any way in any transaction or will be exported from the United Japanese and other Asian markets; (2) involving any commodity, software, or States. For purposes of this paragraph, reviews and considers data collected on technology (hereinafter collectively servicing means installation, sales of U.S.-made auto parts and referred to as ‘‘item’’) exported or to be maintenance, repair, modification, or accessories in Japanese and other Asian exported from the United States, that is testing. markets; (3) advises the Secretary of subject to the Regulations, or in any Commerce during consultations with Fifth, that, after notice and other activity subject to the Regulations, other Governments on issues concerning opportunity for comment as provided in including, but not limited to: sales of U.S.-made automotive parts in Section 766.223 of the Regulations, any A. Applying for, obtaining, or using Japanese and other Asian markets; and any license, License Exception, or person, firm, corporation, or business (4) assists in establishing priorities for export control document; organization related to Fajardo by the initiative to increase sales of U.S.- B. Carrying on negotiations affiliation, ownership, control, or made auto parts and accessories to concerning, or ordering, buying, position of responsibility in the conduct Japanese markets, and otherwise receiving, using, selling, delivering, of trade or related services may also be provide assistance and direction to the storing, disposing of, forwarding, subject to the provisions of this Order. Secretary of Commerce in carrying out transporting, financing, or otherwise Sixth, that this Order does not the intent of that section; and (5) assists servicing in any way, any transaction prohibit any export, reexport, or other the Secretary of Commerce in reporting involving any item exported or to be transaction subject to the Regulations to Congress by submitting an annual exported from the United States that is where the only items involved that are written report to the Secretary on the subject to the Regulations, or in any subject to the Regulations are the sale of U.S.-made automotive parts in other activity subject to the Regulations; foreign-produced direct product of U.S.- Japanese and other Asian markets, as or origin technology. well as any other issues with respect to C. Benefiting in any way from any which the Committee provides advice Seventh, that a copy of this Order transaction involving any item exported pursuant to its authorizing legislation. or to be exported from the United States shall be served on Fajardo and on BXA, At the meeting, committee members that is subject to the Regulations, or in and shall be published in the Federal will discuss specific trade and sales any other activity subject to the Register. expansion programs related to Regulations. This Order, which constitutes the automotive parts trade policy between Fourth, that no person may, directly final agency action in this matter, is the United States and Japan and other or indirectly, do any of the following: effective immediately. Asian markets.
VerDate 11
The Acting Assistant Secretary for 20910 (telephone 301–713–3125, ext. ways to enhance the quality, utility, and Administration, with the concurrence of 117). clarity of the information to be the General Counsel formally SUPPLEMENTARY INFORMATION: collected; and (d) ways to minimize the determined on May 31, 2001, pursuant burden of the collection of information to section 10(d) of the Federal Advisory I. Abstract on respondents, including through the Committee Act, as amended, that the Persons wishing to conduct otherwise use of automated collection techniques June 19 meeting of the Committee and prohibited activities in a National or other forms of information of any subcommittee thereof, dealing Marine Sanctuary must apply for and technology. with privileged or confidential receive a permit. Persons issued permits Comments submitted in response to commercial information may be exempt must file reports on the activity this notice will be summarized and/or from the provisions of the Act relating conducted. The information is required included in the request for OMB to open meeting and public to ensure that the proposed activity is approval of this information collection; participation therein because these consistent with the objectives of the they also will become a matter of public items are concerned with matters that sanctuary, and the reports are needed to record. are within the purview of 5 U.S.C. 552b ensure compliance with permit Dated: May 29, 2001. (c)(4) and (9)(B). A copy of the Notice conditions and to increase knowledge Gwellnar Banks, of Determination is available for public regarding the sanctuary’s resources. Management Analyst, Office of the Chief inspection and copying in the Information Officer. Department of Commerce Records II. Method of Collection [FR Doc. 01–14127 Filed 6–4–01; 8:45 am] Inspection Facility, Room 6020, Main Specific requirements are detailed in Commerce. various subparts of 15 CFR part 922. BILLING CODE 3510–08–S Dated: May 31, 2001. Persons wanting a permit are sent Thomas Sobotta, guidelines for the application process or DEPARTMENT OF COMMERCE an application form. Acting Director, Office of Automotive Affairs. National Oceanic and Atmospheric [FR Doc. 01–14175 Filed 6–4–01; 8:45 am] III. Data Administration BILLING CODE 3510–DR–P OMB Number: 0648–0141. Form Number: None. [I.D. 053101B] Type of Review: Regular submission. DEPARTMENT OF COMMERCE Affected Public: Not-for-profit Cooperative Charting Program institutions, individuals or households, National Oceanic and Atmospheric AGENCY: National Oceanic and business or other for-profit Atmospheric Administration (NOAA). Administration organizations, and state, local, or tribal ACTION: Proposed information government. [I.D. 053101A] Estimated Number of Respondents: collection; comment request. 336. National Marine Sanctuary Permits SUMMARY: The Department of Estimated Time Per Response: One Commerce, as part of its continuing AGENCY: National Oceanic and hour each for a general permit effort to reduce paperwork and Atmospheric Administration (NOAA). application, cruise or flight log, and respondent burden, invites the general ACTION: Proposed information report; 2 hours each for a historical public and other Federal agencies to collection; comment request. resource permit application, cruise log, take this opportunity to comment on and report; 24 hours each for a special proposed and/or continuing information SUMMARY: The Department of use permit application, final report, and collections, as required by the Commerce, as part of its continuing financial report; 15 minutes for a permit Paperwork Reduction Act of 1995, Pub. effort to reduce paperwork and amendment; 15 minutes each for a L. 104–13 (44 U.S.C. 3506 (c)(2)(A)). baitfish permit application and a respondent burden, invites the general DATES: Written comments must be public and other Federal agencies to logbook; 15 minutes for researcher submitted on or before August 6, 2001. take this opportunity to comment on entries to a research registry; 30 minutes ADDRESSES: Direct all written comments proposed and/or continuing information to request certification of a pre-existing to Madeleine Clayton, Departmental collections, as required by the lease, license, or permit; 1 hour for a Paperwork Clearance Officer, Paperwork Reduction Act of 1995, Pub. notification of a request for a permit Department of Commerce, Room 6086, L. 104–13 (44 U.S.C. 3506(c) (2) (A)). from another agency, cruise or flight log, and report; and 1.5 hours for a permit 14th and Constitution Avenue NW, DATES: Written comments must be Washington DC 20230 (or via Internet at submitted on or before August 6, 2001. appeal. Estimated Total Annual Burden [email protected]). ADDRESSES: Direct all written comments Hours: 886. FOR FURTHER INFORMATION CONTACT: to Madeleine Clayton, Departmental Estimated Total Annual Cost to Requests for additional information or Paperwork Clearance Officer, Public: $800. copies of the information collection Department of Commerce, Room 6086, instrument(s) and instructions should 14th and Constitution Avenue NW, IV. Request for Comments be directed to Ken Forster, N/CS26, Washington DC 20230 (or via Internet at Comments are invited on: (a) whether Station 7308, 1315 East-West Highway, [email protected]). the proposed collection of information Silver Spring, MD 20910–3282 (phone FOR FURTHER INFORMATION CONTACT: is necessary for the proper performance 301–713–2737, ext. 130). Requests for additional information or of the functions of the agency, including SUPPLEMENTARY INFORMATION: copies of the information collection whether the information shall have instrument(s) and instructions should practical utility; (b) the accuracy of the I. Abstract be directed to John Armor, Permit agency’s estimate of the burden NOAA’s National Ocean Service Coordinator, 1305 East-West Highway (including hours and cost) of the (NOS) produces the official nautical (N/ORM6), Silver Spring, Maryland, proposed collection of information; (c) charts of the United States. As part of its
VerDate 11
efforts to keep the charts up-to-date, DEPARTMENT OF COMMERCE III. Data NOS has a Memorandum of Agreement OMB Number: 0648–0359. with both the United States Power National Oceanic and Atmospheric Administration Form Number: None. Squadrons and the United States Coast Type of Review: Regular submission. Guard Auxiliary that provides for [I.D. 053101D] Affected Public: Business or other for- members to submit chart correction data profit organizations, individuals or to NOS. Southeast Region Gear Identification households. Requirements Estimated Number of Respondents: II. Method of Collection AGENCY: National Oceanic and 1,000. Paper forms are used, but a Web Atmospheric Administration (NOAA). Estimated Time Per Response: 20 version is being created. ACTION: Proposed information minutes for marking of a Spanish collection; comment request. mackerel gillnet float, 7 minutes to tag III. Data a trap, and 10 seconds to mark or tag an SUMMARY: The Department of aquacultured live coral rock. OMB Number: 0648–0022. Commerce, as part of its continuing Estimated Total Annual Burden Form Number: NOAA Forms 77–4, effort to reduce paperwork and Hours: 2,192. 77–5. respondent burden, invites the general Estimated Total Annual Cost to Type of Review: Regular submission. public and other Federal agencies to Public: $15,200 take this opportunity to comment on IV. Request for Comments Affected Public: Not-for-profit proposed and/or continuing information institutions, individuals or households. collections, as required by the Comments are invited on: (a) whether Estimated Number of Respondents: Paperwork Reduction Act of 1995, Pub. the proposed collection of information 3,000. L. 104–13 (44 U.S.C. 3506 (c)(2)(A)). is necessary for the proper performance Estimated Time Per Response: 3 DATES: Written comments must be of the functions of the agency, including hours. submitted on or before August 6, 2001. whether the information shall have ADDRESSES: Direct all written comments practical utility; (b) the accuracy of the Estimated Total Annual Burden to Madeleine Clayton, Departmental agency’s estimate of the burden Hours: 45,000. Paperwork Clearance Officer, (including hours and cost) of the Estimated Total Annual Cost to Department of Commerce, Room 6086, proposed collection of information; (c) Public: $0. 14th and Constitution Avenue NW, ways to enhance the quality, utility, and Washington DC 20230 (or via Internet at clarity of the information to be IV. Request for Comments [email protected]). collected; and (d) ways to minimize the burden of the collection of information Comments are invited on: (a) whether FOR FURTHER INFORMATION CONTACT: on respondents, including through the the proposed collection of information Requests for additional information or use of automated collection techniques is necessary for the proper performance copies of the information collection instrument(s) and instructions should or other forms of information of the functions of the agency, including technology. whether the information shall have be directed to Robert Sadler, NMFS, 9721 Executive Center Drive N., St. Comments submitted in response to practical utility; (b) the accuracy of the this notice will be summarized and/or agency’s estimate of the burden Petersburg, FL 33702 (phone 727–570– 5326). included in the request for OMB (including hours and cost) of the approval of this information collection; SUPPLEMENTARY INFORMATION: proposed collection of information; (c) they also will become a matter of public ways to enhance the quality, utility, and I. Abstract record. clarity of the information to be Regulations at 50 CFR 622.6 (b) and Dated: May 29, 2001. collected; and (d) ways to minimize the 640.6 require that each fish or spiny Gwellnar Banks, burden of the collection of information lobster trap or pot be marked with a tag Management Analyst, Office of the Chief on respondents, including through the or the vessel permit number, depending Information Officer. use of automated collection techniques on the fishery, and have a buoy attached [FR Doc. 01–14129 Filed 6–4–01; 8:45 am] or other forms of information that meets specified identification BILLING CODE 3510–22–S technology. requirements. The marking of gear aids Comments submitted in response to law enforcement, helps to ensure that this notice will be summarized and/or vessels only harvest fish from their own DEPARTMENT OF COMMERCE included in the request for OMB gear, and makes it easier for fishermen approval of this information collection; to report the use of gear in unauthorized National Oceanic and Atmospheric they also will become a matter of public locations. Administration The regulations at 622.41 require that record. [I.D. 053101E] aquaculture site materials be Dated: May 29, 2001. distinguishable from the natural Southeast Region Vessel Identification Gwellnar Banks, occurring substrate, depending on the Requirements Management Analyst, Office of the Chief area either through marking or other Information Officer. method. The marking of aquacultured AGENCY: National Oceanic and [FR Doc. 01–14128 Filed 6–4–01; 8:45 am] site materials aids determination of the Atmospheric Administration (NOAA). BILLING CODE 3510–JT–S origin of those materials and thereby ACTION: Proposed information helps ensure compliance with the collection; comment request. regulations. SUMMARY: The Department of II. Method of Collection Commerce, as part of its continuing No information is collected. effort to reduce paperwork and
VerDate 11
respondent burden, invites the general practical utility; (b) the accuracy of the Call to Order public and other Federal agencies to agency’s estimate of the burden Adoption of Agenda take this opportunity to comment on (including hours and cost) of the proposed and/or continuing information proposed collection of information; (c) Consideration of 103rd Council Meeting collections, as required by the ways to enhance the quality, utility, and Summary Minutes Paperwork Reduction Act of 1995, Pub. clarity of the information to be Audit Report L. 104–13 (44 U.S.C. 3506 (c)(2)(A)). collected; and (d) ways to minimize the Sustainable Fisheries Act DATES: Written comments must be burden of the collection of information submitted on or before August 6, 2001. on respondents, including through the Reeffish Amendment 3 ADDRESSES: Direct all written comments use of automated collection techniques to Madeleine Clayton, Departmental or other forms of information - Public Hearings Report Paperwork Clearance Officer, technology. Queen Conch Fishery Management Plan Department of Commerce, Room 6086, Comments submitted in response to - Interviews with Queen Conch 14th and Constitution Avenue NW, this notice will be summarized and/or Fishers Washington DC 20230 (or via Internet at included in the request for OMB [email protected]). approval of this information collection; Recommendations by Administrative FOR FURTHER INFORMATION CONTACT: they also will become a matter of public Committee at its March 26, 2001 Requests for additional information or record. Meeting copies of the information collection instrument(s) and instructions should Dated: May 29, 2001. Meetings Attended by Council Members be directed to Robert Sadler, NMFS, Gwellnar Banks, and Staff 9721 Executive Center Drive N., St. Management Analyst, Office of the Chief Other Business Petersburg, FL 33702; phone 727–570– Information Officer. Next Council Meeting 5326. [FR Doc. 01–14130 Filed 6–4–01; 8:45 am] SUPPLEMENTARY INFORMATION: BILLING CODE 3510–22–S The meeting is open to the public, I. Abstract and will be conducted in English. However, simultaneous interpretation Regulations at 50 CFR 622.6 and 640.6 DEPARTMENT OF COMMERCE (Spanish-English) will be available require that all vessels with Federal during the Council meeting (June 28–29, permits to fish in the Southeast, and all National Oceanic and Atmospheric 2001). Fishers and other interested vessels that fish for or possess shrimp in Administration persons are invited to attend and the Gulf Exclusive Economic Zone, participate with oral or written display the vessel’s official number. The [I.D. 052901D] statements regarding agenda issues. numbers must be in a specific size at Although non-emergency issues not specified locations. The display of the Caribbean Fishery Management contained in this agenda may come identifying number aids in fishery law Council; Public Meeting enforcement. before this group for discussion, those issues may not be the subject of formal AGENCY: National Marine Fisheries II. Method of Collection action during this meeting. Action will Service (NMFS), National Oceanic and No information is collected. The be restricted to those issues specifically Atmospheric Administration (NOAA), identified in this notice and any issues official number must be displayed on Commerce. the port and starboard sides of the arising after publication of this notice deckhouse or hull and on a weather ACTION: Notice of public meetings. that require emergency action under deck. section 305(c) of the Magnuson-Stevens SUMMARY: The Caribbean Fishery Fishery Conservation and Management III. Data Management Council (Council) will Act, provided the public has been OMB Number: 0648–0358. hold meetings. notified of the Council’s intent to take Form Number: None. final action to address the emergency. DATES: The meetings will be held on Type of Review: Regular submission. Special Accommodations Affected Public: Business or other for- June 28–29, 2001. The Council will profit organizations, individuals or convene on Thursday June 28, 2001, This meeting is physically accessible households. from 1 p.m. to 5 p.m., through June 29, to people with disabilities. For more Estimated Number of Respondents: 2001, from 9 a.m. to 12 noon, information or request for sign language 7,000. approximately. interpretation and/other auxiliary aids, Estimated Time Per Response: 45 please contact Mr. Miguel A. Rolo´n, ADDRESSES: The meetings will be held at minutes (15 minutes for each of three Executive Director, Caribbean Fishery the Ponce Holiday Inn, 3315 Ponce By markings). Management Council, 268 Mun˜ oz Pass, Ponce, Puerto Rico 00731. Estimated Total Annual Burden Rivera Avenue, Suite 1108, San Juan, Hours: 5,250. FOR FURTHER INFORMATION CONTACT: Puerto Rico, 00918–2577, telephone Estimated Total Annual Cost to Caribbean Fishery Management Council, (787) 766–5926, at least 5 days prior to Public: $210,000. 268 Mun˜ oz Rivera Avenue, Suite 1108, the meeting date. IV. Request for Comments San Juan, Puerto Rico 00918–2577, Dated: May 30, 2001. telephone: (787) 766–5926. Comments are invited on: (a) whether Richard W. Surdi, the proposed collection of information SUPPLEMENTARY INFORMATION: The Acting Director, Office of Sustainable is necessary for the proper performance Council will hold its 104th regular Fisheries, National Marine Fisheries Service. of the functions of the agency, including public meeting to discuss the items [FR Doc. 01–14126 Filed 6–4–01; 8:45 am] whether the information shall have contained in the following agenda: BILLING CODE 3510–22–S
VerDate 11
DEPARTMENT OF COMMERCE for discussion, those issues may not be FOR FURTHER INFORMATION CONTACT: Dan the subject of formal HMSPDT action Waldeck, Staff Officer; telephone: (503) National Oceanic and Atmospheric during this meeting. HMSPDT action 326–6352. Administration will be restricted to those issues SUPPLEMENTARY INFORMATION: The [I.D. 052901B] specifically listed in this document and purpose of the meeting is to review any issues arising after publication of assessments of black rockfish (in the Pacific Fishery Management Council; this document that require emergency southern area), yelloweye rockfish, and Public Meeting action under section 305 (c) of the the first phase of a new method being Magnuson-Stevens Act, provided the developed for data poor rockfish AGENCY: National Marine Fisheries public has been notified of the species. The STAR Panel will work with Service (NMFS), National Oceanic and HMSPDT’s intent to take final action to stock assessment teams to make Atmospheric Administration (NOAA), address the emergency. necessary revisions to the assessment Commerce. Special Accommodations documents and produce STAR Panel ACTION: Notice of public meeting. reports for use by the Council family The meeting is physically accessible and other interested persons. SUMMARY: The Pacific Fishery to people with disabilities. Requests for Although non-emergency issues not Management Council’s (Council) Highly sign language interpretation or other contained in the STAR Panel agenda Migratory Species Plan Development auxiliary aids should be directed to Ms. may come before the STAR Panel for Team (HMSPDT) will hold a work Carolyn Porter at (503) 326–6352 at least discussion, those issues may not be the session, which is open to the public. 5 days prior to the meeting date. subject of formal panel action during DATES: The HMSPDT will meet on Dated: May 30, 2001. this meeting. STAR Panel action will be Wednesday, June 20, 2001, 8 a.m. to 5 Richard W. Surdi, restricted to those issues specifically p.m.; Thursday, June 21, 2001, 8 a.m. to listed in this notice, and any issues 5 p.m.; and Friday, June 22, 2001, 8 a.m. Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. arising after publication of this notice until business for the day is completed. [FR Doc. 01–14124 Filed 6–4–01; 8:45 am] that require emergency action under ADDRESSES: The work session will be BILLING CODE 3510–22–S section 305 (c) of the Magnuson-Stevens held in the large conference room at the Fishery Conservation and Management NMFS Southwest Fisheries Science Act, provided the public has been Center, 8604 La Jolla Shores Drive, DEPARTMENT OF COMMERCE notified of the panel’s intent to take Room D–203, La Jolla, CA 92038–0271; final action to address the emergency. telephone: (619) 546–7100. National Oceanic and Atmospheric Special Accommodations Council address: Pacific Fishery Administration Management Council, 2130 SW Fifth The meeting is physically accessible Avenue, Suite 224, Portland, OR 97201. [I.D. 052901C] to people with disabilities. Requests for FOR FURTHER INFORMATION CONTACT: Dan Pacific Fishery Management Council; sign language interpretation or other Waldeck, Pacific Fishery Management Public Meeting auxiliary aids should be directed to Ms. Council; (503) 326–6352. Carolyn Porter at (503) 326–6352 at least AGENCY: SUPPLEMENTARY INFORMATION: The National Marine Fisheries 5 days prior to the meeting date. primary purpose of the work session is Service (NMFS), National Oceanic and Dated: May 30, 2001. Atmospheric Administration (NOAA), to revise the draft fishery management Richard W. Surdi, Commerce. plan (FMP) for highly migratory species Acting Director, Office of Sustainable (HMS) per Council guidance stemming ACTION: Notice of public meeting. Fisheries, National Marine Fisheries Service. from the June 2001 Council meeting. SUMMARY: The Pacific Fishery [FR Doc. 01–14125 Filed 6–4–01; 8:45 am] Proposed Agenda Management Council’s (Council) BILLING CODE 3510–22–S Groundfish Stock Assessment Review Wednesday June 20, 2001, 8 a.m. (STAR) Panel will hold a work session A. Call to order to review assessment information for DEPARTMENT OF COMMERCE B. Introduction of Team and Advisory species in the ‘‘remaining rockfish’’ United States Patent and Trademark Subpanel Members complex. This meeting is open to the Office C. Review and Approval of the public. Agenda [Docket No. 010321076–1076–01] DATES: The STAR Panel for the D. Distribute and Review New ‘‘remaining rockfish’’ complex will meet RIN 0651–AB26 HMSPDT Documents beginning at 1 p.m. June 25, 2001 and E. Review Executive Summary and continue through June 29, 2001. Except Notification of Required and Optional Chapters 1, 2, 3, and 4 for Monday, June 25, 2001, the STAR Search Criteria for Computer Thursday, June 21, 2001, 8 a.m. Panel will meet each day from 8 a.m. to Implemented Business Method Patent 5 p.m. Applications in Class 705, and Request F. Review of Chapters 5, 6, 7, and 8 for Comments ADDRESSES: The STAR Panel will be Friday, June 22, 2001, 8 a.m. held in the Large Conference Room AGENCY: United States Patent and G. Review of Chapter 9 (Room 188) at NMFS Southwest Trademark Office, Commerce. H. Further Discussion as Needed Fisheries Science Center, Santa Cruz ACTION: Notice of request for public I. Report to Council Laboratory, 110 Shaffer Road, Santa comments. J. Report to Advisory Subpanel Cruz, CA 95060; telephone: (831) 420– Adjournment 3900. SUMMARY: The United States Patent and Although non-emergency issues not Council address: Pacific Fishery Trademark Office (USPTO) is providing contained in the HMSPDT meeting Management Council, 2130 SW Fifth notification to the public of required agenda may come before the HMSPDT Avenue, Suite 224, Portland, OR 97201. and optional search criteria used during
VerDate 11
examination of patent applications Plan. One step in that action plan called B. Criteria for Evaluation—Searchable related to computer-implemented for: Databases Business Methods in Class 705. The C. Schedule to Evaluate Recommended Industry Outreach Resources Office is seeking comments concerning Industry Feedback: A greater effort will be databases, documenting practices, made to obtain industry feedback on prior art I. Current USPTO Prior Art Resources procedures, and developments, in resources used by the USPTO, solicit input for Examination of Business Method addition to those listed in this notice, in on other databases and information Patent Applications in Class 705 specific industries within the computer- collections and sources, and expand prior art implemented business method field, to collections. Examiners are required to search three main types of prior art when examining identify additional information and 2. Purpose materials that could be considered every class 705 application: U.S. during the examination process. This announcement is a request for patents, foreign patents, and NPL. input on the USPTO search resources DATES: The recommended database will that are employed in the examination of A. U.S. Patents be reviewed quarterly. Database business method patent applications in recommendations received before June 1. Classified (Mandatory Search) Class 705. By this process the USPTO 30, 2001, will be included in the first The USPTO uses a classification hopes to achieve two significant results. evaluation process which will schedule to sort and store all patents First to inform the public of the prior art commence on July 31, 2001. Results of issued. The classification schedule is resources that are currently available to the evaluation of the first group of structured into class and subclass the Office. Second to identify additional database recommendations should be sections. For example, a patent on a information and materials that could be completed by September 30, 2001. The computerized method of determining considered during the examination schedule through June of 2002 is set insurance claims is classified in class process. forth in the Supplementary Information 705 ‘‘Data Processing: Financial, The announcement is presented in section. Business Practice, Management, or Cost/ two major sections; the listing of the FOR FURTHER INFORMATION CONTACT: Gail Price Determination’’, and located in current USPTO prior art resources and subclass 4, ‘‘Insurance.’’ Thus, the exact Hayes by telephone at (703) 305–9711 or the process for providing comments on by fax at (703) 305–0040, or James classification of this patent is 705/4. that listing. The listing of the current A search of an application with Trammell by telephone at (703) 305– USPTO prior art resources includes a 9768 or by fax at (703) 308–1396. claims directed to the business art detailed description of the mandatory includes a classified search in at least ADDRESSES: Comments should be sent search that is now required for all patent the subclass which the claimed subject by electronic mail message over the applications examined in Class 705. In matter of the application would be internet addressed to the important area of non-patent properly classified. This is referred to as [email protected]. Comments literature (NPL), the listing also sets an original classification (OR). A search may also be submitted by mail forth a further identification of other of an application with multiple addressed to: Box Comments—Patents, prior art resources that are available to independent claims, some of which if Commissioner for Patents, Washington, the patent examiners and may, in presented separately would have been D.C. 20231, or by facsimile to (703) 872– accordance with their professional classified as an original classification in 9399 or (703) 308–6916, marked to the judgment, be searched during the other areas, will be searched in each of attention of Robert A. Clarke. Although examination process. The section the relevant classes and subclasses. comments may be submitted by mail or relating to the process for submitting Examiners are not required to search facsimile, the Office prefers to receive comments to the USPTO details the areas in which it is reasonably comments via the Internet. If comments primary type of information the Office determined that there is a low are submitted by mail, the Office would is seeking, how the input may be probability of finding the best prefer that comments be submitted on a submitted, and a general description of reference(s). In outlining a field of 1 DOS formatted 3 ⁄2 inch disk the process the Office will employ in search, the examiner notes every class accompanied by a paper copy. considering the comments received. The and subclass under the U.S. Patent The comments will be available for USPTO will fully consider all comments Classification that may have material public inspection at the Office of Patent and suggestions submitted in pertinent to the subject matter as Legal Administration, Office of the accordance with the guidelines set forth claimed. Every subclass, digest, and Deputy Commissioner for Patent below. cross-reference art collection pertinent Examination Policy, located at Room 3– Table of Contents to each type of invention claimed is C23 of Crystal Plaza 4, 2201 South Clark included, from the largest combination Place, Arlington, Virginia, and will be I. Current USPTO Prior Art Resources through the various subcombinations. available through anonymous file A. U.S. Patents 1. Classified (Mandatory Search) The field of search extends to all transfer protocol (ftp) via the Internet probable areas relevant to the claimed (address: http://www.uspto.gov). Since 2. Text (Mandatory Search) B. Foreign Patents (Mandatory Search) subject matter and covers the disclosed comments will be made available for C. Non-Patent Literature (NPL) features which might reasonably be public inspection, information that is 1. Core Databases (Mandatory Search) expected to be claimed. The examiner not desired to be made public, such as 2. Supplemental Resources consults with other examiners and/or an address or phone number, should not a. Commercial Database Services supervisory patent examiners, be included in the comments. b. Books, Technical Reports, and especially with regard to applications Conference Proceedings SUPPLEMENTARY INFORMATION: covering subject matter unfamiliar to the c. Journals examiner. The areas to be searched are 1. Background d. Web-based Resources and Internet Usage Policy prioritized so that the areas where On March 29, 2000, the Director of the e. Interlibrary Loan relevant prior art is most likely to be USPTO announced the USPTO Business II. Process for Providing Comments found are searched first. (For more Methods Patent Initiative: An Action A. Resource Recommendations information, see the MPEP, http://
VerDate 11
www.uspto.gov/web/offices/pac/mpep/ specified below, through a single search strategies tailored to these index.html) commercial database provider, an databases. Class 705 Schedule. The schedule for examiner can retrieve search results The name of each database (except for Class 705 is posted on the home page for simultaneously from across multiple newspapers) is followed by the name of the USPTO at http://www.uspto.gov/ NPL sources using a single search the database producer. web/offices/ac/ido/oeip/taf/moc/ strategy commonly applicable to all CLASS 705 CORE DATABASES 705.htm. accessed files. The USPTO also subscribes to other resources and NPL Core Databases. All Class 705 2. Text (Mandatory Search) databases to provide examiners with applications will be searched in the Examiners are also required to following databases: additional sources for supplemental perform a text search of U.S. patents. searches. These resources are noted in ABI/INFORM [Bell & Howell Examiners use Boolean and proximity the section of this notice regarding Information and Learning] operators to search keywords and Supplemental Resources. Business & IndustryTM [Responsive multiple concept terms to retrieve U.S. Database Services, Inc.] patents relevant to the application. 1. Mandatory Business Week [The McGraw-Hill Concept terms are derived from many USPTO staff have in-depth expertise Companies Publications Online] aspects of the invention including, but on commercial database services and Business Wire [Business Wire] not limited to: Background of the their products. Based on this Computer DatabaseTM [The Gale Group] invention; Objects of the invention; knowledge, databases with business- Conference Papers Index [Cambridge Technological and field of use related literature were reviewed. Scientific Abstracts] environment; Prior effort/work; Problem Representative databases were chosen as Dissertation Abstracts Online [Bell & to be solved; Major advantages/ mandatory resources to be searched for Howell Information and Learning] outcomes; How the problem is solved; business cases. Several factors were GlobalbaseTM [The Gale Group] considered during the review of these How components relate; Functionality; Inside Conferences [The British Library] databases including coverage of and Environment—Field of Use. INSPEC [INSPEC, Inc.] business-related topics, date coverage B. Foreign Patents (Mandatory Search) Internet & Personal Computing (including older materials), and Examiners are also required to inclusion in commercial database Abstracts [Information Today, perform a text search in the Foreign services which allow for simultaneous Inc.] Patent Databases indicated below. searching of numerous databases. The The McGraw-Hill Companies Concept and keywords terms are databases selected are considered the Publications Online [The McGraw- ‘‘core’’ or ‘‘mandatory’’ NPL databases Hill Companies, Inc.] searched using Boolean and proximity operators with search strategies tailored that must be searched for business Microcomputer Software Guide Online to these databases. The name of each method patent applications. This list is [R. R. Bowker Company] database listed below is followed by the not intended to be exhaustive or New Product Announcements/Plus name of the database producer. comprehensive. However, by searching (NPA/Plus) [The Gale Group] Derwent World Patents Index [Derwent these databases, the examiner has Newsletter DatabaseTM [The Gale Information] searched a wide range of resources that Group] European Patents Fulltext [European can provide significant and relevant Newspapers Patent Office] prior art for business method cases. Financial Times Abstracts JAPIO—Patent Abstracts of Japan [Japan Examiners are not restricted to New York Times Abstracts Patent Information Organization] searching the databases in this list. If, in San Jose Mercury News WIPO/PCT Patents Fulltext the examiner’s professional judgment, Wall Street Journal Abstracts [MicroPatent LLC] other prior art resources should be PR Newswire [PR Newswire searched, they have hundreds of C. Non-Patent Literature (NPL) Association, Inc.] additional databases available (e.g. PROMT [The Gale Group] The examination procedure for patent commercial database vendors Softbase: Reviews, Companies, and applications includes text searching of mentioned above) to search. Products [Information Sources, Inc.] commercially available databases to The first section of the core database Trade & Industry DatabaseTM [The Gale identify relevant NPL. Examples of NPL list, designated as ‘‘Non-Patent Group] include journal articles, newspaper Literature Core Databases,’’ includes Wilson Applied Science and Technology articles, books, software manuals, databases that are searched for every Abstracts [The H.W. Wilson conference proceedings, and standards. case classified in Class 705. Databases Company] Commercial database providers with that may provide significant resources extensive content coverage, powerful of NPL relevant to specific subclasses World Reporter [The Dialog search interfaces, and the capability to are designated as ‘‘Subject Specific Corporation, Dow Jones & Company simultaneously search multiple files Databases.’’ and Financial Times Information] provide the primary resources to For example, an application on a Subject Specific Databases. There are effectively search large quantities of computerized method of determining other databases which contain NPL. Examples of the search services insurance claims is classified in class significant NPL resources relevant to used in the USPTO include DataStar, 705 and subclass 4. All the core NPL specific Class 705 subclasses. Therefore, Dialog, Lexis/Nexis, Questel/Orbit, STN, databases in addition to the subject additional core databases are listed for and Westlaw. These services provide specific databases listed under subclass the subclasses indicated in this section. access to hundreds of databases from 4 are searched for NPL. Examiners are required to search these commercial producers. Through a single Business examiners are required to databases during the examination of set of search operations, applied perform a text search in the NPL cases classified under these subclasses. simultaneously to multiple database databases listed below. Concept and In this list, the subclass numbers are files of NPL selected according to the keywords terms are searched using listed to the left of the subclass core and subclass specific criteria Boolean and proximity operators with description.
VerDate 11
2. Health Care Management 14 Advertising/Coupon Redemption/ 35 Banking/Finance/Investments In addition to Core databases, Incentives In addition to Core databases, examiners will search the following In addition to Core databases, examiners will search the following databases: examiners will search the following databases: American Medical Association Journals databases: American Banker Financial [The American Medical Business Dateline [Bell & Howell Publications [American Banker- Association] Information and Learning] Bond Buyer] BIOSIS Previews [BIOSIS ] Marketing & Advertising Reference Banking Information Source [Bell & EMBASE [Elsevier Science, B.V.] Service [The Gale Group] Howell Information and Learning] Health & Wellness DatabaseSM [The Newspapers: Bond Buyer Full Text [American Gale Group] The Atlanta Journal/The Atlanta Banker-Bond Buyer] Health News Daily [F–D–C Reports, Inc.] DIALOG Finance and Banking Constitution HealthSTAR [U.S. National Library of Newsletters [The Dialog The Arizona Republic/The Phoenix Medicine (NLM)] Corporation] Gazette (Phoenix) MEDLINE [U.S. National Library of EconLit [American Economic The Sun (Baltimore) Medicine (NLM)] Association] New England Journal of Medicine The Boston Globe [Massachusetts Medical Society] Chicago Tribune 36 Portfolio Selection SciSearch [Institute for Scientific The Christian Science Monitor In addition to Core databases, Information’’ (ISI)] Detroit Free Press examiners will search the following If drugs/pharmaceuticals are involved. The Denver Post databases: *** Houston Chronicle Banking/Finance/Investment Databases Drug News & Perspectives [Prous Independent (London) Science Publishers] The Irish Times 37 Trading, Matching or Bidding International Pharmaceutical Abstracts Los Angeles Times In addition to Core databases, [American Society of Health-System The Miami Herald examiners will search the following Pharmacists] Newsday and New York Newsday databases: Pharmaceutical and Healthcare The Oregonian (Portland) Banking/Finance/Investment Databases Industry News Database [PJB The Plain Dealer (Cleveland) Publications Ltd.] 38 Credit Processing or Loan The Philadelphia Inquirer Pharmaceutical News Index (PNI ) [Bell Rocky Mountain News (Denver) Processing & Howell Information and Learning] San Francisco Chronicle In addition to Core databases, 4 Insurance St. Louis Post-Dispatch examiners will search the following In addition to Core databases, St. Petersburg Times databases: examiners will search the following Times/Sunday Times (London) Banking/Finance/Investment Databases databases: USA Today Washington Post Online 39 Including Funds Transfer or Credit American Banker Financial Transaction Publications [American Banker- 26 Electronic Shopping In addition to Core databases, Bond Buyer] In addition to Core databases, Insurance Periodicals Index [NILS examiners will search the following examiners will search the following databases: Publishing Company] databases: The Journal of Commerce [The Journal Banking/Finance/Investment Databases of Commerce, Inc.] Advertising/Coupon Redemption/ Knight-Ridder/Tribune Business Incentives Databases NewsTM [Knight-Ridder/Tribune 7 Operations Research Magazine DatabaseTM [The Gale Group] Business News] In addition to Core databases, 28 Inventory Monitoring Brief descriptions are provided for the examiners will search the following above-listed NPL and Foreign Patent In addition to Core databases, databases: databases in Appendix I attached to this examiners will search the following Inventory Monitoring Databases document. databases: 13 Transportation Facility Access EI Compendex [Engineering 3. Supplemental Resources In addition to Core databases, Information, Inc.] The USPTO has access to a multitude examiners will search the following ISMEC: Mechanical Engineering of resources and databases containing databases: Abstracts [Cambridge Scientific NPL. Many of these resources include Aerospace/Defense Markets & Abstracts] significant amounts of business-related Technology [The Gale Group] JICST-EPlus—Japanese Science & information. The following resources Aerospace Database [AEROPLUS Technology [Japan Information are available to patent examiners and ACCESS] Center for Science and Technology may, in accordance with their The Journal of Commerce [The Journal (JICST)] professional judgment, be searched of Commerce, Inc.] NTIS: National Technical Information during the examination process. NTIS—National Technical Information Service [National Technical a. Commercial Database Services. The Service [National Technical Information Service, U.S. USPTO provides access to commercial Information Service, U.S. Department of Commerce] database vendors who provide over Department of Commerce] SciSearch [Institute for Scientific 1,000 searchable databases. In addition Transportation Research Information Information (ISI)] to the databases included in the core list Services [Transportation Research Social SciSearch [Institute for mentioned earlier, examiners can Board] Scientific Information (ISI)] choose to search other databases
VerDate 11
provided by these vendors when, in quick access to full text publications, Wiley Encyclopedia of Electrical and their professional judgment, searching some of them with graphics. Some of Electronics Engineering—covers core additional databases is warranted. these resources also allow for Boolean knowledge of all specialties DataStar—complete list of databases and proximity searching and can be encompassed by electrical and located at searched by examiners to determine if electronics engineering, including http://ds.datastarweb.com/ds/ additional relevant prior art is available. computer and software engineering. products/datastar/ds.htm The following web-based resources Internet Usage Policy With Above Dialog—complete list of databases are available. Brief descriptions are Resources—When the Internet is used located at provided for those most relevant to to search, browse, or retrieve http://library.dialog.com/bluesheets/ examiners in business methods areas. information relating to a patent html/blf.html Academic Press Dictionary of Science & application, other than a reissue Lexis-Nexis—complete list of databases Technology application or reexamination located at Agricola proceeding, USPTO examiners and http://www.lexis-nexis.com/lncc/ American Chemical Society searchers restrict search queries to the literature/Directory/default.htm Association for Computing Machinery general state of the art unless the Office has established a secure link on (At the bottom of this web page, click (ACM)—provides access to 95% of all the Internet with a specific vendor to on the link to view the alphabetical list ACM articles and proceedings from maintain the confidentiality of the of their entire directory.) 1991 to the present. ChemConnect patent application. Non-secure Questel-Orbit—complete list of Internet search, browse, or retrieval databases located at Corporate Resource Net B provides access to over 4,000 journals in activities that could disclose http://www.questel.orbit.com/en/ proprietary information directed to a userdoc/docindex.htm electronic format. Department of Energy Information specific application, other than a (Click on ‘‘fact sheets’’) Bridge reissue application or reexamination STN International—complete list of DTIC STINET proceeding, are not permitted. databases located at Encyclopedia Britannica e. Interlibrary Loan. The USPTO http://www.cas.org/ONLINE/DBSS/ Faulkner—provides comprehensive maintains an interlibrary loan operation dbsslist.html coverage of the full spectrum of to gain access to full text documents Westlaw—the database directory is computer systems, software, that are not available electronically or located at networking, and telecom on-site in hard copy or microform http://directory.westlaw.com/ technologies, including trends, format. The interlibrary loan staff have WIPO Journal of Patent Associated vendor strategies, and product access to local, national and Literature (JOPAL)—the database solutions. Includes B2B E-Commerce international organizations and provide directory is located at Trends reports. rapid retrieval of full text documents to http://jopal.wipo.int/ Institute for Electrical and Electronics examiners. b. Books, Technical Reports, and Engineers (IEEE Xplore)—provides II. Process for Providing Comments Conference Proceedings. The USPTO access to more than 500,000 IEEE/IEE maintains print collections of over articles written since 1988. All IEEE/ A. Resource Recommendations 160,000 books, technical reports, IEE conferences, journals and The USPTO requests comments journals, and conference proceedings standards from 1988 on are included. regarding the search resources that are not available electronically. ITKnowledge—provides full text access employed in the examination of Additionally, many materials are to more than 1,000 technical business method patent applications in available in microformat. computing books. Class 705. In order to identify additional c. Journals. The USPTO has access to Matthew Bender Legal and Intellectual information and materials that could be over 5,000 full text journals. Many of Property Publications considered during the examination these journals are available in electronic Medline process, members of the public are format. Please see the following section Patent, Trademark & Copyright Journal invited to recommend databases and on ‘‘Web-based Resources,’’ which Physicians Desk Reference, PDR Herbal electronic resources that the USPTO includes sources providing access to full & Stedmans Medical Dictionary does not currently access for searching text electronic journals. The USPTO Proceedings of the National Academy of business methods prior art. also maintains full text CD-ROM Sciences Recommended databases must be products. Examples include Computer Proquest Direct—Proquest is organized publicly available. These databases will Select (1989 to date), Advances in into separate, subject-based libraries. be evaluated based on the set of criteria Cryptography (1981–1997), and Dr. USPTO subscribes to most of these published in this document. The Dobb’s Journals (1988–June 1997; newer including the Banking Library information you provide will help us Dr. Dobb’s Journal issues are available (containing 248 journal titles); the verify that the correct resource has been via web-based resources). The Computing library (containing 256 identified for evaluation. Please provide remainder of the journal collection is in journal titles); the detailed information in support of hard copy or microform formats. Telecommunications library suggested resource(s). Such information d. Web-based Resources. Examiners (containing 92 journal titles). In all, should address the following topics: have direct access to the web-based USPTO has access to the full text and/ resources including technical books and or bibliographic records for over 5,000 Reason for Recommendation reports, legal publications, indexes, journal titles through Proquest. Please specify why you are encyclopedias, dictionaries, and Readers’ Guide to Periodical Literature recommending the database, focusing databases of NPL, such as journal ScienceServer—provides access to on the specific value of the content and articles and conference proceedings. nearly 200 scientific, technical and search features of the particular The primary strength of many of these medical journals published by database. For example, the database electronic resources is that they provide Elsevier and Academic Press. provides full text documents, or it
VerDate 11
contains business methods information (d) The documentation of publication Paperwork Reduction Act not found in other databases. dates for the information included in This notice involves information the database. Database Identification collection requirements which are (e) Thoroughness of indexing. subject to review by the Office of (a) Provide the full name of the (f) Frequency of updates. Management and Budget (OMB) under database and other names by which the the Paperwork Reduction Act of 1995 database may be identified, e.g. Search Interface (44 U.S.C. 3501 et seq.). As required by acronyms or shortened names. (b) Provide the name, address, and Databases should have a search the Paperwork Reduction Act of 1995 phone number for the database interface that is powerful, user-friendly, (44 U.S.C. 3507(d)), the Office has producer. and has multiple access points. For submitted an information collection (c) Provide the name, address, and example: Does the database provide for package to OMB for its review and phone number for the entity that single-search access to the entire approval. The title, description, and provides access to the database. resource content? Does it support respondent description for this Boolean and proximity searching? Does information collection is shown below Database Content it allow for truncation and nesting of with an estimate of the annual reporting (a) What are the years of coverage? terms or synonyms? burdens. Included in the estimate is the time for reviewing instructions, (b) What is the subject matter? Cost (c) Does the bibliographic information searching existing data sources, include documented publication dates? The cost of the resource will be gathering and maintaining the data (d) Does the database include evaluated in relation to the value of the needed and completing and reviewing abstracts and/or full text? product and the cost of other the collection of information. comparable products. Accessibility OMB Number: 0651–0047. Accessibility and Reliability Title: United States Patent and (a) Is the database publicly available? Trademark Office Business Method (b) If so, what are the operational Database providers or producers Database Information. hours? should deliver reliable access 24 hours Form Number: Not applicable. Technical Support a day, seven days a week. The database Type of Review: Approved through must be publicly available. March of 2004. What is the availability of technical Affected Public: Individuals or support? Technical Support households, business or other for-profit, Continuity Technical support must be not-for-profit institutions, farms, state, knowledgeable and reliable, and must local or tribal governments, and the What is the database policy on Federal Government. maintaining backfile data? be available, at a minimum, Monday through Friday. Estimated Number of Respondents: Mode of Access 100. Continuity Estimated Time Per Response: 1.5 How is the database available? (a) Online. Database content must be stable and hours. (b) Web-based. consistent. In particular, continuing Estimated Total Annual Burden (c) In-house CD-ROM or other availability of backfile data is critical. Hours: 150 hours. Needs and Uses: Input from industry electronic media. Mode of Access (1) networked. and the public on the current search (2) stand-alone system. The database should be accessible via areas and suggestions from industry and TCP/IP (online), the Internet, or an in- the public on new sources of prior art B. Criteria for Evaluation—Searchable house platform (networked or stand- is considered important to improve the Databases alone). The mode of access must meet examination process in the computer- Recommended databases should the requirements of the USPTO’s Office implemented business method field. provide substantial added value over of the Chief Information Officer’s The public feedback will be used to resources already available. Databases Technical Reference Model (TRM). The evaluate suggested databases for will be evaluated in terms of whether or TRM is available at the following url: inclusion in either mandatory or not they are of sufficient value to be optional search areas in this field. http://www.uspto.gov/web/offices/ac/ included as mandatory search tools or Comments are invited on: (1) Whether comp/proc/acquisitions/oamref.htm whether they should be included as the collection of information is supplemental resources for examiners to C. Schedule to Evaluate Recommended necessary for proper performance of the search, at their discretion, during the Resources functions of the agency; (2) the accuracy patent application examination process. of the agency’s estimate of the burden; (3) ways to enhance the quality, utility, Recommendations Will be evaluated by: Content received by: and clarity of the information to be The intellectual content of the collected; and (4) ways to minimize the June 30, 2001 ...... September 30, 2001. burden of the collection of information database will be evaluated on: September 30, 2001 December 31, 2001. (a) Extent of the retrospective December 31, 2001 .. March 31, 2002. to respondents. coverage of business-related prior art. March 31, 2002 ...... June 30, 2002. Interested persons are requested to (b) Extent of unique, difficult-to-find send comments regarding these sources and content not available in Classification Section information collections, including currently used tools. suggestions for reducing this burden, to (c) Extent of bibliographic It has been determined that this notice Robert J. Spar, Director, Office of Patent documentation in addition to the is not significant for purposes of Legal Administration, United States availability of searchable abstracts and/ Executive Order 12866 (September 30, Patent and Trademark Office, or full text. 1993). Washington, D.C. 20231, or to the Office
VerDate 11
of Information and Regulatory Affairs of developments, and news in banking and with particular emphasis on economic OMB, New Executive Office Building, related financial areas. conditions in selected cities, states, or 725 17th Street, N.W., Room 10235, American Medical Association Journals— regions, as well as mergers, acquisitions, Washington, D.C. 20503, Attention: contains the full-text articles from 11 medical company executives, new products, and journals, including the well-known JAMA, competitive intelligence. Desk Officer for the Patent and The Journal of the American Medical Business Week—contains the complete text Trademark Office. Association. The articles include all subject of articles from the domestic and Notwithstanding any other provision areas relating to the practice of medicine. The international English-language editions of the of law, no person is required to respond American Medical Association is the world’s highly acclaimed McGraw-Hill weekly to nor shall a person be subject to a largest single publisher of scientific and business news magazine, Business Week. penalty for failure to comply with a medical information. This database also Articles focus on companies, the economy, collection of information subject to the contains peer-reviewed clinical and government regulation, industries, labor and requirements of the Paperwork investigative articles in major medical management issues, technology, and Reduction Act unless that collection of disciplines. All original articles included are international markets. full-text; the database also includes letters to Business Wire—contains the full text of information displays a currently valid the editor, editorials, book reviews, news releases issued by approximately OMB control number. corrections, medical news and perspectives, 10,000 corporations, universities, research Authority: Sec. 4712, Pub. L. 106–113, 113 columns, special features, and occasional institutes, hospitals, and other organizations. Stat. 1501A–572 (35 U.S.C. 2(b)(2)). sections. The file primarily covers U.S. industries and Banking Information Source—provides organizations, although some information on Dated: May 30, 2001. essential information about the financial international events is included. Nicholas P. Godici, services industry, banking trends, topics, Computer DatabaseTM (Gale Group Acting Under Secretary of Commerce for issues, and operations. Its uniquely Computer DatabaseTM)—provides Intellectual Property and Acting Director of comprehensive coverage of important comprehensive information about the the United States Patent and Trademark industry sources meets the banking-related computer, electronics, and Office. information needs of researchers in banking, telecommunications industries. Coverage finance, government, tax, insurance, includes detailed information about the Appendix I economics, financial services, and business evaluation, purchase, use, and support of Brief descriptions are provided for the schools. It contains the full text of cited computer and other electronic products. Gale articles from many high demand sources Group Computer Database is designed to above listed NPL and Foreign Patent databases. The following descriptions are BIOSIS Previews —contains citations from answer the questions of business and excerpts obtained from the Dialog Biological Abstracts (BA), and Biological computer professionals about hardware, Corporation’s Bluesheets. Abstracts/Reports, Reviews, and Meetings software, networks, peripherals, and services. ABI/INFORM—includes details on (BA/RRM) (formerly BioResearch Index ), Conference Papers Index—provides access virtually every aspect of business, including the major publications of BIOSIS . Together, to records of the more than 100,000 scientific company histories, competitive intelligence, these publications constitute the major and technical papers presented at over 1,000 and new product development. ABI/INFORM English-language service providing major regional, national, and international contains bibliographic citations and 25–150 comprehensive worldwide coverage of meetings each year. Conference Papers Index word summaries of articles appearing in research in the biological and biomedical provides a centralized source of information professional publications, academic journals, sciences. on reports of current research and and trade magazines published worldwide. Bond Buyer Full Text—corresponds to the development from papers presented at Aerospace/Defense Markets & Technology printed publication, The Bond Buyer. The conferences and meetings; it provides titles (Gale Group Aerospace/Defense Markets & newspapers specialize in the fixed-income of the papers as well as the names and Technology)—provides full-text articles and investment market and are considered the addresses (when available) of the authors of abstracts covering all aspects of the authoritative sources of information for the these papers. Also included in this database worldwide aerospace industry. Corporations municipal bond community in the U.S. are announcements of any publications in the aerospace/defense industry rely on A/ Essential daily coverage of government and issued from the meetings, in addition to DM&T: for coverage of key industry sources Treasury securities, financial futures, available preprints, reprints, abstract for details on competitors, products and corporate bonds, and mortgage securities is booklets, and proceedings volumes, technologies to monitor government funding, provided. Extensive coverage of U.S. including dates of availability, costs and budgets, and contracts to identify market Congressional actions, worldwide monetary ordering information. Primary subject areas opportunities in the defense and aerospace and fiscal policies, and regulatory changes covered include the life sciences, chemistry, industries. relating to the bond industry is included. physical sciences, geosciences, and Aerospace Database—provides references, Bond Buyer Full Text also lists planned bond engineering. abstracts, and controlled-vocabulary indexing issues, bond calls and redemptions, and Derwent World Patent Index (DWPI)— of key scientific and technical documents, as results of bond sales. provides access to information from more well as books, reports, and conferences, Business & IndustryTM—this database than 18 million patent documents, giving covering aerospace research and contains information with facts, figures, and details of over 9 million inventions. Each development in over 40 countries including key events dealing with public and private week, approximately 20,000 documents from Japan and eastern European nations. This companies, industries, markets products for 40 patent-issuing authorities are added to database supports basic and applied research all manufacturing and service industries at DWPI. Patent-related items from Research in aeronautics, astronautics, and space an international level. B&I coverage Disclosure and International Technology sciences, as well as technology development concentrates on leading trade magazines and Disclosures (ceased publication June 1994) and applications in complementary and newsletters, the general business press, are also included. supporting fields such as chemistry, regional newspapers and international DIALOG Finance and Banking geosciences, physics, communications, and business journals. Newsletters—database is a collection of full- electronics. Business DatelineTM—provides the full text text newsletters from primary publishers in American Banker Financial Publications— of major news and feature stories from 550 the field of investment, finance and banking. corresponds to the full text of the regional business publications from The database contains specialized industry authoritative daily financial services throughout the United States and Canada. newsletters that provide concise information newspaper, American Banker, as well as the The regional perspectives reported in the on companies, products, markets, and full text of many financial newsletters business press make Business Dateline an technologies. It also contains rulings, published by American Banker in the areas excellent source of in-depth business regulations, and other legislative activities of capital markets, bank regulation, insurance information with a local point of view. that affect the financial community. letters, and public finance letters. This Virtually every aspect of regional business Dissertation Abstracts Online—is a collection of publications follows trends, activities and trends is covered in the file, definitive subject, title, and author guide to
VerDate 11
virtually every American dissertation articles from the U.S. Edition of the Financial includes the clinical, practical, and accepted at an accredited institution since Times newspaper. The Financial Times theoretical aspects of the literature as well as 1861. Selected Masters theses have been provides in-depth coverage on worldwide economic and scientific. A unique feature of included since 1962. In addition, since 1988, industries, companies, and markets. these abstracts is the inclusion of the study the database has included citations for GlobalbaseTM (Gale Group GlobalbaseTM)— design, number of patients, dosage, dosage dissertations from 50 British universities that provides worldwide coverage of companies, forms, and dosage schedule. have been collected by and filmed at The products, and industries with a primary Internet & Personal Computing AbstractsTM British Document Supply Centre. Beginning focus on Europe. (replaced Microcomputer Abstracts)— with DAIC Volume 49, Number 2 (Spring Health & Wellness DatabaseSM (Gale Group contains abstracts and citations to the 1988), citations and abstracts from Section C, Health & Wellness DatabaseSM)—is a literature on the use of computers in Worldwide Dissertations (formerly European comprehensive periodical and reference business, industry, education, libraries and Dissertations), have been included in the file. database produced by The Gale Group, the home. Over 90 traditional and cutting- Abstracts are included for doctoral records providing broad coverage in the areas of edge publications are covered, including from July 1980 (Dissertation Abstracts health, medicine, fitness, and nutrition. Gale widely read mass-market computer International, Volume 41, Number 1) to the Group Health & Wellness Database is publications, as well as those focusing on present. Abstracts are included for masters designed to address the needs of health and specific topics, such as hardware platforms, theses from Spring 1988 (Masters Abstracts, medical professionals, specialized business operating systems (Windows, DOS, UNIX, Volume 26, Number 1) to the present. and industry researchers, consumers, and a Macintosh, etc.), online systems, Drug News & Perspectives (Prous Science wide range of people seeking a general management, networks, and electronic Drug News & Perspectives)—this database understanding about important health issues publishing. Informative abstracts summarize allows users to quickly and easily consul the and practices. software and hardware. Book reviews, feature latest pharmaceutical news. The Prous Health News Daily—contains all the daily articles, news, columns, program listings, Science Drug News & Perspectives database news and text articles from the Health News product announcements, and buyer/vendor contains all articles and texts published from Daily publication from F–D–C Reports. It guides are included. selected sections of the printed journal, Prous provides specialized, in-depth business, ISMEC: Mechanical Engineering Science Drug News & Perspectives, plus scientific, regulatory and legal news. Each Abstracts—(Information Service in unpublished records from the journal’s issue has features including news in the Mechanical Engineering) indexes significant sections: ‘‘Line Extensions,’’ ‘‘R&D Briefs,’’ following columns: Product News, People, articles in all aspects of mechanical and ‘‘People on the Move.’’ Unpublished Litigation, Legislative News, Industry News, engineering, production engineering and records, omitted from the printed journal due Research, Regulatory News, Financings, engineering management from approximately to space limitations, are labeled Reimbursement, and Public Health. A feature 250 journals published throughout the world. ‘‘unpublished’’ and do not have volume, entitled ‘‘Washington This Week’’ lists In addition, books, reports, and conference issue, or page numbers. Unpublished records scheduled congressional hearings, agency proceedings are indexed. The primary may also include those in preparation for meetings, and industry conferences in the emphasis is on comprehensive coverage of print. These records will have volume, issue D.C. area. The ‘‘Calendar’’ presents notices of leading international journals and and page numbers added in a later update to upcoming meetings, seminars, and conferences on mechanical engineering the database. conferences. The ‘‘Legislative Roundup’’ subjects. The principal areas covered are EconLit—provides indexing and abstracts tracks recently introduced bills, committee mechanical, nuclear, electrical, electronic, of the worldwide literature on economics, activities, and congressional votes on health civil, optical, medical, and industrial process currently covers more than 600 major care issues. engineering; mechanics; production economics journals annually. In addition, HealthSTARTM—(Health Services processes; energy and power; transport and this file indexes about 600 collective volumes Technology, Administration, and Research) handling; and applications of mechanical (essays, proceedings, etc.), 2,000 books, 900 is provided cooperatively by the U.S. engineering. dissertations, 2,000 working papers, and National Library of Medicine and the JAPIO—Patent Abstracts of Japan— book reviews each year. American Hospital Association. This file provided by the Japan Patent Information EI Compendex—database is the machine- incorporates all records from the former Organization, represents the most readable version of the Engineering Index Health Abstracts, which are taken directly comprehensive English-language access to (monthly/annual). It provides abstracted from the published articles, and are included Japanese unexamined patent applications information from significant engineering and for approximately 60% of the records. (Kokai Tokkyo Koho) published since technological literature. The Compendex Inside Conferences—contains details of all October 1976. All technologies are covered. database provides worldwide coverage of papers given at every congress, symposium, Application records include both Japanese approximately 4,500 journals and selected conference, exposition, workshop, and and non-Japanese priorities. Abstracts are government reports and books. Subjects meeting received at the British Library provided only for applications originating in covered include: civil, energy, Document Supply Centre (BLDSC) since Japan, but are available for most records. environmental, geological, and biological October 1993. Images of front page drawings, when engineering; electrical, electronics, and INSPEC—(The Database for Physics, available for a given patent, are also control engineering; chemical, mining, Electronics and Computing) corresponds to included. metals, and fuel engineering; mechanical, the three Science Abstracts print JICST-EPlus—Japanese Science & automotive, nuclear, and aerospace publications: Physics Abstracts, Electrical Technology—this is a comprehensive engineering; and computers, robotics, and and Electronics Abstracts, and Computer and bibliographic database covering literature industrial robots. Control Abstracts. The Science Abstracts published in Japan from all fields of science, EMBASE—comprehensive index of the family of abstract journals began publication technology, and medicine. The file contains world’s literature on human medicine and in 1898. both the JICST-E and the PreJICST-E files related disciplines. Insurance Periodicals Index—indexes and from Japan Science and Technology European Patents Fulltext—covers all abstracts 35 of the most respected and widely Corporation, Information Center for Science European patent applications and granted read insurance industry journals and and Technology (JICST). European patents published since the magazines, dating from January 1984 to the The Journal of Commerce—provides the opening of the European Patent Office (EPO) present. complete text of all news, columns, in 1978. This database also contains International Pharmaceutical Abstracts— editorials, briefs, calendar listings, and bibliographic records for PCT (Patent provides information on all phases of the selected tables that appear in the Five-Star Cooperation Treaty) applications transferred development and use of drugs and on edition of the world’s premier daily business to the EPO. professional pharmaceutical practice. In early newspaper covering international trade and Financial Times Abstracts—produced by 1985 coverage was expanded to include transportation issues. It also includes the Six- the Business Information Services of the New pharmacy journals that deal with state Star news summary and West Coast/Trade York Times Electronic Media Company, regulations, salaries, guidelines, manpower page. Journal of Commerce features special contains concise, informative abstracts of studies and laws. The scope of the database individual sections which focus on ocean,
VerDate 11
barge, air, rail, and truck transportation, Microcomputer Software Guide Online— numbers are provided to allow follow-up by international banking and finance, foreign database contains information on virtually interested parties. The press releases trade, energy, insurance, chemicals and every microcomputer software program and contained in the NPA/PLUS database are plastics, electronic communications, and hardware system available or produced in the obtained directly from the product commodities. The online edition also United States. The database contains manufacturer, distributor, or an authorized includes a summary of every major story for bibliographic records for microcomputer marketing representative. each day. software. Each record includes ordering NTIS—National Technical Information Knight-Ridder/Tribune Business NewsTM— information, technical specifications, subject Service—database consists of summaries of provides same-day, full-text business and classifications, and a brief description. U.S. government-sponsored research, related news from 28 Knight-Ridder New England Journal of Medicine— development, and engineering, plus analyses publications, 4 Tribune Company contains full-text articles from The New prepared by Federal agencies, their newspapers, and more than 50 affiliated England Journal of Medicine excluding contractors, or grantees. It is the means papers. Articles from contributing meeting notices, ‘‘Books Received,’’ and through which unclassified, publicly newspapers and magazines are available the advertising content. Founded in 1812, The available, unlimited distribution reports are morning of publication. New England Journal of Medicine (NEJM) is made available for sale from agencies such as Magazine DatabaseTM (Gale Group the oldest continuously published medical NASA, DOD, DOE, HUD, DOT, Department Magazine DatabaseTM)—is a general interest journal in the world. It maintains the largest of Commerce, and some 240 other agencies. database that contains indexes, abstracts, and voluntarily paid circulation of any peer- Additionally, some state and local full-text records. Gale Group Magazine reviewed scientific journal, reaching government agencies now contribute Database provides current and retrospective physicians and other healthcare professionals summaries of their reports to the database. news from more than 400 popular magazines in more than 120 countries. NTIS also provides access to the results of on subjects including consumer behavior, New York Times Abstracts—contains government-sponsored research and media trends, popular culture, political concise, informative abstracts of articles in development from countries outside the U.S. opinion, leisure activities, and contemporary the final Late Edition of The New York Times Organizations that currently contribute to the lifestyles. Gale Group Magazine Database also newspaper, a newspaper that is respected NTIS database include: the Japan Ministry of contains large collections of entertainment around the world for its unparalleled International Trade and Industry (MITI); reviews and ratings of books, films, theater, coverage of international, national, business laboratories administered by the United concerts, hotels, and restaurants. This and New York regional news. The file Kingdom Department of Industry; the database is ideal for searchers who need provides abstracts of every article published German Federal Ministry of Research and background material and a variety of in the newspaper, including the Magazine, Technology (BMFT); the French National perspectives to supplement any business Center for Scientific Research (CNRS); and Book Review, and all other Sunday sections. search. Gale Group Magazine Database many more. Newsletter DatabaseTM (Gale Group includes indexes and abstracts for 400 Pharmaceutical and Healthcare Industry Newsletter DatabaseTM)—contains the full publications and the full text for more than News Database—consists of two files; one text of specialized industry newsletters that 250 magazines. file is the current material, updated daily, provide concise information on companies, Marketing & Advertising Reference and contains the full text of all newsletter products, markets, and technologies; trade Service (Gale Group Marketing & articles written in the last 25 to 30 days. The Advertising Reference Service)—is a multi- and geopolitical regions of the world; and other file is an archival database, and industry advertising and marketing database government funding, rulings, and regulation contains the full text of indexed articles from with abstracts and full-text records on a wide and other legislative activities which impact the full range of PJB newsletters dating back variety of consumer products and services. the industries and regions covered. to 1980. All publications follow a similar Gale Group Marketing & Advertising International in scope, the Newsletter structure and contain sections on: Product & Reference Service is widely used by Database provides searchers with important Research News, Company News, U.K. & consumer product and service companies to facts, figures, analysis, and current International News, People, Meetings, and locate market size and market share information affecting a broad range of Conferences. information, monitor new product or service industries and sectors. Information from Pharmaceutical News Index (PNI)— introductions, evaluate markets for existing newsletters contained in the Gale Group online source of current news about products or services, and research the newsletter Database covers the following pharmaceuticals, cosmetics, medical devices, marketing and advertising strategies of industries and geographic regions of the and related health fields. PNI cites and competitors. Advertising agencies and public world: biotechnology, broadcasting and indexes all articles from the publications relations firms use Marketing & Advertising publishing, computers and electronics, listed in the SOURCES section below on the Reference Service to research and develop chemicals, defense and aerospace, energy, following topics: drugs; corporation and new client proposals; monitor ad campaigns, environment, financial services, general industry sales, mergers and acquisitions; and budgets, and target markets; locate technology, Japan, Middle East, government legislation, regulations, and information on products and services; and manufacturing, medical and health, court action. It covers requests for proposals; gain competitive intelligence on other materials, packaging, research and research grant applications; industry agencies and public relations firms by development, telecommunications, speeches; press releases; and other news tracking agency changes, new accounts, transportation, and more. items. launch dates, contracts and appointments. Newspapers—includes the full text of all PR Newswire—contains the complete text The McGraw-Hill Companies Publications news stories, features, editorials, and wire of news releases prepared by U.S. companies, Online—provides the complete text for many stories. Items such as classified ads, sports, public relations agencies, trade associations, major McGraw-Hill publications. The statistics, fillers, and certain minor items are city, state, Federal and municipal database covers not only general business but excluded. (Description taken from PAPERS government agencies, and other sources also specific industries, i.e., aerospace, in the Dialog Worldwide Database covering the entire spectrum of news. chemical processing, electronics, and Catalogue.) PROMT (Gale Group PROMT)—is a construction. The complete text of each New Product Announcements/Plus (NPA/ multiple-industry database that provides article is searchable and can be retrieved PLUS) (Gale Group New Product broad, international coverage of companies, online in addition to being printed offline. Announcements/Plus)—contains the full text products, markets, and applied technologies MEDLINE—a major source of biomedical of press releases from all industries covering for all industries. PROMT is comprised of literature. MEDLINE corresponds to three announcements related to products, with a abstracts and full-text records from the print indexes: Index Medicus TM, Index to focus on new products and services. In world’s important trade and business Dental Literature, and International Nursing addition to product descriptions, press journals, local newspapers, regional business Index. Additional materials not published in releases generally contain key details about publications, national and international Index Medicus are included in the MEDLINE new products and technologies, including business newspapers, industry newsletters, database in the areas of communication technical specifications, availability, uses, research studies, investment analysts’ disorders, population and reproductive licensing agreements, distribution channels, reports, corporate news releases, and biology. and prices. Company contacts and phone corporate annual reports.
VerDate 11
San Jose Mercury News—provides local, Eastern 3-star Edition of The Wall Street interpretation for the hearing impaired national, and international news coverage. Journal newspaper. The Wall Street Journal should contact the Secretary at least 10 Bureaus in Sacramento and Washington, DC, is a daily newspaper valued worldwide for days before the meeting date. enable the newspaper to provide full its coverage of business, finance, and coverage of state and Federal Government economics. Dated: in Washington, DC, May 30, 2001. news. Particular emphasis is given to high Wilson Applied Science & Technology Charles H. Atherton, technology and the developments in the Abstracts—provides comprehensive Secretary. industries of Silicon Valley, including abstracting and indexing of more than 400 [FR Doc. 01–14115 Filed 6–4–01; 8:45 am] coverage of the following companies: core English-language scientific and Hewlett-Packard, Apple Computer, technical publications. Non-English-language BILLING CODE 6330–01–M Consolidated Freightways, Intel, Amdahl, periodicals are indexed if English abstracts Sun Microsystems, National Semiconductor, are provided. Periodical coverage includes Tandem Computers, Seagate Technology, and trade and industrial publications, journals DEFENSE NUCLEAR FACILITIES Syntex. Bureaus in Tokyo, Mexico City, Los issued by professional and technical SAFETY BOARD Angeles, and Seattle enable the San Jose societies, and specialized subject periodicals, Mercury News to focus on business and as well as special issues such as buyers’ FOIA Fee Schedule Update economic developments of the Pacific Rim. guides, directories, and conference Other major areas of coverage include proceedings. Wilson Applied Science & AGENCY: Defense Nuclear Facilities science, medicine, and real estate. Technology Abstracts covers a wide range of Safety Board. SciSearch—is an international, interdisciplinary fields through a broad array ACTION: Notice. multidisciplinary index to the literature of of science and technology journals. Detailed science, technology, biomedicine, and related abstracts of 50 to 150 words describe the SUMMARY: disciplines produced by the Institute for The Defense Nuclear content and scope of the source articles. Scientific Information’’ (ISI’’). SciSearch Facilities Safety Board is publishing its Materials indexed include feature articles, contains all of the records published in the annual update to the Freedom of interviews, obituaries, biographies, speeches, Science Citation Index (SCI ), plus Information Act (FOIA) Fee Schedule additional records from the Current and product evaluations. pursuant to 10 CFR 1703.107(b)(6) of the WIPO/PCT Patents Full-Text—covers the Contents publications. Board’s regulations. Social SciSearch—database is an full text of PCT (Patent Cooperation Treaty) EFFECTIVE DATE: June 1, 2001. international, multidisciplinary index to the published applications issued under the literature of the social, behavioral, and auspices of the World Intellectual Property FOR FURTHER INFORMATION CONTACT: related sciences, produced by the Institute for Organization (WIPO) since 1983. At present, Kenneth M. Pusateri, General Manager, Scientific Information (ISI). Social 171 member states participate in the PCT Defense Nuclear Facilities Safety Board, SciSearch contains all of the records system. A single PCT application can be 625 Indiana Avenue, NW, Suite 700, published in the Social Sciences Citation designated as valid in any or all of the member states, so it is essentially equivalent Washington, DC 20004–2901, (202) 694– Index. 7060. Softbase: Reviews, Companies, and to having filed with each designated national Products—is a suite of three discrete record and regional patent office. SUPPLEMENTARY INFORMATION: The FOIA types: review records, product records, and World Reporter—is a comprehensive, requires each Federal agency covered by company records. The three linked and inter- global news source, developed jointly by the Act to specify a schedule of fees related record types can be used separately three of the world’s leading information applicable to processing of requests for or together, providing an important companies: The Dialog Corporation, agency records. 5 U.S.C. 552(a)(4)(i). On navigation tool for researchers in the Financial Times Information, and Dow Jones March 15, 1991, the Board published for & Company. World Reporter covers the intelligent information technology industry. comment in the Federal Register its Detailed descriptions of products in the leading newspapers, business magazines, and product record file and of companies in the newswires from all regions of the world, proposed FOIA Fee Schedule. 56 FR company record file can be linked to each including emerging markets. 11114. No comments were received in other and to independent third-party reviews [FR Doc. 01–14092 Filed 6–4–01; 8:45 am] response to that notice and the Board and analyses abstracted from more than 200 BILLING CODE 3510–16–P issued a final Fee Schedule on May 6, business, computer, technical, trade, and 1991. consumer publications. Pursuant to 10 CFR 1703.107(b)(6) of Trade & Industry DatabaseTM (Gale Group the Board’s regulations, the Board’s Trade & Industry DatabaseTM)—is a multi- COMMISSION OF FINE ARTS General Manager will update the FOIA industry database covering international Fee Schedule once every 12 months. company, industry, product, and market Notice of Meeting information, with strong coverage of such Previous Fee Schedule updates were areas as management techniques, financial The next meeting of the Commission published in the Federal Register and earnings, economic climate, product of Fine Arts is scheduled for June 21, went into effect, most recently, on June evaluations, and executive changes. Industry 2001 at 10:00 a.m., in the Commission’s 6, 2000, 65 FR 35810. subfiles allow users to narrow or broaden offices at the National Building Board Action their searches to one or more groups of Museum, Suite 312, Judiciary Square, industry specific publications. 441 F Street, NW, Washington, DC, Accordingly, the Board issues the Transportation Research Information 20001–2728. Items of discussion following schedule of updated fees for Services—is a composite file with records affecting the appearance of Washington, services performed in response to FOIA that are either abstracts of published articles requests: and reports, or summaries of ongoing or DC, may include buildings, parks and recently completed research projects relevant memorials. Defense Nuclear Facilities Safety Board to the planning, development, operation, and Draft agendas are available to the Schedule of Fees for FOIA Services performance of transportation systems and public one week prior to the meeting. their components. TRIS provides Inquiries regarding the agenda and (Implementing 10 CFR 1703.107(b)(6)) international coverage of ongoing research requests to submit written or oral Search or Review Charge: $55.00 per projects, published journal articles, state and statements should be addressed to Federal Government reports, conference hour proceedings, research and technical papers, Charles H. Atherton, Secretary, Copy Charge (paper): $.04 per page, if and monographs. Commission of Fine Arts, at the above done in-house, or generally available Wall Street Journal Abstracts—contains address or call 202–504–2200. commercial rate (approximately $.10 abstracts of all articles published in the Individuals requiring sign language per page)
VerDate 11
Copy Charge (3.5″ diskette): $5.00 per DC, 20202–5232, telephone: (202) 708– Amendments of 1998, two of the areas diskette 7438 or via internet: of experimentation—Thirty Day Delay Copy Charge (audio cassette): $3.00 per [email protected]. for First Time First Year Borrowers and cassette If you use a telecommunications Multiple Disbursement for Single Term Duplication of Video: $25.00 for each device for the deaf (TDD), you may call Loans—were included in individual videotape; $16.50 for each the Federal Information Relay Service reauthorization for a broader group of additional individual videotape (FIRS) at 1–888–877–8339. institutions. Institutions with default Copy Charge for large documents (e.g., Individuals with disabilities may rates at or below 10% are eligible for the maps, diagrams): Actual commercial obtain this document in an alternative exemption from these requirements to rates format (e.g. Braille, large print, withhold funds for thirty days for first Dated: May 31, 2001. audiotape, or computer diskette) by time, first year borrowers and/or making contacting the Alternate Format Center Kenneth M. Pusateri, multiple disbursements for single term at (202) 260–9895. loans. In addition, the Department has General Manager. SUPPLEMENTARY INFORMATION: expanded the Federal Work Study [FR Doc. 01–14009 Filed 6–4–01; 8:45 am] (FWS) payment provisions and the Background BILLING CODE 3670–01–P means for certification of FWS time Over the past few years, the records. It is the Secretary’s hope that in Department of Education has the proposals invited by this notice, the DEPARTMENT OF EDUCATION undertaken a series of initiatives to community will again address simplify regulations and administrative important issues of program Federal Student Financial Assistance processes for the student financial administration that remain to be Programs under Title IV of the Higher assistance programs. The Experimental resolved. Education Act of 1965, as Amended Sites Initiative, authorized by section Invitation for Proposals AGENCY: Department of Education. 487A(b) of the HEA, is one such initiative. Through this initiative, the The Secretary invites institutions of ACTION: Notice inviting proposals for Secretary seeks to improve service to participation in experimental sites. higher education that administer one or students and free institutions of higher more Title IV programs to submit one or SUMMARY: The Secretary of Education education from administrative burdens more proposals to participate as invites institutions of higher education by testing new ways to administer experimental sites under section to propose new ways of administering certain SFA statutory and regulatory 487A(b) of the HEA. This section the student financial assistance requirements. authorizes the Secretary to select programs authorized by Title IV of the Initially, Congress gave the institutions for voluntary participation Higher Education Act of 1965, as Department authority under section in experiments to test new ways of amended (HEA). Under section 487A(b) 487A(d) of the HEA of 1992 to treat administering the student financial of the HEA, if the Secretary approves an select institutions as experimental sites. assistance programs. The Secretary is institution as an experimental site as a The first group of experiments became further authorized to exempt a part of this student aid reform initiative, effective July 1, 1996. During the participating institution from many the institution may receive waivers from coming months, the Secretary will Title IV statutory or regulatory specific Title IV statutory or regulatory continue this initiative to give requirements while conducting the requirements that would bias institutions of higher education experiment, except areas prohibited in experimental results. The Secretary flexibility to test different procedures to section 487A(b)(3)(C). carry out the intent of certain SFA cannot waive provisions in the areas of The Secretary establishes no statutory and regulatory requirements. need analysis, award rules, and grant regulatory requirements for the Thus, with this notice, the Secretary and loan maximum award amounts. proposals invited by this notice. It is the invites proposals to reinvent the However, the Secretary anticipates Secretary’s hope that this approach will administration of student financial approving experiments in a wide variety encourage institutions to develop truly assistance programs authorized by of other areas. innovative strategies that relieve section 487A(b), Regulatory Instructions for Submitting a unnecessary burden, maintain program Improvement and Streamlining Proposal: Elements to be included in the accountability, and provide the Experiments. One purpose of this proposal are described in this notice. Department with data to improve Title initiative, as well as the Department’s Proposals should be submitted IV program administration. The continuing dialogue with the higher electronically by electronic mail or in Secretary will consider the outcome of education community, is to help the hard copy to the address below. All these experimental strategies when Secretary develop a set of proposals for proposals should clearly designate a making changes in Title IV program amendments to the law or regulations contact person, and the telephone regulations or, if appropriate, legislative pertaining to the administration of number and the e-mail address of the proposals. student financial aid programs. contact person. The invitation for proposals in this Statutory and Regulatory Provisions DATES: Proposals may be submitted in notice is a part of the Secretary’s That May Not Be Waived response to this notice at any time after continuing effort to reform Title IV The Secretary may waive any statute June 4, 2001. program administration in partnership or regulatory requirement except those ADDRESSES: Barbara A. Mroz, U.S. with the higher education community. requirements relating to needs analysis, Department of Education, 400 Maryland The community has given the award rules, and grant and loan Avenue, SW (Room 3925, ROB–3), Department the benefit of its views in a maximum award amounts. Section Washington, DC, 20202–5232. variety of ways over the last several 487A(b)(3)(C). FOR FURTHER INFORMATION CONTACT: years. The community’s views have Jacqulyn S. Bannister, U.S. Department been integrated in the reforms that the Submission of Proposals of Education, 400 Maryland Avenue, Department has undertaken to date. For An institution that administers a Title SW (Room 3925, ROB–3), Washington, example, in the Higher Education IV program, or a group of these
VerDate 11
institutions (consortium), may submit a intent. A report on this initiative, However, early submission (at least proposal in response to this notice at including a description of each sixty days from the date of this notice) any time by mailing (including experiment, can be found on SFA’s is encouraged for consideration of electronic mail) or faxing the proposal Information for Financial Aid proposals for the 2001–2002 award year. to Barbara A. Mroz or Jacqulyn Professionals (IFAP) site at: http:// The Secretary will review each Bannister at 202/708–9485. Each www.ifap.ed.gov. proposal submitted in response to this proposal to participate in this initiative Current Areas of Experimentation notice. In reviewing proposals, the should include: the name, address, and Secretary will be guided by the statutory web site address, if any, of the 1. Overaward Tolerance. purpose of section 487A(b), namely, to institution, or members of the 2. Entrance Loan Counseling. inform future policy choices relating to consortium seeking to participate, the 3. Exit Loan Counseling. the administration of Title IV programs. OPE Identification number, and the 4. Multiple Disbursement for Single The Secretary may approve a proposal name, title, mailing and e-mail Term Loans. as submitted, reject it, or, if a proposal addresses, and telephone number of a 5. Thirty-Day Delay for First Time, contact person for the institution, or First Year Borrowers. is not fully approvable but has merit, consortium. 6. Loan Fees in Cost of Attendance. work with the institution to refine it. The Secretary emphasizes that the 7. Loan Proration for Graduating However, consultation with Congress is Department seeks to approve proposals Borrowers. a precondition to granting waivers. After for innovative approaches in a variety of 8. Credit Title IV Aid to Institutional a proposal is approved, the participating different areas relating to the Charges. institution’s Title IV Program administration of student financial 9. Credit Title IV Aid to Prior Term Participation Agreement (PPA) will be assistance programs. The Secretary also Charges. amended to reflect the terms of the encourages institutions to collaborate in 10. Academic Term (Definition). experiment, including the obligations the development of proposals and to 11. Federal Work Study Time undertaken by the institution, the submit proposals as a group of Records. requirements from which the institution institutions (consortium). 12. Federal Work Study Payment to is relieved, the length of the experiment, To aid in the Department’s review of Students. and the right of either the institution or proposals, the Secretary suggests the 13. Ability to Benefit. the Department to terminate the proposal answer the following questions With this notice, the Secretary experiment. encourages proposals for new in detail: Generally, approved experiments will • What problem experienced by the experiments, in areas other than those listed above. In addition, the Secretary be conducted for five years. The institution or its students, or both, does Secretary may extend this period if the proposal address? may develop area(s) of experimentation continuation is in the interest of the • What is the institution’s or modify current experiments and hypothesis? invite participation to test the impact Title IV programs and additional • What is the institution’s requirements have on different types of experimental data is needed. On the experimental design/proposed solution institutions and/or populations served. other hand, the Secretary may terminate any experiment if the experiment is no to that problem? Selection of Participants • From which specific statutory or longer providing useful data or is regulatory requirements does the In selecting participants to test otherwise no longer serving the interest institution seek relief in order to test its alternative approaches, the Secretary of the Title IV programs. may consider the— proposed solution? Reporting Requirements • What alternative actions does the 1. Department of Education’s capacity institution propose to achieve the to oversee and monitor participation in Participating institutions will report underlying purpose of the requirements this initiative. annually (a specified date following from which relief is sought and how 2. Institution’s financial each academic year the experiment is in will it measure outcomes? responsibility, administrative capability, • effect) to the Department on the results How will the institution evaluate its program review findings, audits, etc. as of their experiment(s) using success? outlined in the regulations and in the performance measures agreed upon by • For what period is the experiment Student Financial Aid Handbook: the institution and the Secretary. proposed? Institutional Eligibility and Institutions should gather both Cited below are the areas of Participation section. qualitative and quantitative information experimentation previously approved 3. Necessity of including a diverse from their participation and include it and currently being conducted. The group of participating institutions vis-a- in the annual report. The qualitative higher education community selected vis size, mission, and geographic information should describe improved the problems addressed by these distribution. experiments because they have been the As part of the selection process, the service to students, and reduced subject of considerable commentary. In Department will screen the prospective institutional burden and costs. The other words, the participants identified participants to ensure eligibility. A Department also notes that quantitative most of the provisions being modified review of the Department’s files on the measures are essential for reaching through these experiments as common institution will be conducted to informed decisions relative to change. problems. A few of the experiments determine if the institution meets Thus, the Secretary will work with the were specifically proposed to address a eligibility requirements and has a participating institution(s) to develop a particular problem or a particular demonstrated record of program standard report format designed to population. In either case, participating compliance. capture data based information to institutions have identified solutions evaluate the experiment. that they believe will better address the Review Process Note: The Secretary’s decision on needs of their student population while The Secretary is prepared to review institutional proposals will be final. There is maintaining the fundamental legislative proposals as soon as they are received. no formal appeal process.
VerDate 11
Electronic Access to This Document desiring to be heard or to protest the 1. Biomasse Italia S.p.A. You may view this document, as well Commission’s blanket approval of [Docket No. EG01–218–000] issuances of securities or assumptions of as all other Department of Education Take notice that on May 23, 2001, liabilities by Duke Mohave should file a documents published in the Federal Biomasse Italia S.p.A. (Biomasse Italia) motion to intervene or protest with the Register, in text or portable document with its principal office at Corso d’Italia Federal Energy Regulatory Commission, format (PDF) on the World Wide Web at 19, Rome 00198, Italy filed with the 888 First Street, NE., Washington, DC the following site: www.ed.gov/ Federal Energy Regulatory Commission 20426, in accordance with Rules 211 legislation/FedRegister. (Commission) an application for and 214 of the Commission’s Rules of To use PDF you must have Adobe determination of exempt wholesale Practice and Procedure, 18 CFR 385.211 Acrobat Reader, which is available free generator status pursuant to Part 365 of and 385.214. at this site. If you have questions about the Commission’s regulations. using PDF, call the U.S. Government (E) Absent a request to be heard Biomasse Italia is a company Printing Office (GPO) toll free at 1–888– within the period set forth in Ordering organized under the laws of Italy. 293–6498; or in the Washington, DC Paragraph (D) above, Duke Mohave is Biomasse Italia will be engaged, directly area at (202) 512–1530. hereby authorized to issue securities or indirectly through an affiliate as Note: The official version of this document and assume obligations or liabilities as defined in Section 2(a)(11)(B) of the is the document 1 published in the Federal guarantor, indorser, surety, or otherwise Public Utility Holding Company Act of Register. Free Internet access to the official in respect of any security of another 1935, exclusively in owning, or both edition of the Federal Register and the Code person; provided that such issue or of Federal Regulations is available on GPO owning and operating an electric assumption is for some lawful object generating facility consisting of a 20 Access at: http://www.access.gpo.gov/nara/ within the corporate purposes of Duke index.html. MW Power Plant in Crotone, Italy; Mohave, compatible with the public selling electric energy at wholesale and Program Authority: 20 U.S.C. 1094a. interest, and reasonably necessary or engaging in project development Dated: May 31, 2001. appropriate for such purposes. activities with respect thereto. (G) The Commission reserves the right Greg Woods, Comment date: June 19, 2001, in to modify this order to require a further accordance with Standard Paragraph E Chief Operating Officer, Student Financial showing that neither the public nor Assistance. at the end of this notice. The private interests will be adversely Commission will limit its consideration [FR Doc. 01–14059 Filed 6–4–01; 8:45 am] affected by continued Commission BILLING CODE 4000–01–P of comments to those that concern the approval of Duke Mohave’s issuances of adequacy or accuracy of the application. securities or assumptions of liabilities. *** 2. Rail Energy of Montana, LLC DEPARTMENT OF ENERGY Notice is hereby given that the [Docket No. ER01–1557–001] deadline for filing motions to intervene Federal Energy Regulatory Take notice that on May 23, 2001, Rail or protests, as set forth above, is June 18, Commission Energy of Montana (REM), a Montana 2001. limited liability company, tendered for [Docket No. ER01–1619–000] Copies of the full text of the Order are filing to accept an amendment to its available from the Commission’s Public petition for acceptance of Rail Energy of Duke Energy Mohave, LLC; Notice of Reference Branch, 888 First Street, N.E., Issuance of Order Montana Rate Schedule FERC No. 1; the Washington, D.C. 20426. The Order may granting of certain blanket approvals, May 30, 2001. also be viewed on the Internet at http:/ including the authority to sell electricity On March 23, 2001, Duke Energy /www.ferc.fed.us/online/rims.htm (call at market-based rates; waiver of certain Mohave, LLC (Duke Mohave) filed an 202–208–2222 for assistance). Commission regulations; and waiver of application seeking authority to sell Comments, protests, and interventions notice requirement. firm and non-firm energy, capacity, and may be filed electronically via the REM intends to engage in wholesale ancillary services at market-based rates internet in lieu of paper. See, 18 CFR electric energy and capacity sales. REM and to reassign transmission capacity 385.2001(a)(1)(iii) and the instructions is owned by Commercial Energy of under the terms of its proposed FERC on the Commission’s web site at http:/ Montana and Montana Rail Link. Electric Tariff No. 1. Duke Mohave also /www.ferc.fed.us/efi/doorbell.htm. Comment date: June 13, 2001, in sought certain blanket approvals and David P. Boergers, accordance with Standard Paragraph E at the end of this notice. waivers of the Commission’s Secretary. regulations. In particular, Duke Mohave [FR Doc. 01–14063 Filed 6–4–01; 8:45 am] 3. Florida Keys Electric Cooperative requested that the Commission grant BILLING CODE 6717–01–M Association, Inc. blanket approval under 18 CFR part 34 of all future issuances of securities and [Docket No. ER01–1590–001] assumptions of liabilities by Duke DEPARTMENT OF ENERGY Take notice that on May 23, 2001, Mohave. On May 18, 2001, the Florida Keys Electric Cooperative Commission issued an Order Federal Energy Regulatory Association, Inc. (FKEC) tendered for Conditionally Accepting For Filing Commission filing a compliance filing consisting of Market-Based Rate Tariff (Order), in the FKEC’s First Revised FERC Rate Schedule No. 1 containing a new non- above-docketed proceeding. [Docket No. EG01–218–000–000, et al.] The Commission’s May 18, 2001 firm transmission rate applicable to the Order granted the request for blanket Biomasse Italia S.p.A., et al.; Electric City Electric System, Key West, Florida approval under Part 34, subject to Rate and Corporate Regulation Filings for the period April 1, 2001 through conditions found in Ordering March 31, 2002. This non-firm Paragraphs (D), (E), and (G). May 29, 2001. transmission rate was approved by the (D) Within 30 days of the date of Take notice that the following filings Commission effective April 1, 2001 issuance of this order, any person have been made with the Commission: conditioned on this compliance filing
VerDate 11
designating such agreement under Order 7. Progress Energy, Inc., Carolina Entergy Louisiana, Inc., Entergy No. 614. Power & Light Company Mississippi, Inc., and Entergy New Comment date: June 13, 2001, in [Docket No. ER01–2102–000] Orleans, Inc., tendered for filing six copies of the Power and Energy Service accordance with Standard Paragraph E Take notice that on May 23, 2001, at the end of this notice. Agreement, Firm Power and Energy Carolina Power & Light Company Service Agreement, and Peaking Power 4. Neptune Regional Transmission (CP&L) tendered for filing Service and Energy Service Agreement between System LLC Agreements for Short-Term Firm and Entergy Services and the Municipal Non-Firm Point-to-Point Transmission [Docket No. ER01–2099–000] Energy Agency of Mississippi. Service with Axia Energy, LP. Service to Comment date: June 12, 2001, in Take notice that on May 23, 2001, this Eligible Customer will be in accordance with Standard Paragraph E Neptune Regional Transmission System accordance with the terms and at the end of this notice. LLC (Neptune) tendered for filing its conditions of the Open Access FERC Electric Tariff Original Volume Transmission Tariff filed on behalf of 11. ISO New England Inc. No. 1 in the above-referenced CP&L. [Docket No. ER01–2115–000] proceeding. This Tariff is intended to CP&L is requesting an effective date of Take notice that on May 22, 2001, the provide for the open access May 10, 2001 for the Service New England Power Pool (NEPOOL) transmission of power at rates Agreements. tendered for an informational filing established pursuant to negotiations and Copies of the filing were served upon concerning proposed changes to the open seasons, in accordance with the North Carolina Utilities Commission NEPOOL arrangements that would procedures detailed in the Tariff. and the South Carolina Public Service adopt for New England a standard Neptune states that it believes that it can Commission. market design (SMD) for a congestion place the initial New Jersey to Long Comment date: June 13, 2001, in management system (CMS) and multi- Island and New York capacity into accordance with Standard Paragraph E settlement system (MSS) with a request service by the summer of 2003 if it at the end of this notice. that the Commission issue an order by receives its approvals in time. 8. Enron Power Marketing, Inc. July 31, 2001 approving the expeditious Neptune therefore requests that the development of SMD to replace those [Docket No. ER01–2103–000] Commission issue its approval no later provisions of the Commission-ordered than August 1, 2001 so that the initial Take notice that on May 22, 2001, CMS/MSS for New England that would open season can commence on Enron Power Marketing, Inc. (EPMI), be changed by SMD. The SMD would be September 10, 2001. tendered for filing a Fourth Revised Rate modeled largely after the market design Schedule FERC No. 1. The proposed Comment date: June 13, 2001, in of PJM Interconnection, L.L.C. revisions will permit EPMI to make The NEPOOL Participants Committee accordance with Standard Paragraph E purchases from and sales to EPMI’s at the end of this notice. states that copies of these materials were affiliate, Portland General Company, sent to all persons on the services list in 5. Delano Energy Company, Inc. through the EnronOnline trading these proceedings, the NEPOOL platform. [Docket No. ER01–2100–000] Participants and the New England state EPMI requests waiver of the 60 day governors and regulatory commissions. Take notice that on May 23, 2001, prior notice period and a July 1, 2001 Comment date: June 12, 2001, in Delano Energy Company, Inc. (Delano) effective date. accordance with Standard Paragraph E tendered for filing amendments to Comment date: June 12, 2001, in at the end of this notice. Delano’s electric rate schedule No. 1 to accordance with Standard Paragraph E reflect its pending affiliation with AES at the end of this notice. Standard Paragraph Corp. and its franchised public utility E. Any person desiring to be heard or 9. PJM Interconnection, L.L.C. subsidiaries. Delano requests waiver of to protest such filing should file a any notice requirements to the extent [Docket No. ER01–2105–000] motion to intervene or protest with the required. Take notice that on May 23, 2001, Federal Energy Regulatory Commission, Comment date: June 13, 2001, in PJM Interconnection, L.L.C. (PJM) 888 First Street, NE., Washington, DC accordance with Standard Paragraph E tendered for filing an amendment to 20426, in accordance with Rules 211 at the end of this notice. section 1.49 of the Amended and and 214 of the Commission’s Rules of Restated Operating Agreement of PJM Practice and Procedure (18 CFR 385.211 6. PJM Interconnection, L.L.C. Interconnection, L.L.C. (Operating and 385.214). All such motions or [Docket No. ER01–2101–000] Agreement). The proposed amendment protests should be filed on or before the clarifies the definition of the term comment date. Protests will be Take notice that on May 23, 2001, Weighted Interest. considered by the Commission in PJM Interconnection, L.L.C. (PJM), Copies of this filing were served upon determining the appropriate action to be tendered for filing (i) an executed all PJM members, and each state electric taken, but will not serve to make agreement for firm point-to-point utility regulatory commission within the protestants parties to the proceeding. transmission service with Calpine PJM control area. Any person wishing to become a party Energy Services, L.P. (Calpine); and (ii) Comment date: June 13, 2001, in must file a motion to intervene. Copies an executed agreement for non-firm accordance with Standard Paragraph E of these filings are on file with the point-to-point transmission service with at the end of this notice. Commission and are available for public Calpine. inspection. This filing may also be 10. Entergy Services, Inc. Copies of this filing were served upon viewed on the Internet at http:// Calpine and the state commissions [Docket No. ER01–2107–000] www.ferc.fed.us/online/rims.htm (call within the PJM control area. Take notice that on May 22, 2001, 202–208–2222 for assistance). Comment date: June 13, 2001, in Entergy Services, Inc. (Entergy Comments, protests, and interventions accordance with Standard Paragraph E Services), on behalf of Entergy may be filed electronically via the at the end of this notice. Arkansas, Inc., Entergy Gulf States, Inc., internet in lieu of paper. See, 18 CFR
VerDate 11
385.2001(a)(1)(iii) and the instructions Customer. A copy of the filing was Copies of the filing have been on the Commission’s web site at http:/ served upon Nevada. provided to the customer and to the /www.ferc.fed.us/efi/doorbell.htm. Comment date: June 14, 2001, in Pennsylvania Public Utility accordance with Standard Paragraph E Commission. David P. Boergers, at the end of this notice. Comment date: June 14, 2001, in Secretary. accordance with Standard Paragraph E [FR Doc. 01–14065 Filed 6–4–01; 8:45 am] 4. South Carolina Electric & Gas Company at the end of this notice. BILLING CODE 6717–01–P [Docket No. ER01–2109–000] 7. Mountainview Power Company Take notice that on May 24, 2001, [Docket No. ER01–2112–000] FEDERAL ENERGY REGULATORY South Carolina Electric & Gas Company Take notice that on May 24, 2001, COMMISSION (SCE&G) tendered for filing a service Mountainview Power Company agreement establishing Florida Power [Docket No. ER01–2104–000, et al.] (Mountainview) tendered for filing Corporation as a customer under the amendments to Mountainview’s electric Maclaren Energy, Inc., et al.; Electric terms of SCE&G’s Negotiated Market rate schedule No. 1 to reflect its pending Rate and Corporate Regulation Filings Sales Tariff. SCE&G requests an effective affiliation with AES Corp. and its date of one day subsequent to the date franchised public utility subsidiaries. May 30, 2001. of filing. Mountainview requests waiver of any Take notice that the following filings Accordingly, SCE&G requests waiver notice requirements to the extent have been made with the Commission: of the Commission’s notice required. requirements. Copies of this filing were 1. Maclaren Energy, Inc. Comment date: June 14, 2001, in served upon Florida Power Corporation accordance with Standard Paragraph E [Docket No. ER01–2104–000] and the South Carolina Public Service at the end of this notice. Take notice that on May 24, 2001, Commission. 8. Boston Edison Company Maclaren Energy, Inc. tendered for Comment date: June 14, 2001, in filing, pursuant to section 205 of the accordance with Standard Paragraph E [Docket No. ER99–35–003] at the end of this notice. Federal Power Act, and Part 35 of the Take notice that on April 26, 2001, Commission’s regulations, a Petition for 5. South Carolina Electric & Gas Boston Edison Company tendered for authorization to make sales of electric Company filing its First Revised Rate Schedule capacity and energy, including certain [Docket No. ER01–2110–000] FERC No. 169 in compliance with the ancillary services, at market-based rates Take notice that on May 24, 2001, Commission’s order issued March 27, and for related waivers and blanket South Carolina Electric & Gas Company 2001 in this proceeding. authorizations. (SCE&G) tendered for filing a service Comment date: June 14, 2001, in Comment date: June 14, 2001, in agreement establishing Mirant Americas accordance with Standard Paragraph E accordance with Standard Paragraph E Energy Marketing, LP as a customer at the end of this notice. at the end of this notice. under the terms of SCE&G’s Negotiated 9. New York State Electric & Gas 2. Allegheny Energy Supply Market Sales Tariff. Corporation Conemaugh, LLC and Allegheny Energy SCE&G requests an effective date of [Docket No. ER01–2113–000] Supply Company, LLC one day subsequent to the date of filing. Accordingly, SCE&G requests waiver of Take notice that on May 24, 2001 New [Docket No. EC01–104–000] the Commission’s notice requirements. York State Electric & Gas Corporation Take notice that on May 23, 2001, Copies of this filing were served upon (NYSEG) tendered for filing pursuant to Allegheny Energy Supply Conemaugh, Mirant Americas Energy Marketing, LP section 205 of the Federal Power Act LLC (Conemaugh) and Allegheny and the South Carolina Public Service and section 35 of the Federal Energy Energy Supply Company, LLC (AE Commission. Regulatory Commission’s (FERC or Supply), filed with the Federal Energy Comment date: June 14, 2001, in Commission) Regulations, a May 21, Regulatory Commission an application accordance with Standard Paragraph E 2001 Facilities Agreement with Otsego pursuant to Section 203 of the Federal at the end of this notice. Electric Cooperative, Inc. (Otsego). This Power Act for authorization of a Agreement provides for NYSEG to 6. Allegheny Energy Service disposition of jurisdictional facilities install a tap of its transmission system Corporation, on behalf of Allegheny whereby Conemaugh will become a in order to provide increased reliability Energy Supply Company, LLC (AE direct subsidiary of AE Supply, its to Otsego. Additionally, Otsego will pay Supply) affiliate. NYSEG’s annual charges for routine Comment date: June 13, 2001, in [Docket No. ER01–2111–000] operation, maintenance, general accordance with Standard Paragraph E Take notice that on May 24, 2001, expenses, and taxes (O&M). at the end of this notice. Allegheny Energy Service Corporation This rate filing is made pursuant to 3. Puget Sound Energy, Inc. on behalf of Allegheny Energy Supply Paragraph 5.1 of the Facilities Company, LLC (AE Supply), tendered Agreement. The annual charges for [Docket No. ER01–2108–000] for filing First Revised Rate Schedule routine operation and maintenance and Take notice that on May 24, 2001, FERC No. 4 (First Revised Schedule) general expenses, as well as revenue Puget Sound Energy, Inc., as with West Penn Power Company dba and property taxes are based on data Transmission Provider, tendered for Allegheny Power in order for Allegheny taken from NYSEG’s Annual Report to filing a service agreement for Firm Power to continue to supply Provider of the Federal Energy Regulatory Point-To-Point Transmission Service Last Resort Service to its Pennsylvania Commission (FERC Form 1) for the and a service agreement for Non-Firm customers. AE Supply has requested a twelve month period ending December Point-To-Point Transmission Service waiver of notice to make the First 31, 1999. The facilities charge is levied with State of Nevada, Colorado River Revised Schedule effective on January 1, on the cost of the tap facility Commission (Nevada), as Transmission 2001. constructed and owned by NYSEG to
VerDate 11
connect its 46 kV transmission lines to on the Commission’s web site at http:/ DEPARTMENT OF ENERGY Otsego’s transmission system. /www.ferc.fed.us/efi/doorbell.htm. Federal Energy Regulatory NYSEG requests an effective date of David P. Boergers, June 24, 2001 and therefore asks for Commission Secretary. waiver of the Commission’s sixty (60) [FR Doc. 01–14062 Filed 6–4–01; 8:45 am] day notice requirement. [Docket No. CP01–360–000] BILLING CODE 6717–01–P Copies of the filing were served upon Tennessee Gas Pipeline Company; the Chief Executive Officer, Otsego Notice of Intent to Prepare an Electric Cooperative, Inc. And the New DEPARTMENT OF ENERGY Environmental Assessment for the York State Public Service Commission. Proposed Dracut Expansion Project Comment date: June 14, 2001, in Federal Energy Regulatory and Request for Comments on accordance with Standard Paragraph E Commission Environmental Issues at the end of this notice. [Project No. 1962–000 California] May 30, 2001. 10. Southern Company Services, Inc. The staff of the Federal Energy [Docket No. ER01–2114–000] Pacific Gas and Electric Company; Regulatory Commission (FERC or Notice of Availability of Final Commission) will prepare an Take notice that on May 24, 2001, Environmental Assessment Southern Company Services, Inc. (SCS), environmental assessment (EA) that will acting on behalf of Alabama Power May 30, 2001. discuss the environmental impacts of the Dracut Expansion Project involving Company, Georgia Power Company, In accordance with the National Gulf Power Company, Mississippi construction and operation of facilities Environmental Policy Act of 1969 and Power Company, and Savannah Electric by Tennessee Gas Pipeline Company the Federal Energy Regulatory and Power Company (collectively (Tennessee) in Middlesex County, Commission’s (Commission) 1 referred to as Southern Company), Massachusetts. Tennessee proposes to regulations, 18 CFR part 380 (Order No. tendered for filing two (2) umbrella replace approximately 11.9 miles of 16- 486, 52 F.R. 47897), the Office of Energy agreements for short-term firm point-to- inch-diameter pipeline with Projects has reviewed the application point transmission service between approximately 11.5 miles of 24-inch- Southern Company and Tenaska Power for license for the Rock Creek-Cresta diameter replacement pipeline and 0.4 Services Company and Calpine Energy Hydroelectric Project, located on the mile of 16-inch-diameter replacement Services, L.P. under the Open Access North Fork Feather River in Butte and pipeline, and construct appurtentant Transmission Tariff of Southern Plumas Counties, California, and has facilities. This EA will be used by the Company (FERC Electric Tariff, Fourth prepared a Final environmental Commission in its decision-making Revised Volume No. 5). Assessment (FEA) for the project. About process to determine whether the 228 acres of the project occupy federal project is in the public convenience and Comment date: June 14, 2001, in lands, managed by the U.S. Forest necessity. accordance with Standard Paragraph E Service as part of the Plumas National If you are a landowner receiving this at the end of this notice. Forest. notice, you may be contacted by a Standard Paragraph The FEA contains the staff’s analysis pipeline company representative about of the potential environmental impacts the presence of an existing pipeline E. Any person desiring to be heard or of the project and concludes that easement. The majority of the existing to protest such filing should file a licensing the project, with appropriate pipeline has an associated 30-foot-wide motion to intervene or protest with the permanent right-of-way and the majority Federal Energy Regulatory Commission, environmental protective measures, would not constitute a major federal of the new pipeline would not require 888 First Street, NE., Washington, DC an expansion of permanent right-of-way. 20426, in accordance with Rules 211 action that would significantly affect the quality of the human environment. However, in several areas where and 214 of the Commission’s Rules of deviations may be necessary, such as Practice and Procedure (18 CFR 385.211 Copies of the FEA are available for major roadway crossings or where and 385.214). All such motions or review at the Commission’s Public removal would create additional protests should be filed on or before the Reference Room, located at 888 First environmental impacts, the existing comment date. Protests will be Street, NE., Washington, DC 20426, or pipeline would be abandoned in-place. considered by the Commission in by calling (202) 208–1371. The FEA may A fact sheet prepared by the FERC determining the appropriate action to be be viewed on the web at http:// entitled ‘‘An Interstate Natural Gas taken, but will not serve to make www.ferc.fed.us/online/rims htm (call Facility On My Land? What Do I Need protestants parties to the proceeding. (202) 208–2222 for assistance). To Know?’’ was attached to the project Any person wishing to become a party For further information, contact notice Tennessee provided to must file a motion to intervene. Copies Dianne Rodman at (202) 219–2830. landowners. This fact sheet addresses a of these filings are on file with the number of typically asked questions, Commission and are available for public David P. Boergers, including the use of eminent domain inspection. This filing may also be Secretary. and how to participate in the viewed on the Internet at http:// [FR Doc. 01–14014 Filed 6–4–01; 8:45 am] Commission’s proceedings. It is www.ferc.fed.us/online/rims.htm (call BILLING CODE 6717–01–M available for viewing on the FERC 202–208–2222 for assistance). Internet website (www.ferc.gov.) Comments, protests, and interventions may be filed electronically via the 1 Tennessee’s application was filed with the internet in lieu of paper. See, 18 CFR Commission under Section 7 of the Natural Gas Act 385.2001(a)(1)(iii) and the instructions and Part 157 of the Commission’s regulations.
VerDate 11
Summary of the Proposed Project them to comment on their areas of By becoming a commentor, your Tennessee wants to uprate its existing concern. concerns will be addressed in the EA pipeline system for the transportation of The EA will discuss impacts that and considered by the Commission. You additional volumes of natural gas within could occur as a result of the should focus on the potential the towns of Burlington, Billerica, construction and operation of the environmental effects of the proposal, Tweksbury, and Dracut, Massachusetts. proposed project under these general alternatives to the proposal (including Specifically, Tennessee seeks authority headings: alternative locations or routes), and to: • Geology and soils measures to avoid or lessen • Replace approximately 11.5 miles • Water resources, fisheries, and environmental impact. The more of 16-inch-diameter pipeline with a 24- wetlands specific your comments, the more useful inch-diameter pipeline in Middlesex • Vegetation and wildlife they will be. Please carefully follow County, Massachusetts; • Endangered and threatened species these instructions to ensure that your • Replace approximately 0.4 mile of • Public safety comments are received in time and 16-inch-diameter pipeline with a new • Land use properly recorded: 16-inch-diameter pipeline in Middlesex • Cultural resources • Send an original and two copies of County, Massachusetts; • Air quality and noise your letter to: David P. Boergers, • Modify the existing Bedford Street • Hazardous waste Secretary, Federal Energy Regulatory Regulation Station in Burlington, We will also evaluate possible Commission, 888 First St., NE., Room Massachusetts; and 1A, Washington, DC 20426. • alternatives to the proposed project or Construct a new regulation station portions of the project, and make • Label one copy of the comments for and pig launcher and receiver facilities recommendations on how to lessen or the attention of Gas/Hydro. in Tewksbury, Massachusetts. avoid impacts on the various resource • Reference Docket No. CP01–360– The location of the project facilities is areas. 000. shown in appendix 1.2 Our independent analysis of the • Mail your comments so that they Land Requirements for Construction issues will be in the EA. Depending on will be received in Washington, DC on Construction of the proposed facilities the comments received during the or before July 2, 2001. would require about 93.8 acres of land. scoping process, the EA may be Comments, protests and interventions The typical construction right-of-way published and mailed to Federal, state, may also be filed electronically via the would consist of the 30-foot-wide and local agencies, public interest Internet in lieu of paper. See 18 CFR permanent right-of-way and between 25 groups, interested individuals, affected 385.2001(a)(1)(iii) and the instructions and 60 feet of temporary workspace, but landowners, newspapers, libraries, and on the Commission’s web site at http:/ in certain areas, may be limited to the the Commission’s official service list for /www.ferc.gov under the link to the permanent 30-foot easement. this proceeding. A comment period will User’s Guide. Before you can file be allotted for review if the EA is comments you will need to create an The EA Process published. We will consider all account by clicking on ‘‘Login to File’’ The National Environmental Policy comments on the EA before we make and then ‘‘New User Account.’’ Act (NEPA) requires the Commission to our recommendations to the If you do not want to send comments take into account the environmental Commission. at this time but still want to remain on impacts that could result from an action To ensure your comments are our mailing list, please return the whenever it considers the issuance of a considered, please carefully follow the Information Request (appendix 3). If you Certificate of Public Convenience and instructions in the public participation do not return the Information Request, Necessity. NEPA also requires us 3 to section below.’ you will be taken off the mailing list. discover and address concerns the Currently Identified Environmental Becoming an Intervenor public may have about proposals. We Issues call this ‘‘scoping’’. The main goal of the In addition to involvement in the EA scoping process is to focus the analysis We have already identified several scoping process, you may want to in the EA on the important issues that we think deserve attention become an official party to the environmental issues. By this Notice of based on a preliminary review of the proceeding known as an ‘‘intervenor.’’ Intent, the Commission requests public proposed facilities and the Intervenors play a more formal role in comments on the scope of the issues it environmental information provided by the process. Among other things, will address in the EA. All comments Tennessee. This preliminary list of intervenors have the right to receive received are considered during the issues may be changed based on your copies of case-related Commission preparation of the EA. State and local comments and our analysis. documents and filings by other • government representatives are The project would cross a total of intervenors. Likewise, each intervenor encouraged to notify their constituents 26 streams and 38 wetlands. must provide 14 copies of its filings to • of this proposed action and encourage Two federally listed endangered or the Secretary of the Commission and threatened species and two state- must send a copy of its filings to all 2 The appendices referenced in this notice are not protected species may occur in the other parties on the Commission’s being printed in the Federal Register. Copies are project area. service list for this proceeding. If you available on the Commission’s website at the • A total of 130 residences are located ‘‘RIMS’’ link or from the Commission’s Public want to become an intervenor you must Reference and Files Maintenance Branch, 888 First within 50 feet of the construction work file a motion to intervene according to Street, NE., Washington, DC 20426, or call (202) area, of which 108 are within 25 feet of Rule 214 of the Commission’s Rules of 208–1371. For instructions on connecting to RIMS the construction area. Practice and Procedure (18 CFR refer to the last page of this notice. Copies of the 4 appendices were sent to all those receiving this Public Participation 385.214) (see appendix 2). Only notice in the mail. 3 ‘‘We’’, ‘‘us’’, and ‘‘our’’ refer to the You can make a difference by 4 Interventions may also be filed electronically via environmental staff of the Office of Energy Projects providing us with your specific the Internet in lieu of paper. See the previous (OEP). comments or concerns about the project. discussion on filing comments electronically.
VerDate 11
intervenors have the right to seek g. Filed Pursuant to: Federal Power Anyone may submit comments, a rehearing of the Commission’s decision. Act, 16 U.S.C. 791(a)–825(r). protest, or a motion to intervene in Affected landowners and parties with h: Applicant Contact: Steven A. Fry, accordance with the requirements of environmental concerns may be granted Avista Corporation, P.O. Box 3727, Rules of Practice and Procedure, 18 CFR intervenor status upon showing good Spokane, WA 99220–3727; (509) 495– 385.210, .211, .214. In determining the cause by stating that they have a clear 4084. appropriate action to take, the and direct interest in this proceeding i. FERC Contact: Steve Hocking at Commission will consider all protests or which would not be adequately (202) 219–2656 or e-mail address: other comments filed, but only those represented by any other parties. You do [email protected]. Please note who file a motion to intervene in not need intervenor status to have your the Commission cannot accept accordance with the Commission’s environmental comments considered. comments, terms and conditions, Rules may become a party to the Additional information about the motions to intervene or protests sent by proceeding. Any comments, protests, or proposed project is available from the e-mail; these documents must be filed as motions to intervene must be received Commission’s Office of External Affairs described below. on or before the specified comment date at (202) 208–1088 or on the FERC j. Deadline for filing comments, terms for the particular application. website (www.ferc.gov) using the and conditions, motions to intervene, Any filings must bear in all capital ‘‘RIMS’’ link to information in this and protests: June 19, 2001. letters the title ‘‘COMMENTS,’’ docket number. Click on the ‘‘RIMS’’ All documents (original and eight ‘‘RECOMMENDATIONS FOR TERMS link, select ‘‘Docket #’’ from the RIMS copies) should be filed with: David P. AND CONDITIONS,’’ ‘‘PROTEST,’’ or Menu, and follow the instructions. For Boergers, Secretary, Federal Energy ‘‘MOTION TO INTERVENE,’’ as assistance with access to RIMS, the Regulatory Commission, 888 First applicable, and the Project Number of RIMS helpline can be reached at (202) Street, NE., Washington, DC 20426. the particular application to which the 208–2222. Comments, protests, and interventions filing refers. A copy of any motion to Similarly, the ‘‘CIPS’’ link on the may be filed electronically via the intervene must also be served upon each FERC Internet website provides access internet in lieu of paper. See 18 CFR representative of the Applicant to the texts of formal documents issued 385.2001(a)(1)(iii) and the instructions specified in the particular application. by the Commission, such as orders, on the Commission’s web site at http:/ Federal, state, and local agencies are notices, and rulemakings. From the /www.ferc.fed.us/efi/doorbell.htm. invited to file comments on the FERC Internet website, click on the The Commission’s Rules of Practice described application. A copy of the ‘‘CIPS’’ link, select ‘‘Docket #’’ from the and Procedure require all intervenors application may be obtained by agencies CIPS menu, and follow the instructions. filing documents with the Commission directly from the applicant. If an agency For assistance with access to CIPS, the to serve a copy of that document on does not file comments within the time CIPS helpline can be reached at (202) each person whose name appears on the specified for filing comments, it will be 208–2474. official service list for the project. presumed to have no comments. One Further, if an intervenor files comments copy of an agency’s comments must also David P. Boergers, or documents with the Commission be sent to the Applicant’s Secretary. relating to the merits of an issue that representatives. [FR Doc. 01–14010 Filed 6–4–01; 8:45 am] may affect the responsibilities of a David P. Boergers, BILLING CODE 6717–01–M particular resource agency, they must Secretary. also serve a copy of the document on [FR Doc. 01–14011 Filed 6–4–01; 8:45 am] that resource agency. DEPARTMENT OF ENERGY BILLING CODE 6717–01–M k. Description of Application: Article Federal Energy Regulatory 30 of the existing license requires Avista Commission Corporation to spill at least 200 cubic DEPARTMENT OF ENERGY feet per second (cfs) of water over the Notice of Application to Amend Monroe Street dam every day during Federal Energy Regulatory License and Soliciting Comments, viewing hours (10:00 am to one-half Commission Motions To Intervene, and Protests hour after sunset) for aesthetic purposes. Avista Corporation requests a temporary Notice of Application Accepted for May 30, 2001 waiver of article 30 so it does not have Filing and Soliciting Comments, Take notice that the following to spill 200 cfs from June 30 through Protests, and Motions To Intervene hydroelectric application has been filed November 15, 2001. May 30, 2001. with the Commission and is available l. A copy of the application is for public inspection: Take notice that the following available for inspection and hydroelectric application has been filed a: Application Type: Amendment to reproduction at the Commission’s with the Commission and is available License. Public Reference Room at 888 First for public inspection: b: Project No.: 2545–071. Street NE., Room 2A, Washington, DC a. Type of Application: Preliminary c: Date Filed: May 29, 2001. 20426, or by calling (202) 208–1371. Permit. d: Applicant: Avista Corporation. The application may be viewed on the b. Project No.: 11977–000. e: Name of Project: Spokane River web at http://www.ferc.fed.us/online/ c. Date filed: April 19, 2001. Project; Monore Street dam. rims.htm. Call (202) 208–2222 for d. Applicant: Symbiotics, LLC. f: Location: The Spokane River Project assistance. A copy is also available for e. Name and Location of Project: The is on the Spokane River in Spokane, inspection and reproduction at the Wister Dam Project would be located on Stevens, and Lincoln Counties, address in item (h) above. the Poteau River in Le Flore County, Washington and Kootenai County, m. Individuals desiring to be included Oklahoma. The project would be Idaho. The project occupies the on the Commission’s mailing list should partially located on federal lands following tribal lands: Spokane Tribe so indicate by writing to the Secretary administered by the U.S. Army Corps of and Coeur d’Alene Indian Reservation. of the Commission. Engineers.
VerDate 11
f. Filed Pursuant to: Federal Power project must submit the competing party to the proceeding. Any comments, Act, 16 U.S.C. 791(a)–825(r). application itself, or a notice of intent to protests, or motions to intervene must g. Applicant contact: Mr. Brent L. file such an application, to the be received on or before the specified Smith, President, Northwest Power Commission on or before the specified comment date for the particular Services, Inc., P.O. Box 535, Rigby, ID comment date for the particular application. 83442, (208) 745–8630, fax (208) 745– application (see 18 CFR 4.36). q. Filing and Service of Responsive 7909. Submission of a timely notice of intent Documents—Any filings must bear in h. FERC Contact: Tom Papsidero, allows an interested person to file the all capital letters the title (202) 219–2715. competing preliminary permit ‘‘COMMENTS’’, ‘‘NOTICE OF INTENT i. Deadline for filing comments, application no later than 30 days after TO FILE COMPETING APPLICATION’’, protests, and motions to intervene: 60 the specified comment date for the ‘‘COMPETING APPLICATION’’, days from the issuance date of this particular application. A competing ‘‘PROTEST’’, or ‘‘MOTION TO notice. preliminary permit application must INTERVENE’’, as applicable, and the All documents (original and eight conform with 18 CFR 4.30(b) and 4.36. Project Number of the particular copies) should be filed with: David P. m. Preliminary Permit—Any qualified application to which the filing refers. Boergers, Secretary, Federal Energy development applicant desiring to file a Any of the above-named documents Regulatory Commission, 888 First competing development application must be filed by providing the original Street, NE, Washington, DC 20426. must submit to the Commission, on or and the number of copies provided by Motions to intervene, protests, and before a specified comment date for the the Commission’s regulations to: The comments may be filed electronically particular application, either a Secretary, Federal Energy Regulatory via the internet in lieu of paper. See, 18 competing development application or a Commission, 888 First Street, NE., CFR 385.2001(a)(1)(iii) and the notice of intent to file such an Washington, DC 20426. An additional instructions on the Commission’s web application. Submission of a timely copy must be sent to Director, Division site at http://www.ferc.fed.us/efi/ notice of intent to file a development of Hydropower Administration and doorbell.htm. application allows an interested person Compliance, Federal Energy Regulatory Please include the project number (P– to file the competing application no Commission, at the above-mentioned 11977–000) on any comments or later than 120 days after the specified address. A copy of any notice of intent, motions filed. The Commission’s Rules comment date for the particular competing application or motion to of Practice and Procedure require all application. A competing license intervene must also be served upon each interveners filing documents with the application must conform with 18 CFR representative of the Applicant Commission to serve a copy of that 4.30(b) and 4.36. specified in the particular application. document on each person in the official n. Notice of Intent—A notice of intent r. Agency Comments—Federal, state, service list for the project. Further, if an must specify the exact name, business and local agencies are invited to file intervener files comments or documents address, and telephone number of the comments on the described application. with the Commission relating to the prospective applicant, and must include A copy of the application may be merits of an issue that may affect the an unequivocal statement of intent to obtained by agencies directly from the responsibilities of a particular resource submit, if such an application may be Applicant. If an agency does not file agency, they must also serve a copy of filed, either a preliminary permit comments within the time specified for the document on that resource agency. application or a development filing comments, it will be presumed to j. Description of Project: The proposed application (specify which type of have no comments. One copy of an project would use the existing Wister application). A notice of intent must be agency’s comments must also be sent to Dam which has a reservoir surface area served on the applicant(s) named in this the Applicant’s representatives. of 6,745 acres and a storage capacity of public notice. 6,745 acre-feet at a normal elevation of o. Proposed Scope of Studies under David P. Boergers, 475 feet and include: (1) A proposed Permit—A preliminary permit, if issued, Secretary. powerhouse with a total installed does not authorize construction. The [FR Doc. 01–14012 Filed 6–4–01; 8:45 am] capacity of 4 megawatts; (2) a proposed term of the proposed preliminary permit BILLING CODE 6717–01–M 200-foot-long, 20-foot-diameter would be 36 months. The work penstock; (3) a proposed 2-mile-long, 15 proposed under the preliminary permit kv transmission line; and (4) would include economic analysis, DEPARTMENT OF ENERGY appurtenant facilities. The project preparation of preliminary engineering would operate in a run-of-river mode plans, and a study of environmental Federal Energy Regulatory and would have an average annual impacts. Based on the results of these Commission generation of 11.6 GWh. studies, the applicant would decide k. A copy of the application is whether to proceed with the preparation Notice of Application Accepted for available for inspection and of a development application to Filing and Soliciting Comments, reproduction at the Commission’s construct and operate the project. Protests, and Motions To Intervene Public Reference Room, located at 888 p. Comments, Protests, or Motions to May 30, 2001. First Street, NE, Room 2A, Washington, Intervene—Anyone may submit Take notice that the following DC 20426, or by calling (202) 208–1371. comments, a protest, or a motion to hydroelectric application has been filed The application may be viewed on intervene in accordance with the with the Commission and is available http://www.ferc.fed.us/online/rims.htm requirements of Rules of Practice and for public inspection: (call (202) 208–2222 for assistance). A Procedure, 18 CFR 385.210, .211, .214. a. Type of Application: Preliminary copy is also available for inspection and In determining the appropriate action to Permit. reproduction at the address in item g take, the Commission will consider all b. Project No. 11958–000. above. protects or other comments filed, but c. Date filed: April 16, 2001. l. Preliminary Permit—Anyone only those who file a motion to d. Applicant: Symbiotics, LLC. desiring to file a competing application intervene in accordance with the e. Name and Location of Project: The for preliminary permit for a proposed Commission’s Rules may become a Lower Sunshine Dam Project would be
VerDate 11
located on Sunshine Creek in Park l. Preliminary Permit—Anyone only those who file a motion to County, Wyoming. Part of the project desiring to file a competing application intervene in accordance with the would be on lands administered by for preliminary permit for a proposed Commission’s Rules may become a Greybull Valley Irrigation District. project must submit the competing party to the proceeding. Any comments, f. Filed Pursuant to: Federal Power application itself, or a notice of intent to protests, or motions to intervene must Act, 16 U.S.C. 791(a)–825(r). file such an application, to the be received on or before the specified g. Applicant contact: Mr. Brent L. Commission on or before the specified comment date for the particular Smith, President, Northwest Power comment date for the particular application. Services, Inc., P.O. Box 535, Rigby, ID application (see 18 CFR 4.36). q. Filing and Service of Responsive 83442, (208) 745–8630, fax (208) 745– Submission of a timely notice of intent Documents—Any filings must bear in 7909. allows an interested person to file the all capital letters the title h. FERC Contact: Tom Papsidero, competing preliminary permit ‘‘COMMENTS’’, ‘‘NOTICE OF INTENT (202) 219–2715. application no later than 30 days after TO FILE COMPETING APPLICATION’’, i. Deadline for filing comments, the specified comment date for the ‘‘COMPETING APPLICATION’’, protests, and motions to intervene: 60 particular application. A competing ‘‘PROTEST’’, or ‘‘MOTION TO days from the issuance date of this preliminary permit application must INTERVENE’’, as applicable, and the notice. conform with 18 CFR 4.30(b) and 4.36. Project Number of the particular All documents (original and eight m. Preliminary Permit—Any qualified application to which the filing refers. copies) should be filed with: David P. development applicant desiring to file a Any of the above-named documents Boergers, Secretary, Federal Energy competing development application must be filed by providing the original Regulatory Commission, 888 First must submit to the Commission, on or and the number of copies provided by Street, NE., Washington, DC 20426. before a specified comment date for the the Commission’s regulations to: The Motions to intervene, protests, and particular application, either a Secretary, Federal Energy Regulatory comments may be filed electronically competing development application or a Commission, 888 First Street, NE., via the internet in lieu of paper. See, 18 notice of intent to file such an Washington, DC 20426. An additional CFR 385.2001(a)(1)(iii) and the application. Submission of a timely copy must be sent to Director, Division instructions on the Commission’s web notice of intent to file a development of Hydropower Administration and site at http://www.ferc.fed.us/efi/ application allows an interested person Compliance, Federal Energy Regulatory doorbell.htm. to file the competing application no Commission, at the above-mentioned Please include the project number later than 120 days after the specified address. A copy of any notice of intent, (P–11958–000) on any comments or comment date for the particular competing application or motion to motions filed. application. A competing license intervene must also be served upon each The Commission’s Rules of Practice application must conform with 18 CFR representative of the Applicant and Procedure require all interveners 4.30(b) and 4.36. specified in the particular application. filing documents with the Commission n. Notice of Intent—A notice of intent r. Agency Comments—Federal, state, to serve a copy of that document on must specify the exact name, business and local agencies are invited to file each person in the official service list address, and telephone number of the comments on the described application. for the project. Further, if an intervener prospective applicant, and must include A copy of the application may be files comments or documents with the an unequivocal statement of intent to obtained by agencies directly from the Commission relating to the merits of an submit, if such an application may be Applicant. If an agency does not file issuer that may affect the filed, either a preliminary permit comments within the time specified for responsibilities of a particular resource application or a development filing comments, it will be presumed to agency, they must also serve a copy of application (specify which type of have no comments. One copy of an the document on that resource agency. application). A notice of intent must be agency’s comments must also be sent to j. Description of Project: The proposed served on the applicant(s) named in this the Applicant’s representatives. project would use the existing Greybull public notice. Valley Irrigation’s District’s Lower o. Proposed Scope of Studies Under David P. Boergers, Sunshine Reservior which has a storage Permit—A preliminary permit, if issued, Secretary. capacity of 58,750 acre-feet and would does not authorize construction. The [FR Doc. 01–14013 Filed 6–04–01; 8:45 am] consist of: (1) A proposed powerhouse term of the proposed preliminary permit BILLING CODE 6717–01–M with a total installed capacity of 5 would be 36 months. The work megawatts; (2) a proposed 200-foot-long, proposed under the preliminary permit 10-foot-diameter penstock; (3) a would include economic analysis, DEPARTMENT OF ENERGY proposed 9-mile-long, 15 kv preparation of preliminary engineering transmission line; and (4) appurtenant plans, and a study of environmental Federal Energy Regulatory facilities. The project would have an impacts. Based on the results of these Commission average annual generation of 9.75 GWh. studies, the Applicant would decide Notice of Amendment of License and k. A copy of the application is whether to proceed with the preparation Soliciting Comments, Motions To available for inspection and of a development application to Intervene, and Protests reproduction at the Commission’s construct and operate the project. Public Reference Room, located at 888 p. Comments, Protests, or Motions to May 31, 2001. First Street, NE., Room 2A, Washington, Intervene—Anyone may submit Take notice that the following DC 20426, or by calling (202) 208–1371. comments, a protest, or a motion to hydroelectric application has been filed The application may be viewed on intervene in accordance with the with the Federal Energy Regulatory http://www.ferc.fed.us/online/rims.htm requirements of Rules of Practice and Commission and is available for public (call (202) 208–2222 for assistance). A Procedure, 18 CFR 385.210, .211, .214. inspection: copy is also available for inspection and In determining the appropriate action to a. Application Type: Temporary reproduction at the address in item g take, the Commission will consider all Amendment of License. above. protests or other comments filed, but b. Project No.: 8361–034.
VerDate 11
c. Date Filed: May 18, 2001. flow and presented at the end of the 180 ENVIRONMENTAL PROTECTION d. Applicant: Olsen Power Partners. day period. AGENCY e. Name of Project: Olsen Water l. Location of the Application: A copy Power Project. [FRL–6991–4] f. Location: The Olsen Water Power of the application is available for Project is located on Old Cow Creek in inspection and reproduction at the Draft Great Lakes Strategy of the Great Shasta County, California. The project Commission’s Public Reference Room at Lakes Water Quality Agreement occupies lands of the United States 888 First Street, NE., Room 2A, administered by the U.S. Bureau of Washington, DC 20426, or by calling AGENCY: Environmental Protection Reclamation. (202) 208–1371. The application may be Agency. g. Filed Pursuant to: Federal Power viewed on the web at http:// ACTION: Notice of availability, public Act, 16 U.S.C. 791(a)–825(r). www.ferc.fed.us/online/rims.htm. Call meetings and the opportunity to h. Applicant Contact: Mr. Arthur (202) 208–2222 for assistance. A copy is comment. Hagood, Synergics Energy Services, 191 also available for inspection and Main Street, Annapolis, MD 21401; reproduction at the address in item (h) SUMMARY: Pursuant to the Great Lakes (410) 268–8820. above. Water Quality Agreement of 1972, as i. FERC Contact: Questions about this amended in 1987, federal, state and m. Individuals desiring to be included notice can be answered by Thomas Lo tribal partners have drafted a new Great on the Commission’s mailing list should Vullo at (202) 219–1168 or e-mail Lakes Strategy (The Strategy). The address: [email protected]. so indicate by writing to the Secretary Strategy is a concise, high-level The Commission cannot accept of the Commission. statement of basin wide priorities and comments, recommendations, motions n. Comments, Protests, or Motions to activities, reflecting the current state of to intervene or protests sent by e-mail. Intervene—Anyone may submit the Great Lakes basin ecosystem and key These documents must be filed as comments, a protest, or a motion to environmental goals for the future, so described below. intervene in accordance with the that a unified approach to j. Deadline for filing comments, terms requirements of Rules of Practice and implementation can be carried out by a and conditions, motions to intervene, Procedure, 18 CFR 385.210, .211, .214. diverse set of federal, state, and tribal and protests: 14 days from the issuance In determining the appropriate action to agencies. date of this notice. take, the Commission will consider all The Strategy presents Great Lakes All documents (original and eight protests or other comments filed, but basin issues under four broad categories: copies) should be filed with: David P. only those who file a motion to (1) Chemical Integrity: Reducing and Boergers, Secretary, Federal Energy intervene in accordance with the Eliminating the Threat of Toxic Pollution and Excess Nutrients, (2) Regulatory Commission, 888 First Commission’s Rules may become a Physical Integrity: Improving Land Use, Street, NE., Washington, DC 20426. party tot he proceeding. Any comments, Comments, protests, and interventions Water Quantity Management, and protests, or motions to intervene must may be filed electronically via the Habitat Protection, (3) Biological be received on or before the specified internet in lieu of paper. See 18 CFR Integrity: Protecting Human Health and comment date for the particular 385.2001(a)(1)(iii) and the instructions the Ecosystem’s Species, and (4) on the Commission’s web site at http: application. Working Together: Effectively //www.ferc.fed.us/efi/doorbell.htm. o. Filing and Service of Responsive Coordinating Programs and Resources to The Commission’s Rules of Practice Documents—Any filings must bear in Ensure The Great Lakes are Protected and Procedure require all intervenors all capital letters the title and Restored. filing documents with the Commission ‘‘COMMENTS,’’ DATES: A draft of the Strategy will be to serve a copy of that document on ‘‘RECOMMENDATIONS FOR TERMS made available to the public by June 1, each person whose name appears on the AND CONDITIONS,’’ ‘‘PROTEST,’’ or 2001. official service list for the project. ‘‘MOTION TO INTERVENE,’’ as Comment Period: Comments on the Further, if an intervenor files comments applicable, and the Project Number of Strategy must be submitted no later than or documents with the Commission the particular application to which the July 31, 2001. relating to the merits of an issue that filing refers. A copy of any motion to Public Meetings: Public Meetings on may affect the responsibilities of a intervene must also be served upon each the Strategy will be held on the dates particular resource agency, they must representative of the Applicant and at the locations listed below: also serve a copy of the document on specified in the particular application. that resource agency. Monday, June 25, 2001 p. Agency Comments—Federal, state, k. Description of Request: Olsen Location: Duluth, MN, MPCA Duluth and local agencies are invited to file Power Partners request a temporary Office, 525 Lake Avenue South, Suite amendment of license article 402 which comments on the described application. 400, Duluth, MN 55802 states, in part, that the licensee shall A copy of the application may be Time: 3 p.m.–8 p.m. discharge from the Olsen Project obtained by agencies directly from the diversion structure, a continuous applicant. If an agency does not file Wednesday, June 27, 2001 minimum flow of 30 cubic feet per comments within the time specified for Location: Detroit, MI, second (cfs), as measured at the point of filing comments, it will be presumed to Southeast Michigan Council of diversion, or inflow to the project, have no comments. One copy of an Governments, 535 Griswold Street, whichever is less, for the protection of agency’s comments must also be sent to Suite 300, Detroit, MI 48226 fish and wildlife resources in Old Cow the Applicant’s representatives. Time: 3 p.m.–8 p.m. Creek. The licensee proposed to reduce the minimum flow to 16 cfs for a 180 David P. Boergers, Thursday, June 28, 2001 Niagara day period from March 1, 2001. Olsen Secretary. University, Niagara Falls, NY 14109, Power Partners stated that studies [FR Doc. 01–14064 Filed 6–4–01; 8:45 am] Dunleavy Hall, Rm 127. would be conducted on the effect of the BILLING CODE 6717–01–M Time: 3 p.m.–8 p.m.
VerDate 11
Monday, July 2, 2001 how the product was improved by the accommodate oral public comments Location: Chicago, IL, USEPA, Region 5, review. The Committee will also meet whenever possible. The Science 77 W. Jackson Blvd (Lake Michigan with Agency officials to continue to Advisory Board expects that public Conference Room), Chicago, IL 60604 explore how the Agency identifies, statements presented at its meetings will Time: 12 p.m.–5.p.m. evaluates, and uses science conducted not be repetitive of previously outside EPA to inform its decisions and ADDRESSES: submitted oral or written statements. The Strategy can be found how the Agency is progressing with it’s on the internet at the following address: Oral Comments: In general, each multiyear planning process. individual or group requesting an oral http://www.epa.gov/glnpo/. Charge to the Committee—The charge Commenters may transmit their presentation at a face-to-face meeting for the Committee’ Advisory on the peer will be limited to a total time of ten comments electronically by following review process at EPA is: (a) Is EPA peer minutes. For teleconference meetings, the directions provided on the web site, reviewing the right products? (b) Are the opportunities for oral comment will or may send written comments to Ted peer reviews conducted appropriately? Smith at the following address: U.S. (c) Do the peer reviews make a usually be limited to no more than three EPA, Great Lakes National Program difference? (d) Does EPA peer review all minutes per speaker and no more than Office, 77 W. Jackson Boulevard, G–17J, the science it uses (e.g., data submitted fifteen minutes total. Deadlines for Chicago, Illinois, 60604. Comments may from parties outside the Agency)? (e) getting on the public speaker list for a also be sent to Mr. Smith via facsimile Does the RSAC have additional meeting are given above. Speakers at (312) 353–2018, or by e-mail comments/guidance for EPA? should bring at least 35 copies of their [email protected]. For Further Information—Any comments and presentation slides for FOR FURTHER INFORMATION CONTACT: Ted member of the public wishing further distribution to the reviewers and public Smith, EPA–GLNPO, G–17J, 77 W. information concerning this meeting at the meeting. Written Comments: Jackson Blvd., Chicago, IL 60604 (312– should contact Dr. John ‘‘Jack’’ R. Fowle Although the SAB accepts written 353–6571/[email protected]) III, Designated Federal Officer, Science comments until the date of the meeting Advisory Board (1400A), U.S. (unless otherwise stated), written Dated: May 23, 2001. Environmental Protection Agency, 1200 comments should be received in the Gary Gulezian, Pennsylvania Avenue, NW., SAB Staff Office at least one week prior Great Lakes National Program Director. Washington, DC 20460; telephone (202) to the meeting date so that the [FR Doc. 01–14081 Filed 6–04–01; 8:45 am] 564–4547; FAX (202) 501–0323; or via comments may be made available to the BILLING CODE 6560–50–P e-mail at [email protected]. For a copy committee for their consideration. of the draft meeting agenda, please Comments should be supplied to the contact Ms. Dorothy Clark, Management appropriate DFO at the address/contact ENVIRONMENTAL PROTECTION Assistant at (202) 564–4537 or by FAX AGENCY information noted above in the at (202) 501–0582 or via e-mail at following formats: one hard copy with [FRL–6991–6] [email protected]. original signature, and one electronic Materials that are the subject of this copy via e-mail (acceptable file format: review are available from Ms. Barbara Science Advisory Board; Notification WordPerfect, Word, or Rich Text files of Public Advisory Committee Meeting Klieforth of the Office of Research and Development (ORD) at (202) 564–6787 (in IBM-PC/Windows 95/98 format). Pursuant to the Federal Advisory or by e-mail at Those providing written comments and Committee Act, Public Law 92–463, [email protected]. who attend the meeting are also asked notice is hereby given that the Research Providing Oral or Written to bring 25 copies of their comments for Strategies Advisory Committee (RSAC) Comments—Members of the public who public distribution. of the U.S. EPA Science Advisory Board wish to make a brief oral presentation General Information—Additional (SAB), will meet on Tuesday and (10 minutes or less) to the Committee information concerning the Science Wednesday, June 26 and 27, 2001 at must contact Dr. Fowle in writing (by Advisory Board, its structure, function, EPA headquarters in room 6013 of the letter or by fax—see contact information and composition, may be found on the Ariel Rios Building, 1200 Pennsylvania above) no later than 12 noon Eastern SAB Website (http://www.epa.gov/sab) Avenue, NW., Washington, DC 20005. Time, Thursday, June 19, 2001 in order and in The FY2000 Annual Report of The meeting will begin by 8:30 a.m. and to be included on the Agenda. The the Staff Director which is available adjourn no later than 5 p.m. Eastern request should identify the name of the from the SAB Publications Staff at (202) Standard Time on both days. The individual who will make the 564–4533 or via fax at (202) 501–0256. meeting is open to the public, however, presentation, the organization (if any) Committee rosters, draft Agendas and seating is limited and available on a first they will represent, any requirements meeting calendars are also located on come basis. for audio visual equipment (e.g., our website. Purpose of the Meeting—The RSAC overhead projector, 35mm projector, plans to complete its advisory on EPA’s chalkboard, etc), and at least 35 copies Meeting Access—Individuals implementation of the peer review of an outline of the issues to be requiring special accommodation at this program. Two case studies have been addressed or the presentation itself. meeting, including wheelchair access to selected (i.e., the review of the Agency’s Written comments will be accepted the conference room, should contact Dr. Risk Characterization Handbook, and a until close of business June 27, 2001. Fowle at least five business days prior combined look at the reviews of the See below for more information on to the meeting so that appropriate methodology for deriving ambient water providing written or oral comments. arrangements can be made. quality criteria for the protection of Dated: May 24, 2001. human health and the methyl mercury Providing Oral or Written Comments at bioaccumulation factors report) to better SAB Meetings Donald G. Barnes, understand how the peer review It is the policy of the Science Staff Director, Science Advisory Board. guidance was followed, how the charge Advisory Board to accept written public [FR Doc. 01–14083 Filed 6–4–01; 8:45 am] questions helped focus the review, and comments of any length, and to BILLING CODE 6560–50–U
VerDate 11
FEDERAL DEPOSIT INSURANCE Federal Deposit Insurance Corporation. collection will not be disproportionate CORPORATION Robert E. Feldman, to the impact on the general public. Executive Secretary. FEMA has established customer service Agency Information Collection [FR Doc. 01–14051 Filed 6–4–01; 8:45 am] offices and has provided business Activities: Submission for OMB BILLING CODE 6714–01–P claims specialists to minimize the Review; Comment Request impact by assisting small business in completing the form. FEMA is AGENCY: Federal Deposit Insurance FEDERAL DEPOSIT INSURANCE requesting emergency processing Corporation (FDIC). CORPORATION approval of this collection, under the ACTION: Notice of information collection provisions of OMB regulation 5 CFR to be submitted to OMB for review and Notice of Agency Meeting; Sunshine 1320.13, for 180 days, effective on or approval under the Paperwork Act before July 5, 2001. A final OMB Reduction Act of 1995. clearance package will be submitted to Pursuant to the provisions of the OMB for a long-term approval before the ‘‘Government in the Sunshine Act’’ (5 SUMMARY: In accordance with end of the assigned expiration date. requirements of the Paperwork U.S.C. 552b), notice is hereby given that Supplementary Information: The Reduction Act of 1995 (44 U.S.C. 3501 at 10:00 a.m. on Tuesday, June 5, 2001, Cerro Grande fire destroyed and et seq.), the FDIC hereby gives notice the Federal Deposit Insurance damaged parts of Los Alamos and that it plans to submit to the Office of Corporation’s Board of Directors will surrounding communities in May 2000. Management and Budget (OMB) a meet in closed session, pursuant to The Federal Government took request for OMB review and approval of sections 552b(c)(2), (c)(6), (c)(8), responsibility for the Cerro Grande fire the information collection system (c)(9)(A)(ii), and (c)(9)(B) of Title 5, and enacted legislation known as the described below. United States Code, to consider matters Cerro Grande Fire Assistance Act, Type of Review: Renewal of a relating to the Corporation’s corporate Public Law 106-246 to compensate currently approved collection. and supervisory activities. victims of the fire. Section 104(f) of the Title: Transfer Agent Registration and The meeting will be held in the Board Act requires the Director, FEMA Amendment Form. Room on the sixth floor of the FDIC promulgate regulations for processing Form Number: TA–1. Building located at 550—17th Street, and paying claims under the Act. OMB Number: 3064–0026. NW., Washington, DC. Subsections 104(b), (c), and (d) of the Annual Burden: Estimated annual Requests for further information Act require that FEMA establish a number of respondents: 29 (11—initial concerning the meeting may be directed process to receive, investigate, evaluate, registrations; 18—amendments); to Mr. Robert E. Feldman, Executive determine and settle claims against the Estimated time per response 1.25 hours Secretary of the Corporation, at (202) United States by victims of the Cerro (initial registration), .17 hours 898–6757. Grande fire. FEMA’s regulations to (amendment); Total annual burden Dated: June 1, 2001. implement the Act is published at 44 hours 17 hours. Federal Deposit Insurance Corporation. CFR part 295, Disaster Assistance; Cerro Expiration Date of OMB Clearance: Robert E. Feldman, Grande Fire Assistance; Final Rule July 31, 2001. Executive Secretary. (Federal Register Volume 66, Number OMB Reviewer: Alexander T. Hunt, [FR Doc. 01–14194 Filed 6–1–01; 11:43 am] 55, dated Wednesday, March 21, 2001, (202) 395–7860, Office of Management pages 15948–15966). The Small BILLING CODE 6714—01—M and Budget, Office of Information and Business Claim Notice and Proof of Loss Regulatory Affairs, Washington, D.C. form is the only form that will be used 20503. FEDERAL EMERGENCY for small business-loss claims to carry FDIC Contact: Tamara R. Manly, (202) MANAGEMENT AGENCY out the purposes of the Act. 898–7453, Office of the Executive Collection of Information Secretary, Room F–4058, Federal Agency Information Collection Deposit Insurance Corporation, 550 17th Activities: Proposed Collection; Title: Small Business Claim Notice Street N.W., Washington, D.C. 20429. Comment Request and Proof of Loss. Comments: Comments on this Type of Information Collection: New collection of information are welcome ACTION: Notice and request for collection. and should be submitted on or before comments. Abstract: The form requests basic July 5, 2001 to both the OMB reviewer information identifying claimant(s) and and the FDIC contact listed above. SUMMARY: The Federal Emergency describing their business loses in order Management Agency (FEMA), as part of to ascertain a claimant’s eligibility for ADDRESSES: Information about this its continuing efforts to reduce Cerro Grande fire claims assistance. The submission, including copies of the paperwork and respondent burden, information is intended to be the only proposed collection of information, may invites the general public and other step for a business claimant who seeks be obtained by calling or writing the Federal agencies to take this compensation of $10,000 or less under FDIC contact listed above. opportunity to comment on proposed the Cerro Grande Fire Assistance Act. It SUPPLEMENTARY INFORMATION: Section revised information collections. In will be used by FEMA and other Federal 17A(c)(1) of the Securities Exchange Act accordance with the Paperwork agencies to determine whether a of 1934 (15 U.S.C. 78q) requires a bank Reduction Act of 1995 (44 U.S.C. claimant has made the election of to register with the appropriate Federal 3506(c)(2)(A)), this notice seeks remedies—the CGFAA, the Federal Tort bank regulator prior to performing any comments concerning FEMA’s use a Claims Act, or a civil action authorized transfer agent function. Under FDIC new form title Small Business Claim by any other law, and to track claims regulation 12 CFR 341, an insured Notice and Proof of Loss (Cerro Grande from the date received until the date of nonmember bank uses Form TA–1 to Fire Assistance Act. The form will final payment. It will also be used to register with the FDIC. impact small businesses and other small determine eligibility for compensation, Dated: May 30, 2001. entities; however, the impact of this evaluate the claim, and make payment.
VerDate 11
FEMA and contractors will be able to mail address: FEDERAL EMERGENCY cross check against insurance muriel.anderson&fema.gov. MANAGEMENT AGENCY subrogation claims and other payments ADDRESSES: Interested persons should [FEMA–1372–DR] and settlements to prevent duplication submit written comments to the of benefits. The claimant’s statements attention of the OMB Desk Officer for Puerto Rico; Amendment No. 2 to are made under penalty or perjury and FEMA, Office of Information and Notice of a Major Disaster Declaration subject claimants to the provisions of 18 Regulatory Affairs, Office of U.S.C. section 1001 relating to false AGENCY: Federal Emergency Management and Budget, 725 17th statements. Management Agency (FEMA). Street, NW., Room 10102, Washington, Affected Public: Business or other for- ACTION: DC 20503. Notice. profit and not-for-profit institutions. Number of Respondents: 1,250 FOR FURTHER INFORMATION CONTACT: SUMMARY: This notice amends the notice annually. Contact Ms. Anderson for copies of the of a major disaster for the Estimated Hour Burden Per Response: proposed collection of information. Commonwealth of Puerto Rico (FEMA– 30 minutes. Dated: May 30, 2001. 1372–DR), dated May 16, 2001, and Estimated Total Annual Burden Reginald Trujillo, related determinations. Hours. 625 hours. Director, Program Services Division, EFFECTIVE DATE: May 11, 2001. Estimated Annual Cost To Operations Support Directorate. FOR FURTHER INFORMATION CONTACT: Respondents. We have estimated that [FR Doc. 01–14039 Filed 6–04–01; 8:45 am] Madge Dale, Response and Recovery the annualized cost to respondents for BILLING CODE 6748–01–M Directorate, Federal Emergency the hour burdens will be approximately Management Agency, Washington, DC $100 per respondent, on average. FEMA 20472, (202) 646–3772. has offset this burden for most claimants FEDERAL EMERGENCY SUPPLEMENTARY INFORMATION: Notice is by allowing claimants who successfully MANAGEMENT AGENCY hereby given that the incident period for complete the process to an award to this disaster is closed effective May 11, receive an additional 5% of their [FEMA–1370–DR] 2001. compensation, with a minimum of $100 (The following Catalog of Federal Domestic to a maximum or $500 on this type of Minnesota; Amendment No. 2 to Notice small business claim, for claims Assistance Numbers (CFDA) are to be used of a Major Disaster Declaration for reporting and drawing funds: 83.537, compensation expenses. Claimants who Community Disaster Loans; 83.538, Cora do not complete the claims process or AGENCY: Federal Emergency Brown Fund Program; 83.539, Crisis who do not receive any compensation Management Agency (FEMA). Counseling; 83.540, Disaster Legal Services will not receive the claims preparation ACTION: Notice. Program; 83.541, Disaster Unemployment fee. Assistance (DUA); 83.542, Fire Suppression COMMENTS: Written comments are SUMMARY: This notice amends the notice Assistance; 83.543, Individual and Family solicited to (a) evalute whether the of a major disaster for the State of South Grant (IFG) Program; 83.544, Public Assistance Grants; 83.545, Disaster Housing proposed data collection is necessary for Minnesota (FEMA–1370–DR), dated Program; 83.548, Hazard Mitigation Grant the proper performance of the agency, May 17, 2001, and related Program) including whether the information shall determinations. have practical utility; (b) evaluate the Lacy E. Suiter, EFFECTIVE DATE: accuracy of the agency’s estimate of the May 29, 2001. Executive Associate Director, Response and burden of the proposed collection of FOR FURTHER INFORMATION CONTACT: Recovery Directorate. information, including the validity of Madge Dale, Response and Recovery [FR Doc. 01–14035 Filed 6–4–01; 8:45 am] the methodology and assumptions used; Directorate, Federal Emergency BILLING CODE 6718–02–P (c) enhance the quality, utility, and Management Agency, Washington, DC clarity of the information to be 20472, (202) 646–3772. collected; and (d) minimize the burden SUPPLEMENTARY INFORMATION: Notice is FEDERAL EMERGENCY of the collection of information on those hereby given that the incident period for MANAGEMENT AGENCY who are to respond, including through this disaster is closed effective May 29, [FEMA–1374–DR] the use of appropriate automated, 2001. electronic, mechanical, or other Colorado; Major Disaster and Related (The following Catalog of Federal Domestic technological collection techniques or Assistance Numbers (CFDA) are to be used Determinations other forms of information technology, for reporting and drawing funds: 83.537, e.g., permitting electronic submission of AGENCY: Federal Emergency Community Disaster Loans; 83.538, Cora Management Agency (FEMA). responses. Send written comments to Brown Fund Program; 83.539, Crisis OMB within [insert date 30 days from Counseling; 83.540, Disaster Legal Services ACTION: Notice. the date of publication] of this notice. Program; 83.541, Disaster Unemployment FEMA will continue to receive Assistance (DUA); 83.542, Fire Suppression SUMMARY: This is a notice of the comments for an additional 30 days. Assistance; 83.543, Individual and Family Presidential declaration of a major Such comments should be submitted in Grant (IFG) Program; 83.544, Public disaster for the State of Colorado Assistance Grants; 83.545, Disaster Housing writing to Muriel B. Anderson, Chief, (FEMA–1374–DR), dated May 17, 2001, Program; 83.548, Hazard Mitigation Grant and related determinations. Records Management Branch, Program Program) Services Division, Operations Support EFFECTIVE DATE: May 17, 2001. Directorate, Federal Emergency Lacy E. Suiter, FOR FURTHER INFORMATION CONTACT: Management Agency, 500 C Street, SW., Executive Associate Director, Response and Madge Dale, Response and Recovery Room 316, Washington, DC 20472. Recovery Directorate. Directorate, Federal Emergency Telephone number (202) 646–2625, [FR Doc. 01–14034 Filed 6–4–01; 8:45 am] Management Agency, Washington, DC FAX number (202) 646–3347, and e- BILLING CODE 6718–02–P 20472, (202) 646–3772.
VerDate 11
SUPPLEMENTARY INFORMATION: Notice is Grant (IFG) Program; 83.544, Public FEDERAL EMERGENCY hereby given that, in a letter dated May Assistance Grants; 83.545, Disaster Housing MANAGEMENT AGENCY 17, 2001, the President declared a major Program; 83.548, Hazard Mitigation Grant [FEMA–1367–DR] disaster under the authority of the Program) Robert T. Stafford Disaster Relief and Joe M. Allbaugh, Iowa; Amendment No. 4 to Notice of a Emergency Assistance Act, 42 U.S.C. Major Disaster Declaration 5121, as follows: Director. [FR Doc. 01–14036 Filed 6–4–01; 8:45 am] I have determined that the damage in AGENCY: Federal Emergency certain areas of the State of Colorado, BILLING CODE 6718–02–P Management Agency (FEMA). resulting from severe winter storms on April ACTION: Notice. 11–22, 2001, is of sufficient severity and magnitude to warrant a major disaster FEDERAL EMERGENCY SUMMARY: This notice amends the notice declaration under the Robert T. Stafford MANAGEMENT AGENCY of a major disaster declaration for the Disaster Relief and Emergency Assistance State of Iowa (FEMA–1367–DR), dated Act, 42 U.S.C. 5121 (Stafford Act). I, [FEMA–1367–DR] May 2, 2001, and related therefore, declare that such a major disaster determinations. exists in the State of Colorado. In order to provide Federal assistance, you Iowa; Amendment No. 3 to Notice of a EFFECTIVE DATE: May 24, 2001. Major Disaster Declaration are hereby authorized to allocate from funds FOR FURTHER INFORMATION CONTACT: available for these purposes, such amounts as Madge Dale, Response and Recovery you find necessary for Federal disaster AGENCY: Federal Emergency Directorate, Federal Emergency assistance and administrative expenses. Management Agency (FEMA). You are authorized to provide Public Management Agency, Washington, DC Assistance in the designated areas, Hazard ACTION: Notice. 20472, (202) 646–3772. Mitigation throughout the State, and any SUPPLEMENTARY INFORMATION: The notice other forms of assistance under the Stafford SUMMARY: This notice amends the notice of a major disaster declaration for the Act you may deem appropriate. Consistent of a major disaster declaration for the State of Iowa is hereby amended to with the requirement that Federal assistance be supplemental, any Federal funds provided State of Iowa, (FEMA–1367–DR), dated include the following areas among those under the Stafford Act for Public Assistance May 2, 2001, and related areas determined to have been adversely or Hazard Mitigation will be limited to 75 determinations. affected by the catastrophe declared a percent of the total eligible costs. major disaster by the President in his Further, you are authorized to make EFFECTIVE DATE: May 21, 2001. declaration of May 2, 2001: changes to this declaration to the extent Clayton and Jackson Counties for allowable under the Stafford Act. FOR FURTHER INFORMATION CONTACT: Madge Dale, Response and Recovery Categories C through G under the Public The time period prescribed for the Directorate, Federal Emergency Assistance program (already designated for implementation of section 310(a), Individual Assistance and Categories A and Management Agency, Washington, DC Priority to Certain Applications for B under the Public Assistance program). 20472, (202) 646–3772. Public Facility and Public Housing Allamakee, Clinton, and Dubuque Counties Assistance, 42 U.S.C. 5153, shall be for SUPPLEMENTARY INFORMATION: The notice for Public Assistance (already designated for Individual Assistance). a period not to exceed six months after of a major disaster declaration for the the date of this declaration. State of Iowa is hereby amended to (The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used Notice is hereby given that pursuant include the following areas among those to the authority vested in the Director of for reporting and drawing funds: 83.537, areas determined to have been adversely Community Disaster Loans; 83.538, Cora the Federal Emergency Management affected by the catastrophe declared a Brown Fund Program; 83.539, Crisis Agency under Executive Order 12148, I major disaster by the President in his Counseling; 83.540, Disaster Legal Services hereby appoint Steven R. Emory of the declaration of May 2, 2001: Program; 83.541, Disaster Unemployment Federal Emergency Management Agency Assistance (DUA); 83.542, Fire Suppression to act as the Federal Coordinating Henry County for Individual and Public Assistance; 83.543, Individual and Family Officer for this declared disaster. Assistance. Grant (IFG) Program; 83.544, Public I do hereby determine the following Sac County for Individual Assistance Assistance Grants; 83.545, Disaster Housing areas of the State of Colorado to have (already designated for Public Assistance). Program; 83.548, Hazard Mitigation Grant been affected adversely by this declared (The following Catalog of Federal Domestic Program) major disaster: Assistance Numbers (CFDA) are to be used Robert J. Adamcik, Baca, Bent, Cheyenne, Crowley, Kiowa, for reporting and drawing funds: 83.537, Deputy Associate Director, Response and Lincoln, Logan, Morgan, Phillips, Prowers, Community Disaster Loans; 83.538, Cora Recovery Directorate. Sedgwick, Washington, Weld and Yuma Brown Fund Program; 83.539, Crisis [FR Doc. 01–14032 Filed 6–4–01; 8:45 am] Counseling; 83.540, Disaster Legal Services Counties. BILLING CODE 6718–02–P All counties within the State of Program; 83.541, Disaster Unemployment Colorado are eligible to apply for Assistance (DUA); 83.542, Fire Suppression assistance under the Hazard Mitigation Assistance; 83.543, Individual and Family FEDERAL EMERGENCY Grant (IFG) Program; 83.544, Public Grant Program. MANAGEMENT AGENCY Assistance Grants; 83.545, Disaster Housing (The following Catalog of Federal Domestic Program; 83.548, Hazard Mitigation Grant [FEMA–1370–DR] Assistance Numbers (CFDA) are to be used Program.) for reporting and drawing funds: 83.537, Minnesota; Amendment No. 1 to Notice Community Disaster Loans; 83.538, Cora Lacy E. Suiter, of a Major Disaster Declaration Brown Fund Program; 83.539, Crisis Executive Associate Director, Response and Counseling; 83.540, Disaster Legal Services AGENCY: Federal Emergency Recovery Directorate. Program; 83.541, Disaster Unemployment Management Agency (FEMA). [FR Doc. 01–14031 Filed 6–4–01; 8:45 am] Assistance (DUA); 83.542, Fire Suppression ACTION: Notice. Assistance; 83.543, Individual and Family BILLING CODE 6718–02–P
VerDate 11
SUMMARY: This notice amends the notice (FEMA–1375–DR), dated May 17, 2001, Program; 83.541, Disaster Unemployment of a major disaster declaration for the and related determinations. Assistance (DUA); 83.542, Fire Suppression State of Minnesota, (FEMA–1370–DR), EFFECTIVE DATE: May 17, 2001. Assistance; 83.543, Individual and Family Grant (IFG) Program; 83.544, Public dated May 16, 2001, and related FOR FURTHER INFORMATION CONTACT: determinations. Assistance Grants; 83.545, Disaster Housing Madge Dale, Response and Recovery Program; 83.548, Hazard Mitigation Grant EFFECTIVE DATE: May 29, 2001. Directorate, Federal Emergency Program) FOR FURTHER INFORMATION CONTACT: Management Agency, Washington, DC Madge Dale, Response and Recovery 20472, (202) 646–3772. Joe M. Allbaugh, Directorate, Federal Emergency SUPPLEMENTARY INFORMATION: Notice is Director. Management Agency, Washington, DC hereby given that, in a letter dated May [FR Doc. 01–14037 Filed 6–4–01; 8:45 am] 20472, (202) 646–3772. 17, 2001, the President declared a major BILLING CODE 6718–02–P SUPPLEMENTARY INFORMATION: The notice disaster under the authority of the of a major disaster declaration for the Robert T. Stafford Disaster Relief and State of Minnesota is hereby amended to Emergency Assistance Act, 42 U.S.C. FEDERAL EMERGENCY include the following areas among those 5121, as follows: MANAGEMENT AGENCY areas determined to have been adversely I have determined that the damage in affected by the catastrophe declared a certain areas of the State of South Dakota, [FEMA–1375–DR] major disaster by the President in his resulting from severe winter storms, flooding, declaration of May 16, 2001: and ice jams on March 1, 2001, through April South Dakota; Amendment No. 1 to 30, 2001, is of sufficient severity and Notice of a Major Disaster Declaration Mower, Olmsted, and Rice Counties for magnitude to warrant a major disaster Individual Assistance. declaration under the Robert T. Stafford Aitkin, Carlton, Kanabec, Mille Lacs, Otter AGENCY: Federal Emergency Disaster Relief and Emergency Assistance Management Agency (FEMA). Tail, Pine, Sibley, Stearns, and Wright Act, 42 USC. 5121 (Stafford Act). I, therefore, Counties for Individual Assistance and declare that such a major disaster exists in ACTION: Notice. Public Assistance. the State of South Dakota. Big Stone, Clay, Dakota, Lac qui Parle, In order to provide Federal assistance, you SUMMARY: This notice amends the notice Morrison, Norman, Polk, Ramsey, Redwood, are hereby authorized to allocate from funds Renville, Swift, Todd, Traverse and Wilkin available for these purposes, such amounts as of a major disaster declaration for the Counties for Individual Assistance (already you find necessary for Federal disaster State of South Dakota (FEMA–1375– designated for Public Assistance). assistance and administrative expenses. DR), dated May 17, 2001, and related Becker, Brown, Douglas, Kittson, Lake, Le You are authorized to provide Public determinations. Sueur, Marshall, Nicollet, Pope and Scott Assistance in the designated areas, Hazard Counties for Public Assistance. Mitigation throughout the State, and any EFFECTIVE DATE: May 29, 2001. Benton County for Public Assistance other forms of assistance under the Stafford FOR FURTHER INFORMATION CONTACT: (already designated for Individual Act you may deem appropriate. Consistent Assistance). with the requirement that Federal assistance Madge Dale, Response and Recovery (The following Catalog of Federal Domestic be supplemental, any Federal funds provided Directorate, Federal Emergency Assistance Numbers (CFDA) are to be used under the Stafford Act for Public Assistance Management Agency, Washington, DC for reporting and drawing funds: 83.537, or Hazard Mitigation will be limited to 75 20472, (202) 646–3772. Community Disaster Loans; 83.538, Cora percent of the total eligible costs. Brown Fund Program; 83.539, Crisis Further, you are authorized to make SUPPLEMENTARY INFORMATION: The notice Counseling; 83.540, Disaster Legal Services changes to this declaration to the extent of a major disaster declaration for the Program; 83.541, Disaster Unemployment allowable under the Stafford Act. State of South Dakota is hereby Assistance (DUA); 83.542, Fire Suppression amended to include the following areas Notice is hereby given that pursuant Assistance; 83.543, Individual and Family among those areas determined to have to the authority vested in the Director of Grant (IFG) Program; 83.544, Public been adversely affected by the the Federal Emergency Management Assistance Grants; 83.545, Disaster Housing catastrophe declared a major disaster by Agency under Executive Order 12148, I Program; 83.548, Hazard Mitigation Grant the President in his declaration of May Program) hereby appoint Gracia Szczech of the 17, 2001: Federal Emergency Management Agency Lacy E. Suiter, to act as the Federal Coordinating Brown, Day, Hanson, Marshall, Moody and Executive Associate Director, Response and Officer for this declared disaster. Turner Counties for Public Assistance. Recovery Directorate. I do hereby determine the following (The following Catalog of Federal Domestic [FR Doc. 01–14033 Filed 6–4–01; 8:45 am] areas of the State of South Dakota to Assistance Numbers (CFDA) are to be used BILLING CODE 6718–02–P have been affected adversely by this for reporting and drawing funds: 83.537, declared major disaster: Community Disaster Loans; 83.538, Cora Brown Fund Program; 83.539, Crisis Beadle, Brookings, Clark, Codington, Grant, FEDERAL EMERGENCY Counseling; 83.540, Disaster Legal Services Hamlin, Kingsbury, Mellette, Roberts, MANAGEMENT AGENCY Program; 83.541, Disaster Unemployment Sanborn, and Spinks Counties for Public [FEMA–1375–DR] Assistance. Assistance (DUA); 83.542, Fire Suppression Assistance; 83.543, Individual and Family All counties within the State of South South Dakota; Major Disaster and Grant (IFG) Program; 83.544, Public Dakota are eligible to apply for Related Determinations Assistance Grants; 83.545, Disaster Housing assistance under the Hazard Mitigation Program; 83.548, Hazard Mitigation Grant AGENCY: Federal Emergency Grant Program. Program) Management Agency (FEMA). (The following Catalog of Federal Domestic Lacy E. Suiter, ACTION: Notice. Assistance Numbers (CFDA) are to be used Executive Associate Director, Response and for reporting and drawing funds: 83.537, Recovery Directorate. SUMMARY: This is a notice of the Community Disaster Loans; 83.538, Cora Presidential declaration of a major Brown Fund Program; 83.539, Crisis [FR Doc. 01–14038 Filed 6–4–01; 8:45 am] disaster for the State of South Dakota Counseling; 83.540, Disaster Legal Services BILLING CODE 6718–02–P
VerDate 11
FEDERAL RESERVE SYSTEM By order of the Federal Open Market transaction size of book-entry securities Committee, May 23, 2001. transfers on Fedwire. Federal Open Market Committee; EFFECTIVE DATE: Donald L. Kohn, Comments must be Domestic Policy Directive of March 20, received by August 6, 2001. Secretary, Federal Open Market Committee. 2001. ADDRESSES: Comments, which should [FR Doc. 01–14055 Filed 6–4–01; 8:45 am] refer to Docket No. R–1110, may be In accordance with § 271.5 of its rules BILLING CODE 6210–01–S regarding availability of information (12 mailed to Ms. Jennifer J. Johnson, CFR part 271), there is set forth below Secretary, Board of Governors of the Federal Reserve System, 20th and C the domestic policy directive issued by FEDERAL RESERVE SYSTEM Streets, NW, Washington, DC 20551 or the Federal Open Market Committee at mailed electronically to its meeting held on March 20, 2001.1 Sunshine Act Meeting [email protected]. The Federal Open Market Committee AGENCY HOLDING THE MEETING: Board of Comments addressed to Ms. Johnson seeks monetary and financial conditions Governors of the Federal Reserve also may be delivered to the Board’s that will foster price stability and System. mailroom between 8:45 a.m. and 5:15 promote sustainable growth in output. TIME AND DATE: 10 a.m., Monday, June p.m. and to the security control room To further its long-run objectives, the 11, 2001. outside of those hours. Both the Committee in the immediate future mailroom and the security control room PLACE: Marriner S. Eccles Federal seeks conditions in reserve markets are accessible from the courtyard consistent with reducing the federal Reserve Board Building, 20th and C Streets, NW., Washington, DC 20551. entrance on 20th Street between funds rate to an average of around 5 Constitution Avenue and C Street, NW. percent. STATUS: Closed. Comments may be inspected in Room By order of the Federal Open Market MATTERS TO BE CONSIDERED: MP–500 between 9:00 a.m. and 5:00 Committee, May 23, 2001. 1. Personnel actions (appointments, p.m. weekdays, pursuant to § 261.12, Donald L. Kohn, promotions, assignments, except as provided in § 261.14, of the reassignments, and salary actions) Board’s Rules Regarding Availability of Secretary, Federal Open Market Committee. involving individual Federal Reserve Information, 12 CFR 261.12 and 261.14. [FR Doc. 01–14054 Filed 6–4–01; 8:45 am] System employees. FOR FURTHER INFORMATION CONTACT: Paul BILLING CODE 6210–01–S 2. Any items carried forward from a Bettge, Associate Director (202/452– previously announced meeting. 3174), Stacy Coleman, Manager (202/ FEDERAL RESERVE SYSTEM CONTACT PERSON FOR MORE INFORMATION: 452–2934), or Doug Conover, Financial Michelle A. Smith, Assistant to the Services Analyst (202/452–2887), Federal Open Market Committee; Board; 202–452–3204. Division of Reserve Bank Operations Domestic Policy Directive of April 18, SUPPLEMENTARY INFORMATION: You may and Payment Systems. 2001. call 202–452–3206 beginning at SUPPLEMENTARY INFORMATION: This is approximately 5 p.m. two business days one of five notices regarding payments In accordance with § 271.5 of its rules before the meeting for a recorded system risk that the Board is issuing for regarding availability of information (12 announcement of bank and bank public comment today. Two near-term CFR part 271), there is set forth below holding company applications proposals concern the net debit cap the domestic policy directive issued by scheduled for the meeting; or you may calculation for U.S. branches and the Federal Open Market Committee at contact the Board’s Web site at http:// agencies of foreign banks (Docket No. R– its telephone conference meeting held 1108) and modifications to the 1 www.federalreserve.gov for an on April 18, 2001. electronic announcement that not only procedures for posting electronic check The Federal Open Market Committee lists applications, but also indicates presentments to depository institutions’ seeks monetary and financial conditions procedural and other information about Federal Reserve accounts for purposes that will foster price stability and the meeting. of measuring daylight overdrafts (Docket promote sustainable growth in output. No. R–1109). In addition, the Board is To further its long-run objectives, the Dated: June 1, 2001. requesting comment on the benefits and Committee in the immediate future Robert deV. Frierson, drawbacks to several potential longer- seeks conditions in reserve markets Associate Secretary of the Board. term changes to the Board’s payments consistent with reducing the federal [FR Doc. 01–14226 Filed 6–1–01; 12:17 pm] system risk (PSR) policy, including funds rate to an average of around 4-1/ BILLING CODE 6210–01–P lowering self-assessed net debit caps, 2 percent. eliminating the two-week average caps, implementing a two-tiered pricing 1 Copies of the Minutes of the Federal Open FEDERAL RESERVE SYSTEM system for collateralized and Market Committee meeting of March 20, 2001, uncollateralized daylight overdrafts, and which include the domestic policy directive issued [Docket No. R–1110] rejecting payments with settlement-day at that meeting, are available upon request to the Board of Governors of the Federal Reserve System, Policy Statement on Payments System finality that would cause an institution Washington, D.C. 20551. The minutes are published Risk; $50 Million Fedwire Securities to exceed its daylight overdraft capacity in the Federal Reserve Bulletin and in the Board’s Transfer Limit level (Docket No. R–1111). The Board is annual report. also issuing today an interim policy 1 Copies of the Minutes of the Federal Open AGENCY: Market Committee telephone conference meeting of Board of Governors of the statement and requesting comment on April 18, 2001, which include the domestic policy Federal Reserve System. the broader use of collateral for daylight directive issued at that telephone conference ACTION: Request for comment on policy. overdraft purposes (Docket No. R–1107). meeting, are available upon request to the Board of Furthermore, to reduce burden Governors of the Federal Reserve System, SUMMARY: Washington, D.C. 20551. The minutes are published The Board is requesting associated with the PSR policy, the in the Federal Reserve Bulletin and in the Board’s comment on the desirability of retaining Board recently rescinded the annual report. the current $50 million limit on the interaffiliate transfer (Docket No. R–
VerDate 11
1106) and third-party access policies could deliver them. Partial deliveries, practices. Under the PSA good delivery (Docket No. R–1100). those for less than the full amount of the guidelines, dealers no longer needed to The Board requests that in filing trade obligation, were typically returned stockpile securities. As soon as an comments on these proposals, to the sending institution. The inventory of $50 million in a particular commenters prepare separate letters for incentives to minimize fail-to-deliver security was obtained, dealers could each proposal, identifying the costs and maximize fail-to-receive immediately deliver that $50 million to appropriate docket number on each. benefits strongly influenced dealers’ a different counterparty, receiving funds This will facilitate the Board’s analysis decisions regarding their settlement of to cover any overdraft associated with of all comments received. government securities trades.3 Because the original receipt of that security. In fail costs are proportional to the size of effect, the transfer limit and the PSA’s I. Background unfulfilled obligations, dealers typically modified delivery guidelines allowed Beginning in 1985, the Board adopted organized their deliveries to fulfill their dealers to accept partial deliveries and and subsequently modified a policy to largest obligations first. In addition, in effectively reduced the maximum size of reduce the risks that payment systems order to maximize fail benefits, a dealer any required position to $50 million. present to the Federal Reserve Banks, to selling and buying the same type of Nonetheless, without fees on daylight the banking system, and to other sectors security could strategically delay its overdrafts, dealers could continue to of the economy. An integral component deliveries of that security until the end stockpile securities without incurring of the PSR policy was to control of the day, hoping that counterparties any explicit costs. Most dealers, depository institutions’ use of intraday trying to deliver the same securities therefore, did not change their behavior Federal Reserve credit, commonly would be unable to settle their significantly, and the limit had very referred to as ‘‘daylight credit’’ or obligations before the close of the little impact on the clearing banks’ use ‘‘daylight overdrafts.’’ The Board’s securities transfer system.4 These of daylight credit. intention was to address the Federal incentives often led dealers to stockpile When the Board began charging a fee Reserve’s risk as well as risks on various large amounts of securities until very for daylight overdrafts in 1994, most types of private-sector networks, near the end of the day. clearing banks decided to pass on these primarily large-dollar payments To stockpile large amounts of charges to their government securities systems. securities until very near the end of the dealers. Because government securities As part of modifications to the PSR day in a delivery-versus-payment dealers generally relied heavily on policy in 1988, the Board imposed a $50 environment, dealers often used intraday credit to conduct their million limit on the par value of daylight credit at their clearing banks. transactions, the fee provided a strong individual book-entry securities The clearing banks, in turn, had to hold incentive for most major dealers to send transfers on the Fedwire system (52 FR positive balances in their Federal securities earlier in the day while the 29255, August 6, 1987).1 The purpose of Reserve accounts or use Federal Reserve limit and the PSA delivery guidelines the $50 million limit was to encourage daylight credit. As a dealer accumulates allowed dealers to send and required government securities dealers to split securities and holds them during the their counterparties to accept partial large trades into multiple partial day to deliver on its largest obligations deliveries in $50 million increments. As deliveries and, thereby, reduce first, its overdraft becomes larger and dealers began to send securities earlier subsequent book-entry securities-related lasts longer. In the absence of charges in the day, Federal Reserve daylight daylight overdrafts. The Board for daylight credit, however, the dealers’ overdrafts decreased substantially.5 anticipated that government securities had no incentive to economize on II. Effectiveness of the $50 Million Limit dealers’ practice of building securities daylight credit but had a strong inventories to meet large trade incentive to avoid the substantial costs As part of a broad review of the obligations would diminish and book- associated with failing to deliver on Federal Reserve’s daylight credit entry securities transfer volume would large obligations. In addition, because policies, the Board considered the be distributed more evenly throughout securities deliveries were often delayed effectiveness of the $50 million limit the day. The Board recognized, until near the close of the Fedwire book- policy, with a focus on whether the however, that the effectiveness of the entry security transfer system, the limit imposes an undue regulatory $50 million limit depended on dealers Federal Reserve frequently extended the burden. To understand better the accepting multiple deliveries for the system’s operating hours. industry’s view of the limit, Federal completion of a single trade obligation. Although the Board intended the $50 Reserve staff met with representatives of As a result, Federal Reserve staff worked million limit to promote the acceptance primary dealers, clearing banks, and with the Public Securities Association of partial deliveries, dealers had limited industry utilities. Federal Reserve staff (PSA) to develop delivery guidelines incentive to change their delivery 5 Because the limit forced receiving dealers to that incorporated necessary changes accept multiple deliveries for the settlement of one 3 related to the $50 million limit.2 Fail costs are the costs dealers incur if they fail trade, the receiver could not force the sender to Prior to the implementation of the $50 to deliver securities to a counterparty on the agreed stockpile securities. For example, if a dealer had an million limit, the PSA’s delivery settlement day. These costs can be significant obligation to deliver $100 million of a certain because a dealer that fails to deliver securities may security, expected to receive $90 million of the guidelines required trade obligations to have to obtain overnight financing as well as forego same issue, and already held $10 million of that be delivered in full. As a result, dealers any interest that the security accrues between the security in its account, delivery of its obligation often had to accumulate securities in the agreed and actual settlement days. The purchasing would be dependent upon first receiving the full amount of the trade before they counterparty that does not receive its securities on expected $90 million, if a limit were not present. the agreed settlement day benefits because that With the limit in place, the dealer could party typically receives the accrued interest on immediately forward $50 million of that security as 1 The $50 million limit does not apply to original those securities, yet postpones financing the soon as it was received, rather than waiting for the issue deliveries of book-entry securities from a securities until they are actually delivered. entire $90 million. To the extent that a dealer buys Reserve Bank to a depository institution or 4 Because many government securities dealers securities from many counterparties and that transactions sent to or by a Reserve Bank in its take long and short positions in the same security deliveries from these counterparties are dependent capacity as fiscal agent for the United States or among a relatively small group of counterparties, a on receipt of their own purchases, the limit allows international organizations. dealer could be expected to deliver a security to one deliveries to occur earlier than otherwise possible, 2 The PSA is now known as the Bond Market counterparty and receive the same security from reducing the liquidity required to settle the total Association. another counterparty. amount of transactions.
VerDate 11
learned that many government banks, net of any benefits from reduced posting times for ECP transactions often securities dealers and their clearing overdrafts? create a disincentive for depository banks support retaining the $50 million 3. Does the limit promote specific institutions to use Federal Reserve limit. These representatives believe that benefits in the government securities electronic check presentment services, removing the limit could increase market other than reduced overdrafts? and the Board proposes to remove barriers that may discourage their use. position building and securities-related IV. Competitive Impact Analysis overdrafts despite the existence of EFFECTIVE DATE: Comments must be daylight overdraft fees. In addition, the Under its competitive equity policy, received by August 6, 2001. representatives stated that removing the the Board assesses the competitive ADDRESSES: Comments, which should limit would likely require costly system impact of changes that have a refer to Docket No. R–1109, may be changes throughout the industry. Given substantial effect of payments system mailed to Ms. Jennifer J. Johnson, 6 that the industry bears a significant participants. The Board believes that Secretary, Board of Governors of the portion of the costs and benefits of the retention of the $50 million securities Federal Reserve System, 20th and C limit, both in terms of transaction fees transfer limit will have no adverse effect Streets, NW, Washington, DC 20551 or and reduced overdraft fees, the support on the ability of other service providers mailed electronically to of the limit voiced by industry to compete effectively with the Federal [email protected]. representatives reflects their perception Reserve Banks in providing similar Comments addressed to Ms. Johnson that the limit has a positive net effect on transfer services. also may be delivered to the Board’s the government securities settlement V. Paperwork Reduction Act mailroom between 8:45 a.m. and 5:15 system. p.m. and to the security control room Industry representatives indicated In accordance with the Paperwork outside of those hours. Both the that removal of the limit would likely Reduction Act of 1995 (44 U.S.C. ch. mailroom and the security control room lead the industry to demand that 3506; 5 CFR 1320 appendix A.1), the are accessible from the courtyard securities trades be settled in full and to Board has reviewed the request for entrance on 20th Street between reject partial deliveries. While current comments under the authority delegated Constitution Avenue and C Street, NW. delivery guidelines encourage to the Board by the Office of Comments may be inspected in Room acceptance of partial deliveries, Management and Budget. The collection MP–500 between 9:00 a.m. and 5:00 industry representatives expressed of information pursuant to the p.m. weekdays, pursuant to § 261.12, concern that there would be no Paperwork Reduction Act contained in except as provided in § 261.14, of the technical mechanism to enforce these the policy statement will not unduly Board’s Rules Regarding Availability of guidelines. The Board believes the $50 burden depository institutions. Information, 12 CFR 261.12 and 261.14. million limit on book-entry securities By order of the Board of Governors of the FOR FURTHER INFORMATION CONTACT: Paul transfers in combination with daylight Federal Reserve System, May 30, 2001. Bettge, Associate Director (202/452– overdraft fees has been effective in Jennifer J. Johnson, 3174), Stacy Coleman, Manager (202/ reducing daylight overdrafts. Because Secretary of the Board. 452–2934), or Jeffrey Yeganeh, Senior the limit appears to have a net positive [FR Doc. 01–13981 Filed 6–4–01; 8:45 am] Financial Services Analyst (202/728– effect, the Board is disposed to retaining BILLING CODE 6210–01–P 5801), Division of Reserve Bank the limit. The Board, however, would Operations and Payment Systems. like to ensure that it considers the SUPPLEMENTARY INFORMATION: This is perspectives of all parties before making FEDERAL RESERVE SYSTEM one of five notices regarding payments a final determination regarding the [Docket No. R–1109] system risk that the Board is issuing for retention of this limit. public comment today. Two near-term III. Request for Comment Policy Statement on Payments System proposals concern the net debit cap Risk; Modifications to Daylight calculation for U.S. branches and The Board is proposing to maintain its Overdraft Posting Rules for Electronic agencies of foreign banks (Docket No. R– current policy limiting the size of Check Presentments 1108) and the book-entry securities individual book-entry security transfers transfer limit (Docket No. R–1110). In on Fedwire to $50 million in par value. AGENCY: Board of Governors of the addition, the Board is requesting The Board is requesting comment on all Federal Reserve System. comment on the benefits and drawbacks aspects of the $50 million limit as well ACTION: Request for comment on policy. to several potential longer-term changes as on the following questions: to the Board’s payments system risk SUMMARY: 1. Should the limit be retained? The Board is requesting (PSR) policy, including lowering self- If yes, is $50 million a reasonable comment on a change to the procedures assessed net debit caps, eliminating the level for the limit? Do the benefits of the for measuring daylight overdrafts in two-week average caps, implementing a limit support a reduction of the limit to depository institutions’ Federal Reserve two-tiered pricing system for $25 million? Or, would a higher limit accounts. The Board proposes to modify collateralized and uncollateralized reduce transaction costs but maintain the procedures to allow debits daylight overdrafts, and rejecting the existing benefits of the limit? Would associated with electronic check payments with settlement-day finality changing the limit require costly system presentment (ECP) transactions to post 1 that would cause an institution to changes? at 1:00 p.m. local time. The current exceed its daylight overdraft capacity If no, what would be the effect of level (Docket No. R–1111). The Board is 6 These assessment procedures are described in eliminating the $50 million limit on the Board’s policy statement entitled ‘‘The Federal also issuing today an interim policy delivery fails, daylight overdrafts, and Reserve in the Payments System’’ (55 FR 11648, statement and requesting comment on dealer costs? In particular, would March 29, 1990). the broader use of collateral for daylight eliminating the limit require costly 1 In the event an electronic check presentment is overdraft purposes (Docket No. R–1107). system changes? delayed past 12:00 p.m. local time, the Reserve Banks will post the transaction on the next clock Furthermore, to reduce burden 2. Does the limit impose any hour that is at least one hour after presentment associated with the PSR policy, the significant costs on dealers or clearing takes place but no later than 3:00 p.m. local time. Board recently rescinded the
VerDate 11
interaffiliate transfer (Docket No. R– hour that is at least one hour after times associated with ECP transactions 1106) and third-party access policies presentment takes place, beginning at should not create significant, if any, (Docket No. R–1100). 11:00 a.m. Eastern Time (ET) and no additional credit risk for the Reserve The Board requests that in filing later than 3:00 p.m. local time.3 Because Banks. comments on these proposals, the Reserve Banks generally deliver II. Posting Times for ECP Transactions commenters prepare separate letters for electronic check presentments in the each proposal, identifying the morning, the corresponding debits occur The Board proposes modifying the appropriate docket number on each. at 11:00 a.m. ET. As a result, for many daylight overdraft posting rules to allow This will facilitate the Board’s analysis depository institutions, the posting debits associated with ECP transactions of all comments received. times for electronic check presentments to post at 1:00 p.m. local time in order to remove the disincentive created by I. Background are earlier than the posting times associated with their paper check the current posting rules for depository The Board’s PSR policy establishes presentments. institutions to use Federal Reserve maximum limits (net debit caps) and The often earlier debit posting times electronic check presentment services.4 fees on daylight overdrafts in depository associated with electronic check A 1:00 p.m. local time posting time institutions’ accounts at Federal Reserve presentments have caused some should remove the disincentive to move Banks. When the Board adopted depository institutions to incur daylight to electronic check presentment services daylight overdraft fees, the Federal overdrafts earlier in the day and, in created by the current posting rules. The Reserve Banks began measuring many cases, for longer periods of time. Reserve Banks generally deliver depository institutions’ intraday Because the Reserve Banks charge electronic check presentment files by account balances according to a set of depository institutions a fee for the 10:00 a.m. ET; and, therefore, many ‘‘posting rules’’ established by the amount and duration of their Federal depository institutions currently receive 5 Board. These rules comprise a schedule Reserve daylight credit use, the daylight the related debits at 11:00 a.m. ET. For for the posting of debits and credits to overdraft charges of some institutions many depository institutions, especially institutions’ Federal Reserve accounts that have moved to electronic check those not located in the Eastern Time for different types of payments.2 The services have grown substantially. As a zone, the 11:00 a.m. ET posting time is Board’s objectives in designing the result, some depository institutions substantially earlier than the posting posting rules include minimizing have asserted that the increases in their times associated with their paper check intraday float, facilitating depository daylight overdraft charges have reduced presentments. A posting time of 1:00 institutions’ monitoring and control of or eliminated the benefits of using p.m. local time should reduce or their cash balances during the day, and Federal Reserve electronic check eliminate the increase in daylight reflecting the legal rights and services. overdraft charges potentially created by obligations of parties to payments. The The Federal Reserve is interested in the difference between the posting times Board’s objective of minimizing removing barriers that may discourage of ECP and paper check presentment intraday float is especially important in depository institutions from using transactions. The Board also considered posting light of the daylight overdraft fee, which electronic check services. For several ECP debits at the time the paying bank’s gives intraday credit an explicit value. years, the Federal Reserve has been paper check presentments would have The posting rules attempt to eliminate working on various initiatives to apply been posted. The problem with aggregate Federal Reserve intraday float electronic technologies to the check matching the posting times of ECP and because such float would be equivalent collection process to gain efficiencies paper check presentments is that, over to unpriced Federal Reserve daylight and to reduce the associated costs and time, as electronic check presentments credit. risks. Electronic check services provide As part of a broad review of its PSR replace the physical delivery of the operational efficiencies, improve paper checks for a larger proportion of policies, the Board evaluated the accuracy of information, reduce costs, effectiveness of the current posting rules banks and courier routes are modified or improve the likelihood of timely eliminated, there is no longer a and found these rules to be generally presentment, and improve opportunities effective and well understood by the reasonable basis for determining for accessing and using cash specific ECP posting times for each industry. In reviewing the posting rules, management information. The Board is however, the Board found that the depository institution. Moreover, a requesting comment on a proposed single debit posting time in each time posting times for ECP transactions often change to the posting times for ECP create a disincentive for depository zone for ECP transactions is more transactions to remove a barrier to the straightforward than a debit posting institutions to use Federal Reserve use of ECP. electronic check services. The Federal time that matches the posting time of The Board also notes that its daylight paper check presentments. In Reserve Banks deliver the majority of credit policies are primarily intended to electronic check presentments in the determining a single debit posting time, address intraday risk to the Federal the Board considered the aggregate morning, and the delivery of the ECP Reserve arising from daylight overdrafts. files constitutes legal presentment of the value of checks posted to depository Most transactions that lack settlement- institutions’ Federal Reserve accounts checks under the terms of the Federal day finality, such as checks, however, by each hour of the day. Currently, the Reserve’s uniform Operating Circular 3. pose primarily interday, rather than Reserve Banks post the vast majority of In accordance with the Board’s intraday, risk. Modifying the posting check transactions, on average objectives in designing the posting approximately 90 percent, by 1:00 p.m. rules, the current posting rules stipulate 3 On the day a paying bank receives a cash item local time. Because the Reserve Banks that debits to depository institutions’ from a Reserve Bank, it shall settle for the item so already post most checks by 1:00 p.m. Federal Reserve accounts for check that the proceeds of the settlement are available to its Administrative Reserve Bank, or return the item, presentments occur on the next clock by the latest of (1) the next clock hour that is at least 4 The Reserve Banks would modify the operating one hour after the paying bank receives the item; circulars as necessary. 2 See ‘‘Federal Reserve Policy Statement on (2) 9:30 a.m. Eastern Time; or (3) such later time 5 The Reserve Banks usually deliver electronic Payments System Risk,’’ section I.A (57 FR 47093, as provided in the Reserve Banks’ operating check presentment files by 12:00 p.m. ET in the October 14, 1992). circulars (12 CFR 210.9(b)). Pacific Time zone.
VerDate 11
local time, the Board believes that posting time that should not adversely requested comment on whether these applying this posting time to ECP affect depository institutions’ account legal differences between the Reserve transactions should minimize any management procedures and practices Banks and the private sector provided disincentive created by the posting rules or Federal Reserve credit risk. The the Reserve Banks with a competitive to move to electronic check presentment Board requests comment on all aspects advantage and, if so, whether these legal services. of the proposed modification to the differences should be reduced or The primary drawback of posting ECP posting rules. The Board is also eliminated (63 FR 12700, March 16, debits later in the day is the associated requesting specific comments on the 1998). Based on an analysis of the shift in posting credits to depository following questions: comments received, the Board institutions’ Federal Reserve accounts 1. Are there significant benefits or 6 concluded that these legal disparities do for check deposits to later in the day. drawbacks associated with a posting not materially affect the efficiency of or Institutions must choose one of two time of 1:00 p.m. local time not competition in the check collection check credit posting options: (1) All identified in this notice? system (63 FR 68701, December 14, credits posted at a single float-weighted 2. Does the proposed posting time 1998). The proposed posting rule posting time or (2) fractional credits provide Federal Reserve Banks an change for ECP transactions decreases, posted throughout the day. The first inappropriate competitive advantage option allows an institution to receive rather than exacerbates, the legal relative to the ability of private-sector disparities between the Reserve Banks all of its check credits at a single time, banks or other service providers to which may not necessarily fall on a and the private sector. The Board, compete in the provision of check therefore, believes that the proposed clock hour, for each type of cash letter. collection services? If so, how? The second option lets the institution change would not have a direct or receive a portion of its available check IV. Competitive Impact Analysis material adverse effect on the ability of credits on the clock hours between The Board has established procedures other service providers to compete 11:00 a.m. and 6:00 p.m. ET. The option for assessing the competitive impact of effectively with the Reserve Banks’ selected by an institution applies to all rule or policy changes that have a payments services. of its check deposits, including those for substantial effect on payments system V. Paperwork Reduction Act its respondents. Because the crediting participants.8 Under these procedures, fractions and single float-weighted the Board assesses whether a change In accordance with the Paperwork posting times are based upon the would have a direct and material Reduction Act of 1995 (44 U.S.C. ch. Reserve Banks’ ability to present checks adverse effect on the ability of other 3506; 5 CFR 1320 Appendix A.1), the and obtain settlement from payor service providers to compete effectively Board has reviewed the policy statement institutions, posting times for check with the Federal Reserve in providing under the authority delegated to the credits would become concentrated similar services due to differing legal Board by the Office of Management and around 1:00 p.m. local time as more powers or constraints, or due to a Budget. No collections of information depository institutions began using dominant market position of the Federal pursuant to the Paperwork Reduction Federal Reserve electronic check Reserve deriving from such differences. Act are contained in the policy services. Consequently, depository If no reasonable modifications would statement. institutions would receive their check mitigate the adverse competitive effects, credits somewhat later than they do the Board will determine whether the VI. Policy Statement on Payments 7 today. In addition, changes to the expected benefits are significant enough System Risk posting rules might entail some costs for to proceed with the change despite the depository institutions that may have The Board proposes to amend section adverse effects. I.A. under the heading ‘‘Modified developed internal monitors and To obtain settlement from paying Procedures for Measuring Daylight controls for the management of their banks for checks presented, the Reserve Overdrafts’’ as follows with changes daily account balances around current Banks debit directly the account of the identified by italics: posting times; however, the Board paying bank or its designated believes that such costs would be correspondent (12 CFR 210.9(b)(5)). In * * * * * minimal. contrast, a paying bank settles for Modified Procedures for Measuring III. Request for Comment checks presented by a private-sector Daylight Overdrafts 3 bank for same-day settlement by The Board proposes changing the sending a Fedwire funds transfer to the Opening Balance (Previous Day’s posting times associated with ECP presenting bank or by another agreed- Closing Balance) transactions to 1:00 p.m. local time. upon method (12 CFR 229.36(f)(2)). In This revised posting time would allow addition, the Reserve Banks have the Post at 1:00 p.m. Local Time: the Federal Reserve to remove the right to debit the account of the paying barriers associated with the current —Electronic check presentments bank for settlement of checks on the posting rules for ECP transactions while 3 The posting changes do not affect the next clock hour that is at least one hour providing a single and straightforward overdraft restrictions and overdraft- after presentment (12 CFR 210.9(b)(2)) measurement provisions for nonbank banks 6 The Federal Reserve calculates the posting times whereas a paying bank becomes established by the Competitive Equality for check credits based on surveys of check accountable to a private-sector Banking Act of 1987 and the Board’s presentments in each time zone. collecting bank if it does not settle for Regulation Y (12 CFR 225.52). 7 If the Board modifies the posting rules to permit the check by the close of Fedwire on the Reserve Banks to post debits for ECP transactions day of presentment (12 CFR By order of the Board of Governors of the at 1:00 p.m. local time, the Federal Reserve will Federal Reserve System, May 30, 2001. update the credit schedule concurrent with the 229.36(f)(2)). In March 1998, the Board effective date of the policy change and, as needed, Jennifer J. Johnson, thereafter. As a result, aggregate net intraday float 8 These procedures are described in the Board’s Secretary of the Board. would continue to be close to zero because the policy statement ‘‘The Federal Reserve in the amounts of intraday credit and debit float created Payments System,’’ as revised in March 1990. (55 [FR Doc. 01–13980 Filed 6–4–01; 8:45 am] for brief periods generally would offset one another. FR 11648, March 29, 1990). BILLING CODE 6210–01–P
VerDate 11
FEDERAL RESERVE SYSTEM policy is a program to control the use of overdraft capacity of affiliated intraday Federal Reserve credit, institutions in one or more institutions [Docket No. R–1106] commonly referred to as daylight provided that: (1) Each sending overdrafts. The PSR policy establishes institution’s board of directors Policy Statement on Payments System maximum limits (net debit caps) on specifically approves, at least once each Risk Interaffiliate Transfers daylight overdrafts in depository year, the intraday extension of credit to AGENCY: Board of Governors of the institutions’ accounts at Federal Reserve the specified affiliate(s) and sends a Federal Reserve System. Banks. copy of the directors’ resolution to its At the time it adopted the PSR policy, Federal Reserve Bank and (2) during ACTION: Policy statement. the Board also explored allowing regular examination, each sending SUMMARY: The Board is rescinding depository institutions affiliated institution’s primary federal supervisor section I.F., entitled Interaffiliate through common holding company reviews the timeliness of board-of- Transfers, of its payments system risk ownership to consolidate their Fedwire directors resolutions, the establishment (PSR) policy. The Board adopted the activity and net debit caps for the by the institution of limits on credit interaffiliate transfer policy in 1987 to purpose of monitoring compliance with extensions to each affiliate, the address potential risks resulting from a the PSR policy. The Board determined, establishment by the institution of lack of an arm’s-length credit decision however, that while the operations of controls to ensure that credit extensions among affiliates. some holding companies are centrally stay within such limits, and whether EFFECTIVE DATE: January 1, 2002. managed, the regulatory and credit extensions have in fact stayed supervisory framework within which within those limits (52 FR 29255, FOR FURTHER INFORMATION CONTACT: Paul Bettge, Associate Director (202/452– their subsidiaries operate is based on August 6, 1987). the separate corporate charter of each 3174) or Stacy Coleman, Manager (202/ II. Discussion subsidiary. Therefore, the PSR policy 452–2934), Division of Reserve Bank Recognizing that significant changes Operations and Payment Systems. requires that depository institutions be monitored for compliance on a separate have occurred in the banking, payments, SUPPLEMENTARY INFORMATION: The Board legal-entity basis. and regulatory environment in the past is issuing this notice in conjunction Although the Board prohibited few years, the Board decided to conduct with five other notices requesting affiliated depository institutions from a broad review of the Federal Reserve’s comment on the PSR policy. Three near- outright consolidation of their Fedwire daylight credit policies. As part of its term proposals concern the net debit activity and net debit caps, a depository review, the Board considered the cap calculation for U.S. branches and institution could simulate consolidation effectiveness of the interaffiliate transfer agencies of foreign banks (Docket No. R– by sending Fedwire funds transfers to policy. Because of the policy’s limited 1108), modifications to the procedures an affiliated institution in amounts not use and the credit risk management for posting electronic check to exceed its net debit cap. The techniques available to the Reserve presentments to depository institutions’ institution would have to repay the Banks, the Board decided to rescind the Federal Reserve accounts for purposes funds before the end of the day. The policy. of measuring daylight overdrafts (Docket Board, however, identified two potential The Board evaluated the interaffiliate No. R–1109), and the book-entry risks associated with depository transfer policy’s effectiveness and found securities transfer limit (Docket No. R– institutions transferring their net debit that very few institutions are using 1110). In addition, the Board is caps to affiliated institutions: Increased interaffiliate transfers to consolidate requesting comment on the benefits and credit risk to the Federal Reserve Banks their Fedwire activity and daylight drawbacks to several potential longer- and systemic risk among affiliated overdraft capacity. The Board also notes term changes to the Board’s policy, depository institutions, resulting from a that those institutions engaging in including lowering self-assessed net lack of an arm’s-length relationship interaffiliate transfers, primarily insured debit caps, eliminating the two-week among affiliates. The Board believed depository institutions owned by the average caps, implementing a two-tiered that this lack of an arm’s-length same bank holding company, appear to pricing system for collateralized and relationship among affiliates, in some be managing their Federal Reserve uncollateralized daylight overdrafts, and cases, might weaken the independence accounts prudently. In addition, rejecting payments with settlement-day of credit judgment exercised by one subsequent to the adoption of the interaffiliate transfer policy, the finality that would cause an institution affiliate in advancing funds to another. Financial Institutions Reform, Recovery, to exceed its daylight overdraft capacity The concern that common ownership and Enforcement Act of 1989 included level (Docket No. R–1111). The Board is erodes an arm’s-length credit decision a cross-guarantee provision that allows also issuing today an interim policy grew out of the bank failures in the the Federal Deposit Insurance statement and requesting comment on 1930s, which pointed to the relationship Corporation (FDIC) to recover part of its the broader use of collateral for daylight between depository institutions and resolution cost by seeking overdraft purposes (Docket No. R–1107). their affiliates as a source of instability Furthermore, to reduce burden 1 reimbursement from affiliated for the depository institutions. 2 associated with the PSR policy, the To address these risks, the Board institutions. The Board notes that, Board recently rescinded the third-party modified the PSR policy in 1987 to under the cross-guarantee provisions, an access policy (Docket No. R–1100). permit interaffiliate transfers that are insured depository institution is intended to concentrate the daylight generally liable for any loss incurred by I. Background the FDIC in connection with the default In April 1985, the Board adopted the 1 In addition, the Basle Committee’s Core of a commonly controlled insured PSR policy to reduce the risks that large- Principles requires that transactions between banks depository institution. Furthermore, the dollar payments systems presented to and related companies and individuals should be Federal Reserve Banks retain the right to the Federal Reserve Banks, to the on an arm’s length basis, be effectively monitored, reduce or eliminate the credit exposure and appropriate steps should be taken to mitigate banking system, and to other sectors of risks. Core Principles for Effective Banking that they will accept for any depository the economy (50 FR 21120, May 22, Supervision, Basle Committee on Banking 1985). An integral component of this Supervision, September 1997. 2 12 U.S.C. 1468.
VerDate 11
institution by reducing the institution’s appropriately addressed through the are accessible from the courtyard net debit cap or monitoring the existing supervisory process, the Board entrance on 20th Street between institution’s Fedwire funds transfers is rescinding the interaffiliate transfer Constitution Avenue and C Street, NW. and enhanced net settlement policy, part I, section F of the Policy Comments may be inspected in Room transactions in real time. The Board Statement on Payments System Risk.4 MP–500 between 9 a.m. and 5 p.m. believes that these controls mitigate any Upon rescission of the interaffiliate weekdays, pursuant to § 261.12, except increased credit risk to the Federal transfer policy, depository institutions as provided in § 261.14, of the Board’s Reserve or systemic risk from will no longer be required to submit a Rules Regarding Availability of interaffiliate transfers intended to board-of-directors resolution to their Information, 12 CFR 261.12 and 261.14. simulate daylight overdraft cap Reserve Banks; however, institutions are FOR FURTHER INFORMATION CONTACT: Paul consolidation. expected to comply with supervisory Bettge, Associate Director (202/452– The Board also believes that any and regulatory requirements regarding 3174) or Stacy Coleman, Manager (202/ institution-specific supervisory affiliate relationships and exposures, 452–2934), Division of Reserve Bank concerns associated with interaffiliate including sections 23A and 23B, as Operations and Payment Systems. credit extensions are more appropriately described in 12 CFR 250.248, 12 CFR SUPPLEMENTARY INFORMATION: This is addressed through the existing Part 223, and any future rulemaking. supervisory process, including through one of five notices regarding payments By order of the Board of Governors of the system risk that the Board is issuing for regulatory restrictions on interaffiliate Federal Reserve System, May 30, 2001. transactions embodied in sections 23A public comment today. Three near-term Jennifer J. Johnson, and 23B of the Federal Reserve Act.3 proposals concern the net debit cap Sections 23A and 23B of the Federal Secretary of the Board. calculation for U.S. branches and Reserve Act are intended to limit the [FR Doc. 01–13977 Filed 6–4–01; 8:45 am] agencies of foreign banks (Docket No. R– risks to an insured depository BILLING CODE 6210–01–P 1108), modifications to the procedures institution from transactions with its for posting electronic check affiliates. In May 2001, the Board presentments to depository institutions’ published an interim final rule that (1) FEDERAL RESERVE SYSTEM Federal Reserve accounts for purposes of measuring daylight overdrafts (Docket requires, under section 23A, that [Docket No. R–1107] institutions establish and maintain No. R–1109), and the book-entry securities transfer limit (Docket No. R– policies and procedures to manage the Policy Statement on Payments System 1110). In addition, the Board is credit exposure arising from the Risk institutions’ intraday extensions of requesting comment on the benefits and credit to affiliates and (2) clarifies that AGENCY: Board of Governors of the drawbacks to several potential longer- intraday extensions of credit by an Federal Reserve System. term changes to the Board’s payments insured depository institution to an ACTION: Interim policy statement with system risk (PSR) policy, including affiliate are subject to the market terms request for comment. lowering self-assessed net debit caps, requirement of section 23B (Docket No. eliminating the two-week average caps, R–1104). SUMMARY: The Board is issuing and implementing a two-tiered pricing The Board notes that the interim rule requesting comment on an interim system for collateralized and under sections 23A and 23B could policy statement that allows a uncollateralized daylight overdrafts, and restrict the ability of depository depository institution that has a self- rejecting payments with settlement-day institutions to consolidate their daylight assessed net debit cap (average, above finality that would cause an institution overdraft caps. Because of statutory average, or high) to pledge collateral to to exceed its daylight overdraft capacity exemptions, however, the market terms its Federal Reserve Bank in order to level (Docket No. R–1111). Furthermore, requirement of section 23B and the access additional daylight overdraft to reduce burden associated with the policies and procedures requirement of capacity above its net debit cap level. PSR policy, the Board recently the interim rule generally would not The Board may modify the final policy rescinded the interaffiliate transfer apply to intraday credit extensions statement after considering the (Docket No. R–1106) and third-party between affiliated insured depository comments received. access policies (Docket No. R–1100). institutions. Thus, intraday credit DATES: The interim policy statement is The Board requests that in filing extensions between affiliated depository effective on May 30, 2001. Comments on comments on these proposals, institutions, including the consolidating the interim policy must be received by commenters prepare separate letters for transfers discussed above, would August 6, 2001. each proposal, identifying the generally be permissible under sections ADDRESSES: Comments, which should appropriate docket number on each. 23A and 23B provided they are refer to Docket No. R–1107, may be This will facilitate the Board’s analysis conducted in a safe and sound manner. mailed to Ms. Jennifer J. Johnson, of all comments received. On the other hand, intraday credit Secretary, Board of Governors of the I. Background extensions designed to transfer the Federal Reserve System, 20th and C daylight overdraft cap of an insured Streets, NW., Washington, DC 20551 or Beginning in 1985, the Board adopted depository institution to an affiliate that mailed electronically to and has subsequently modified a policy is not an insured depository institution, [email protected]. to reduce the risks that payments such as a branch or agency of a foreign Comments addressed to Ms. Johnson systems present to the Federal Reserve bank affiliate, would be subject to the also may be delivered to the Board’s Banks, to the banking system, and to market terms requirement of section 23B mailroom between 8:45 a.m. and 5:15 other sectors of the economy. An and the policies and procedures p.m. and to the security control room integral component of the current PSR requirement of the interim rule. outside of those hours. Both the policy is a program to control Because the risks addressed by the mailroom and the security control room depository institutions’ use of intraday interaffiliate transfer policy are Federal Reserve credit, commonly 4 The current part I, section G of the policy, referred to as ‘‘daylight credit’’ or 3 12 U.S.C. 371c. Monitoring, will be designated as section F. ‘‘daylight overdrafts.’’ The Board’s
VerDate 11
intention was to address the Federal funds overdrafts, have the potential to In March 1995, the Board decided to Reserve’s risk as well as risks on become overnight overdrafts. Given the raise the daylight overdraft fee to 36 private-sector networks, primarily large- seller-driven nature of the book-entry basis points instead of 48 basis points dollar payments systems. Risk can arise system and the Board’s sensitivity to the (60 FR 12559, March 7, 1995). Because from transactions on the Federal markets it supports, the Board aggregate daylight overdrafts fell Reserve’s wire transfer system determined that only collateralized approximately 40 percent after the (Fedwire); from other types of book-entry securities overdrafts would introduction of fees, the Board was payments, including checks and be exempt from cap limits.2 This aspect concerned that raising the fee to 48 basis automated clearing house (ACH) of the policy was designed to protect the points could produce undesirable transactions; and from transactions on Reserve Banks from the very large market effects contrary to the objectives private large-dollar networks. exposures that can result from book- of the risk-control program. The Board The Federal Reserve Banks face direct entry transfers without creating serious believed, however, that an increase in risk of loss should depository disruptions in the market. the overdraft fee was needed to provide institutions be unable to settle their In 1989, the Board requested additional incentives for institutions to daylight overdrafts in their Federal comment on a proposed change to its reduce overdrafts related to funds Reserve accounts before the end of the payments system risk reduction transfers. The Board stated it would day. Moreover, systemic risk may occur program that would assess a fee of 60 evaluate further fee increases two years if an institution participating on a basis points, phased in over three years, after the 1995 fee increase.5 private large-dollar payments network for average daily overdrafts in excess of In considering its obligation to were unable or unwilling to settle its net a deductible of 10 percent of risk-based evaluate further fee increases, the Board debit position. If such a settlement capital (54 FR 26094, June 21, 1989). In recognized that significant changes have failure occurred, the institution’s October 1992, the Board approved occurred in the banking, payments, and creditors on that network might also be charging a fee for daylight overdrafts, regulatory environment in the past few unable to settle their commitments. which was to be phased in as 24 basis years and, as a result, decided to Serious repercussions could, as a result, points in 1994, 48 basis points in 1995, conduct a broad review of the Federal spread to other participants in the and 60 basis points in 1996 (57 FR Reserve’s daylight credit policies. private network, to other depository 47084, October 14, 1992).3 The purpose During the course of its review, the institutions not participating in the of the fee was to induce behavior that Board evaluated the effectiveness of the network, and to the nonfinancial would reduce risk and increase current daylight credit policies and economy generally. A Reserve Bank efficiency in the payments system. determined that these policies appear to could be exposed to indirect risk if Some depository institutions and be generally effective in controlling risk Federal Reserve policies did not address securities dealers commented that they to the Federal Reserve and creating this systemic risk. opposed a fee on book-entry securities incentives for depository institutions to The 1985 policy required all overdrafts that were collateralized. manage their intraday credit exposures. depository institutions incurring These depository institutions and In addition, the Board determined that daylight overdrafts in their Federal securities dealers argued that pricing the current policy is well understood by Reserve accounts as a result of Fedwire book-entry securities overdrafts was the industry and that private-sector funds transfers to establish a maximum inequitable because collateral protected participants generally have benefited limit, or net debit cap, on those the Federal Reserve against losses and from the policy’s risk controls. The overdrafts (50 FR 21120, May 22, there are already costs associated with Board also recognizes, however, that the 1985).1 Initially, the Board exempted pledging collateral. For that reason, policy has imposed costs on the book-entry securities overdrafts from these institutions and securities dealers industry and is considered burdensome quantitative overdraft controls because argued that pricing and requiring by some depository institutions. of concerns about the effect that collateral for book-entry securities In conducting its review, the Board overdraft restrictions could have on the overdrafts was unduly burdensome. The evaluated the impact of past policy U.S. government securities market and Board stated, however, that allowing actions on depository institutions’ on the Federal Reserve’s ability to collateral to substitute for daylight behavior and on the markets generally. conduct monetary policy through open overdraft fees would not provide a The Board also took into consideration market operations. In 1990, however, meaningful incentive for depository the effect of various payment system the Board announced that a depository institutions or their dealer customers to initiatives on payments activity and the institution’s funds and book-entry change their procedures and reduce demand for daylight credit. While the securities overdrafts would be combined daylight overdrafts.4 Board believes that the current policy is for purposes of determining the generally effective, it did identify institution’s compliance with its cap (55 2 The policy requires that depository institutions growing liquidity pressures among with ‘‘frequent and material’’ book-entry securities certain payment system participants. FR 22087, May 31, 1990). overdrafts fully collateralize these overdrafts. Book- The Board recognized that receivers of entry daylight overdrafts become frequent and Specifically, the Board learned that a book-entry securities generally cannot material when an account holder exceeds its net control the timing of their book-entry debit cap, because of book-entry securities that permits clearing banks and similarly situated securities overdrafts, but that intraday transactions, on more than three days in any two institutions to exceed their caps because of the consecutive reserve maintenance periods and by difficulty of controlling book-entry securities book-entry securities overdrafts, like more than 10 percent of its capacity. overdrafts. 3 To facilitate the pricing of daylight overdrafts, 5 On an average annual basis since 1995, 1 Net debit caps are calculated by applying a cap the Federal Reserve also adopted a modified overdrafts caused by book-entry securities transfers multiple from one of six cap classes (zero, exempt, method of measuring daylight overdrafts that more have decreased almost 10 percent per year and the de minimis, average, above average, and high) to a closely reflects the timing of actual transactions value of book-entry securities transfers has grown capital measure. Cap multiples are determined affecting an institution’s intraday Federal Reserve more than 5 percent per year; whereas funds through either a self-assessment process (for account balance. This measurement method overdrafts and the value of Fedwire funds transfers average, above average, and high cap classes) or a incorporates specific account posting times for have grown between 15 and 18 percent per year. board-of-directors resolution or assigned by the different types of transactions. The growth in funds overdrafts appears to be Reserve Bank. Requests for a particular cap multiple 4 The Board also stated that collateral is required directly related to the growth in large-value funds are granted at the discretion of the Reserve Bank. for large book-entry overdrafters as an exception transfers.
VerDate 11
small number of financially healthy well as other payment system settlement of new CHIPS reduces credit institutions regularly find their net debit initiatives. and liquidity risks. caps to be constraining, causing them to The Board believes it is important to To accomplish real-time final delay sending payments and, in some provide an environment in which 6 settlement, each CHIPS participant must cases, to turn away business. Payment payment systems may function transfer (directly or through another system initiatives, such as the Clearing effectively and efficiently and remove participant) a predetermined amount House Interbank Payments System with barriers, as appropriate, to foster risk- into the CHIPS ‘‘prefunded balance intraday finality (new CHIPS), the reducing payment system initiatives. account’’ on the books of FRBNY. While Continuous Linked Settlement (CLS) The Board recognizes that large-dollar new CHIPS settles all of the payment system, and the Federal Reserve’s networks are an integral part of clearing settlement-day finality for ACH credit and settlement systems, that it is of orders when they are released, some transactions, may exacerbate these considerable importance to keep the payment orders remain unreleased at institutions’ liquidity needs at specific payments system operating without the end of the day. These payment times during the day.7 significant disruption, and that some orders are netted and set off against one intraday credit may be necessary to keep another on a multilateral basis, with II. Interim Policy Statement the payments system running smoothly each participant in a net debit closing The Board is adopting an interim and efficiently. Given these principles, position transferring the amount of its policy statement that allows depository the Board believes that allowing closing position requirement into the institutions with net debit caps derived depository institutions with self- prefunded balance account. Many through a self-assessment to pledge assessed net debit caps to pledge CHIPS participants use Federal Reserve collateral voluntarily to the Federal collateral for additional daylight daylight credit to pay their end-of-day Reserve Banks in order to access overdraft capacity will continue to closing position requirements on CHIPS. additional daylight overdraft capacity promote the PSR policy’s risk-reduction Some of these participants have stated above their net debit cap levels.8 The efforts while minimizing disruptions to that making these Fedwire payments Board’s analysis of overdraft levels, the payments system. In addition, has, on occasion, increased their liquidity patterns, and payment system daylight overdraft fees will continue to demand for intraday credit. developments revealed that while net apply to all overdrafts, collateralized or debit caps provide sufficient liquidity to uncollateralized, as the fee provides a CLS Bank meaningful incentive for depository most institutions, some depository CLS Bank is being designed as a institutions are experiencing liquidity institutions to manage efficiently their multi-currency facility for settling pressures. The Board recognizes that the use of Federal Reserve daylight credit. foreign exchange transactions. Under interim policy could increase the public A. Payment System Initiatives sector’s credit exposure but believes that the proposed procedures, participating requiring collateral will allow the CHIPS Real-Time Final Settlement institutions will be required to make Federal Reserve to protect the public daily U.S. dollar payments to CLS Bank On January 22, 2001, the Clearing over Fedwire during the early hours of sector from additional credit exposure House Interbank Payments Company while providing extra liquidity to the the Fedwire funds transfer operating L.L.C. (CHIPCo) converted CHIPS from day. Because U.S. financial money few institutions that might otherwise be an end-of-day multilateral net constrained. Providing extra liquidity to markets are not currently active during settlement system to one that provides those hours, a number of CLS members constrained institutions should help real-time final settlement for all assert that they will use Federal Reserve prevent liquidity-related market payment orders as they are released.9 daylight credit to fund their CLS-related disruptions. The option to pledge Under an end-of-day system, the delay collateral for additional daylight between the release of a payment order payment obligations and have requested overdraft capacity would provide the and its settlement results in the risk that that the Federal Reserve grant them 10 private sector with the flexibility that it the failure of one or more participants additional intraday credit. has requested to relieve liquidity could trigger a failure of the system to pressures that have arisen or may arise settle. In response to demands of CHIPS from payment system innovations such participants to eliminate any possibility as new CHIPS, CLS, and ACH finality as of an unwind, CHIPCo developed a method to achieve real-time final 6 Current net debit cap levels provide sufficient settlement of CHIPS payment orders. liquidity for the majority of depository institutions. Approximately 97 percent of depository institutions Under real-time final settlement, all with positive net debit caps use less than 50 percent CHIPS payment instructions are settled of their daylight overdraft capacity for their average against a positive current position in the daily peak overdrafts. CHIPS prefunded balance account held 7 New CHIPS was implemented on January 22, 2001, CLS is scheduled for implementation in the at the Federal Reserve Bank of New fourth quarter of 2001, and ACH credit transactions York (FRBNY) or simultaneously offset will be final on the settlement date beginning in by incoming payments or both. As a mid-2001. Settlement-day finality for ACH credit result, real-time final settlement transactions may exacerbate liquidity pressures for credit originators on the real-time monitor that must eliminates the complexity and potential prefund. systemic risks of an end-of-day 8 settlement failure that could lead to a Depository institutions that wish to have access 10 For additional information on payment system to larger amounts of intraday credit than that general unwinding of CHIPS payments. initiatives, refer to the Payments Risk Committee’s provided by the exempt-from-filing and de minimis In addition, the real-time final net debit caps must perform a self-assessment of report entitled ‘‘Intraday Liquidity Management in their creditworthiness, intraday funds management the Evolving Payment System: A Study of the and control, customer credit policies and controls, 9 CHIPCo is the affiliate of The New York Clearing Impact of the Euro, CLS Bank, and CHIPS Finality,’’ and operating controls and contingency procedures House Association L.L.C. that owns and operates New York, April 2000. http://www.ny.frb.org/prc/ to support a higher daylight overdraft cap. CHIPS. intraday.html.
VerDate 11
ACH Settlement-Day Finality In rankings for U.S. branches and agencies measured as the greater of (1) the sum November 1999, the Board announced a of foreign banks. of the amount of capital (but not decision to make the settlement of ACH Depository institutions may pledge surplus) that would be required of a credit transactions processed by the the same types of collateral they do national bank being organized at each Federal Reserve final when posted to today for discount window or PSR agency or branch location, or (2) the the accounts of the receivers, which is purposes. In addition, the Board sum of 5 percent of the liabilities to currently 8:30 a.m. ET on the day of believes that it would be reasonable for nonrelated parties of each agency or settlement (64 FR 62673, November 17, depository institutions to use collateral branch. 1999). The Board noted that, in order to pledged to the discount window for The current policy allows U.S. protect the Federal Reserve from the additional daylight overdraft capacity branches and agencies of FBOs whose credit risk of granting finality to and notes that more than 25 percent of home-country supervisors do not adhere receiving depository institutions, the account holders already have collateral to the Basle Capital Accord to incur 12 Reserve Banks would require settling pledged to the Reserve Banks. While daylight overdrafts above their net debit depository institutions that are several hundred depository institutions caps up to a maximum amount equal to monitored in real time to prefund the have collateral pledged to the Federal their cap multiples times 10 percent of total of their ACH credit originations Reserve, the Board expects that very few their FBOs’ capital, provided that any before the transactions are processed. depository institutions will seek to overdrafts above the net debit caps are Settlement-day finality for ACH credit expand their daylight overdraft capacity collateralized. The interim policy offers transactions reduces risk to receiving levels by pledging collateral because all foreign banks, under terms that approximately 97 percent of all account depository institutions and receivers reasonably limit Reserve Bank risk, a holders use less than 50 percent of their while the prefunding requirement level of overdrafts based on the same net debit caps for their average peak permits the Reserve Banks to manage proportion of worldwide capital. Under overdrafts. This modification of the PSR their settlement risk for ACH credit the interim policy statement, the above policy, allowing depository institutions transactions as they do for other services distinction is no longer pertinent with self-assessed net debit caps to with similar finality features. because any U.S. branch or agency of a pledge collateral for extra daylight When the Board requested comment foreign bank that has a self-assessed net overdraft capacity, affects other areas of on the ACH finality proposal, a number debit cap and that would like to access the policy, including the policy’s of depository institutions asked that the daylight credit above its net debit cap Federal Reserve allow the flexibility of treatment of U.S. branches and agencies of foreign banks, book-entry securities level may consult with its posting collateral as an alternative to the Administrative Reserve Bank to discuss prefunding requirement (63 FR 70132, transfers, and account monitoring procedures. an appropriate daylight overdraft December 18, 1998). The Board noted capacity level.15 In addition, a notice that allowing collateral to cover non- U.S. Branches and Agencies of Foreign published elsewhere in today’s Federal securities related overdrafts was not in Banks Register requests comment on the net accordance with the PSR policy. The For U.S. branches and agencies of debit cap calculation for U.S. branches Board, however, also indicated that it foreign banks, net debit caps on daylight and agencies of foreign banks (Docket would consider the commenters’ request overdrafts in Federal Reserve accounts No. R–1108). in future reviews of its PSR policies. are calculated by applying the cap Book-Entry Securities Transactions Under the conditions described in this multiples for each cap category to a interim policy, some depository foreign banking organization’s (FBO’s) The current policy stipulates that institutions submitting ACH credit consolidated ‘‘U.S. capital depository institutions with book-entry transactions on the day of settlement equivalency.’’13 U.S. capital securities overdrafts that meet the will be able to secure additional 11 equivalency is calculated in one of frequency and materiality thresholds daylight overdraft capacity. several ways. In the case of FBOs whose must fully collateralize these overdrafts, B. Collateralized Daylight Overdraft home-country supervisors adhere to the not only the overdraft amount that Capacity Basle Capital Accord, U.S. capital exceeds the net debit cap level.16 Under Depository institutions with self- equivalency is equal to the greater of 10 the interim policy statement, the Board assessed net debit caps that wish to percent of worldwide capital or 5 is eliminating the frequent and material percent of the liabilities to nonrelated collateralization requirement for self- expand their daylight overdraft capacity 14 levels by pledging collateral should parties of each agency or branch. For assessed depository institutions’ book- consult with their Reserve Banks. In FBOs whose home-country supervisors entry securities overdrafts. Instead, the developing guidelines for approving do not adhere to the Basle Capital policy statement will allow Reserve maximum limits on collateralized Accord, U.S. capital equivalency is Banks to require collateral from self- daylight overdraft capacity beyond net assessed depository institutions that 12 debit cap levels, the Board and Reserve The Board notes that the majority of Federal frequently exceed their caps as a result Reserve daylight credit extensions are currently of transactions with settlement-day Bank staff will consider financial and implicitly collateralized because depository supervisory information. The financial institutions that have pledged collateral must sign and supervisory information may Operating Circular 10, which provides the Reserve 15 The Administrative Reserve Bank is Banks with a secured interest in any collateral responsible for managing an institution’s account include, but is not limited to, potential recorded on the Reserve Banks’ books. relationship with the Federal Reserve. daylight credit usage, capital and 13 The term ‘‘U.S. capital equivalency’’ is used in 16 Book-entry daylight overdrafts become liquidity ratios, the composition of this context to refer to the particular capital ‘‘frequent and material’’ when an account holder balance sheet assets, CAMELS or other measure used to calculate daylight overdraft net exceeds its net debit cap, due to book-entry supervisory ratings and assessments, debit caps and does not necessarily represent an securities transactions, by more than 10 percent of appropriate capital measure for supervisory or other its capacity and on more than three days in any two and the Strength of Support Assessment purposes. consecutive reserve maintenance periods. 14 Liabilities to nonrelated parties include 17 These transactions include Fedwire funds and 11 Federal Reserve systems in place today would acceptances but excludes accrued expenses and book-entry securities transfers, enhanced net not be effective for monitoring the collateralization amounts due and other liabilities to offices, settlement service transactions, and ACH credit of ACH credit transactions over several days. branches, and subsidiaries of the foreign bank. originations (beginning in mid-2001).
VerDate 11
finality.17 18 While the interim policy such a change would simplify exceed their net debit caps due to the statement requires collateralization of administration and compliance with the posting of transactions that do not have overdrafts only above net debit cap policy. Furthermore, the Board notes settlement-day finality, such as checks levels, which could increase the Federal that very few depository institutions and ACH debit originations.20 Escalated Reserve’s credit exposure, the Board (currently there are six) with exempt- counseling or requiring collateral for believes an increase in Federal Reserve from-filing or de minimis caps daylight overdrafts caused by these credit risk would be minimal given that voluntarily hold collateral to cover their transactions may be of limited use in very few institutions that participate in book-entry securities overdrafts and reducing associated overdrafts. the government-securities market meet would not be adversely affected by the III. Request for Comment the frequent and material criteria. The proposed policy change.19 The Board requests comment on all Board also believes that eliminating the Account Monitoring frequent and material collateralization aspects of the interim policy statement. requirement for book-entry securities Currently, a depository institution’s The Board is also requesting specific overdrafts specifically and developing funds and book-entry securities comments on the following questions: guidelines that require collateralization overdrafts are combined for purposes of 1. What are the benefits and of overdrafts above net debit cap levels determining the institution’s drawbacks of allowing depository regardless of the cause would simplify compliance with its cap. Under the ex institutions with self-assessed net debit administration of and compliance with post monitoring procedures, the Reserve caps to pledge collateral for additional the policy. Banks contact and counsel institutions daylight overdraft capacity? The changes described above do not with net debit positions in excess of 2. Would a policy change that apply to institutions with exempt-from- their caps, discussing ways to reduce requires depository institutions with filing or de minimis net debit caps. their excessive use of intraday credit. exempt-from-filing and de minimis caps Under the interim policy, the Board Each Reserve Bank retains the right to to apply for higher net debit caps if they plans to continue to allow depository protect its risk exposure from individual frequently exceed their caps because of institutions with exempt-from-filing or institutions by unilaterally reducing net book-entry securities transfers simplify de minimis caps to collateralize debit cap levels, imposing the policy or create an undue burden? voluntarily all or part of their book- collateralization or clearing-balance 3. Would the interim policy cause entry securities overdrafts. The Board requirements, holding or rejecting institutions to pledge additional also intends to continue: Fedwire transfers or enhanced net collateral to the Federal Reserve or • Requiring depository institutions settlement service transactions during would they primarily use collateral with exempt-from-filing or de minimis the day until the institution has already pledged to a Reserve Bank? caps that frequently exceed their caps, collected balances in its Federal Reserve IV. Competitive Impact Analysis even if only partly because of book- account, or, in extreme cases, entry securities transactions, to prohibiting it from using Fedwire. The Board has established procedures The Board does not intend to modify collateralize all of their book-entry for assessing the competitive impact of significantly the Federal Reserve’s ex securities overdrafts. rule or policy changes that have a • Prohibiting depository institutions post monitoring procedures. The Board substantial impact on payments system notes, however, that three aspects of the with exempt-from-filing or de minimis participants.21 Under these procedures, ex post monitoring procedures warrant caps to pledge collateral to increase the Board assesses whether a change clarification with implementation of the their daylight overdraft capacity for would have a direct and material interim policy. First, the Reserve Banks funds overdrafts. adverse effect on the ability of other • Requiring depository institutions will monitor the net debit positions of service providers to compete effectively depository institutions with self- with zero caps that have access to the with the Federal Reserve in providing assessed caps that choose to pledge discount window to collateralize fully similar services due to differing legal collateral voluntarily for additional all book-entry securities overdrafts. powers or constraints, or due to a overdraft capacity against these With the adoption of a final policy dominant market position of the Federal institutions’ daylight overdraft capacity statement, the Board intends to Reserve deriving from such differences. levels and not their net debit cap levels. eliminate the current policy’s separate Second, Reserve Banks may require If no reasonable modifications would treatment of book-entry securities depository institutions with self- mitigate the adverse competitive effects, overdrafts. The policy will require any assessed net debit caps that frequently the Board will determine whether the depository institution with an exempt- exceed their daylight overdraft capacity expected benefits are significant enough from-filing or de minimis cap to apply levels to collateralize the difference to proceed with the change despite the for a higher net debit cap if the between their peak daylight overdrafts adverse effects. institution frequently exceeds its cap and their net debit cap levels. The Board does not believe that the because of transactions with settlement- Depository institutions have some broader use of collateral for daylight day finality. The Board believes that flexibility as to the specific types of overdraft purposes will have a direct collateral they may pledge to the and material effect on the ability of 18 Under the interim policy, ‘‘frequently’’ will Reserve Banks; all collateral, however, other service providers to compete with continue to mean more than three days in any two the Reserve Banks’ payments services. consecutive reserve maintenance periods. In the must be acceptable to the Reserve vast majority of cases where depository institutions’ Banks. The Board notes that the interim policy overdrafts exceed their net debit cap levels, the Finally, the policy will continue to materiality threshold is met. The Board, therefore, allow administrative counseling 20 In October 1994, the Board approved is eliminating the ‘‘materiality’’ criteria entirely administrative counseling flexibility for institutions from the policy because it has little practical flexibility for institutions that frequently that continue to exceed their net debit caps due to purpose. the posting of non-Fedwire transactions (59 FR 19 Currently there are no depository institutions 19 Currently there are no depository institutions 27122, November 2, 1994). with exempt-from-filing or de minimis caps that are with exempt-from-filing or de minimis caps that are 21 These procedures are described in the Board’s required to pledge collateral for book-entry required to pledge collateral for book-entry policy statement ‘‘The Federal Reserve in the securities overdrafts as a result of meeting the securities overdrafts as a result of meeting the Payments System,’’ as revised in March 1990. (55 frequency and materiality criteria. frequency and materiality criteria. FR 11648, March 29, 1990).
VerDate 11
statement is intended to facilitate the collateralized credit. Depository de minimis caps that frequently exceed smooth functioning of private-sector institutions have some flexibility as to their caps, even if only partly because payment systems. the specific types of collateral they may of book-entry securities transactions, to pledge to the Reserve Banks; all collateralize all of their book-entry V. Paperwork Reduction Act collateral, however, must be acceptable securities overdrafts. For the purposes In accordance with the Paperwork to the Reserve Banks. Depository of this policy, ‘‘frequently’’ means on Reduction Act of 1995 (44 U.S.C. ch. institutions with exempt-from-filing and more than three occasions in two 3506; 5 CFR 1320 Appendix A.1), the de minimis net debit caps may not consecutive reserve-maintenance Board has reviewed the policy statement obtain additional capacity by pledging periods. To determine whether an under the authority delegated to the collateral. These depository institutions institution exceeds its net debit cap Board by the Office of Management and must perform a self-assessment of their because of book-entry securities Budget. No collections of information creditworthiness, intraday funds transactions, the Reserve Bank pursuant to the Paperwork Reduction management and control, customer determines what activity in an Act are contained in the policy credit policies and controls, and institution’s Federal Reserve account is statement. operating controls and contingency attributable to funds transfers and other procedures to support a higher daylight VI. Federal Reserve Policy Statement payment transactions and what activity overdraft cap. on Payments System Risk is attributable to book-entry securities In addition, Reserve Banks may transactions. A book-entry securities The ‘‘Federal Reserve Policy require depository institutions with self- overdraft occurs when an institution’s Statement on Payments System Risk,’’ assessed net debit caps that frequently book-entry securities balance, less any section I is amended, effective DATE, as exceed their caps due to transactions credit in its funds balance, is a net debit. follows with changes identified by with settlement-day finality to In addition, all depository institutions italics: collateralize the difference between with exempt-from-filing or de minimis I. FEDERAL RESERVE POLICY their peak daylight overdrafts and their caps may collateralize all or part of their A. Daylight overdraft definition net debit cap levels. For the purposes of book-entry securities overdrafts. Such B. Pricing this policy, ‘‘frequently’’ means more secured overdrafts shall not be included C. Capital than three occasions in two consecutive with those overdrafts measured against 1. U.S.-chartered institutions reserve-maintenance periods. their caps. For example, a depository 2. U.S. agencies and branches of The policy allows administrative institution with a de minimis cap of $50 foreign banks counseling flexibility for most million and a $30 million overdraft— D. Net debit caps institutions that frequently exceed their $15 million due to funds transfers and 1. Cap set through self-assessment net debit caps because of the posting of $15 million due to book-entry securities 2. De minimis cap transactions that lack settlement-day transfers—would ordinarily have excess 3. Exemption from filing finality, such as checks and ACH debit capacity of $20 million. Such an 4. Special situations originations. The Board’s policy on net institution may increase its excess a. Edge and agreement corporations debit caps is intended to address capacity by $15 million by b. Bankers’ banks intraday risk to the Federal Reserve collateralizing all of its book-entry c. Limited-purpose trust companies arising from daylight overdrafts. Most securities overdrafts (or may increase its d. Zero-cap depository institutions transactions that lack settlement-day excess capacity by less than $15 million E. Collateral finality, however, pose primarily by collateralizing some portion of its F. Book-entry securities transactions interday, rather than intraday, risk. book-entry securities overdrafts). Such 1. Collateralization Escalated counseling or requiring an institution may not increase its cap 2. Transfer-size limit collateral for daylight overdrafts caused of $50 million by over-collateralizing its G. Monitoring by these transactions may be of limited book-entry securities overdrafts or by 1. Ex post use in reducing associated overdrafts. collateralizing any part of its funds 2. Real time Under administrative counseling overdrafts. 3. Multi-District institutions flexibility, the Reserve Banks work with 4. ACH controls Section I.G.1., under the heading ‘‘Ex affected institutions on means of Post’’ is amended, effective DATE, as The last paragraph in section I.C.2., avoiding daylight overdrafts, but follows with changes identified by under the heading ‘‘U.S. agencies and generally do not subject these italics: branches of foreign banks,’’ has been institutions to escalated levels of deleted, effective DATE. counseling, require collateral, or assign G. Monitoring A new heading ‘‘Collateral’’ and text a zero cap. 1. Ex Post have been added to read as follows in Section I.F.1., under the heading section I.E., effective DATE: ‘‘Collateralization’’ is replaced, effective Under the ex post monitoring DATE, to read as follows: procedure, an institution with a net E. Collateral debit position in excess of its cap or Depository institutions with self- F. Book-Entry Securities Transactions daylight overdraft capacity level will be assessed net debit caps may pledge 1. Collateralization contacted by its Reserve Bank. The Reserve Bank will counsel the collateral to their Administrative A depository institution’s funds and institution, discussing ways to reduce Reserve Banks to secure daylight book-entry securities overdrafts are its excessive use of intraday credit. Each overdraft capacity in excess of their net combined for purposes of determining Reserve Bank retains the right to protect debit caps. The Reserve Banks will work an institution’s compliance with its with self-assessed depository its risk exposure from individual cap.18 The policy requires depository institutions by unilaterally reducing institutions that request additional institutions with exempt-from-filing or daylight overdraft capacity to decide on Fedwire caps, imposing collateralization the appropriate maximum daylight 18 Funds overdrafts refer to overdrafts caused by or clearing-balance requirements, overdraft capacity levels, that is, net funds transfers as well as NSS, TIP, cash, ACH, and holding or rejecting Fedwire transfers debit cap levels plus allowable check transactions. during the day until the institution has
VerDate 11
collected balances in its Federal Reserve FOR FURTHER INFORMATION CONTACT: Paul measure.12 A depository institution’s account, or, in extreme cases, taking the Bettge, Associate Director (202/452– cap class and associated cap multiple institution off-line or prohibiting it from 3174), Stacy Coleman, Manager (202/ either are determined through a self- using Fedwire. 452–2934), Myriam Payne, Project assessment or a board-of-directors Leader (202/452–3219), or Adam resolution or are assigned by the By order of the Board of Governors of the Minehardt, Financial Services Analyst Administrative Reserve Bank.3 All net Federal Reserve System, May 30, 2001. (202/452–2796), Division of Reserve debit caps, including those requested by Jennifer J. Johnson, Bank Operations and Payment Systems, an institution’s board of directors, are Secretary of the Board. Board of Governors of the Federal granted at the discretion of the Federal [FR Doc. 01–13978 Filed 6–4–01; 8:45 am] Reserve System. Reserve. Under the current policy, the BILLING CODE 6210–01–P Federal Reserve Banks apply the cap SUPPLEMENTARY INFORMATION: This is multiple to 100 percent of domestic one of five notices regarding payments depository institutions’ risk-based (or FEDERAL RESERVE SYSTEM system risk that the Board is issuing for equivalent) capital. The capital measure public comment today. Two near-term [Docket No. R–1108] used for an FBO, known as the U.S. proposals concern modifications to the capital equivalency, however, is Policy Statement on Payments System procedures for posting electronic check substantially less than the FBO’s total Risk; Daylight Overdraft Capacity for presentments to depository institutions’ capital. Foreign Banking Organizations Federal Reserve accounts for purposes In 1987, the Board considered and of measuring daylight overdrafts (Docket decided against changing the original AGENCY: Board of Governors of the No. R–1109) and the book-entry definition of U.S. capital equivalency Federal Reserve System. securities transfer limit (Docket No. R– (52 FR 29255, August 6, 1987). At the ACTION: Request for comment on policy. 1110). In addition, the Board is request of several FBOs, however, the requesting comment on the benefits and Board requested comment again in June SUMMARY: The Board is requesting drawbacks to several potential longer- 1989 on alternatives for determining comment on proposed changes to its term changes to the Board’s policy, FBOs’ U.S. capital equivalency used in payments system risk (PSR) policy. The including lowering self-assessed net calculating net debit caps for U.S. proposal would modify the criteria used debit caps, eliminating the two-week branches and agencies of foreign banks to determine the U.S. capital average caps, implementing a two-tiered (54 FR 26108, June 21, 1989). After equivalency for foreign banking pricing system for collateralized and further analysis, in 1991, the Board organizations (FBOs). Specifically, the uncollateralized daylight overdrafts, and adopted the current policy based on the proposed policy would (1) eliminate the rejecting payments with settlement-day BCA distinction (55 FR 22095, May 31, Basel Capital Accord (BCA) criteria used finality that would cause an institution 1990).4 in the current policy to determine U.S. to exceed its daylight overdraft capacity FBOs from countries that adhere to capital equivalency for FBOs, (2) replace level (Docket No. R–1111). The Board is the BCA are currently eligible to use as the BCA criteria with the strength of also issuing today an interim policy their U.S. capital equivalency the support assessment (SOSA) rankings statement and requesting comment on greater of 10 percent of their capital or and financial holding company (FHC) the broader use of collateral for daylight 5 percent of their liabilities to status in determining U.S. capital 5 overdraft purposes (Docket No. R–1107). nonrelated parties. FBOs from equivalency for FBOs, and (3) raise the Furthermore, to reduce burden countries that do not adhere to the BCA percentage of capital used in calculating associated with the PSR policy, the may use as their U.S. capital U.S. capital equivalency for certain equivalency the greater of 5 percent of FBOs. Board recently rescinded the interaffiliate transfer (Docket No. R– 1 EFFECTIVE DATE: Comments must be 1106) and third-party access policies U.S. branches and agencies of foreign banks are entities contained within and controlled by a received by August 6, 2001. (Docket No. R–1100). foreign banking organization. For the definition of ADDRESSES: Comments, which should The Board requests that in filing ‘‘branch’’ and ‘‘agency’’, refer to 12 U.S.C. 3101 and 12 CFR. refer to Docket No. R–1108, may be comments on these proposals, mailed to Ms. Jennifer J. Johnson, 2 The net debit cap classes and their associated commenters prepare separate letters for single-day multiples are a zero cap (0), an exempt- Secretary, Board of Governors of the each proposal, identifying the from-filing cap (equal to the lesser of $10 million Federal Reserve System, 20th and C appropriate docket number on each. or 0.2 times a capital measure), a de minimis cap Streets, NW, Washington, DC 20551 or This will facilitate the Board’s analysis (0.4); and three self-assessed caps, average (1.125), mailed electronically to above average (1.875), and high (2.25). A net debit of all comments received. cap is calculated for the FBO and then distributed [email protected]. among its U.S. branches and agencies at the Comments addressed to Ms. Johnson I. Background discretion of the FBO and the Administrative also may be delivered to the Board’s Reserve Bank. mailroom between 8:45 a.m. and 5:15 In April 1985, the Board adopted a 3 The Administrative Reserve Bank is responsible p.m. and to the security control room policy to reduce risk on large-dollar for managing an institution’s account relationship payments systems (50 FR 21120, May with the Federal Reserve. outside of those hours. Both the 4 The BCA was developed by the Basel Committee mailroom and the security control room 22, 1985). This policy established on Banking Supervision and endorsed by the are accessible from the courtyard maximum amounts of uncollateralized central bank governors of the Group of Ten entrance on 20th Street between daylight credit, or net debit caps, that countries. The BCA provides a framework for depository institutions are permitted to assessing the capital adequacy of a depository Constitution Avenue and C Street, NW. institution by risk weighting its assets and off- Comments may be inspected in Room incur in their Federal Reserve accounts. balance sheet exposures primarily based on credit MP–500 between 9 a.m. and 5 p.m. Net debit caps for U.S. branches and risk. weekdays, pursuant to § 261.12, except agencies of foreign banks are calculated 5 Liabilities to nonrelated parties include as provided in § 261.14, of the Board’s in the same manner as for domestic acceptances, but exclude accrued expenses and banks, by applying cap multiples from mounts due and other liabilities to offices, Rules Regarding Availability of branches, and subsidiaries of the foreign bank of Information, 12 CFR 261.12 and 261.14. one of the six cap classes to a capital each agency or branch.
VerDate 11
their liabilities to nonrelated parties or Because U.S. financial money markets pose to the same extent and, the amount of capital that would be are not currently active during those accordingly, some differential treatment required of a national bank being hours, a number of CLS members assert is warranted. Additional risks posed by organized at each location.6 Under the that they will use Federal Reserve FBOs include increased legal risk in current policy, if the home country daylight credit to fund their CLS-related pursuing claims against insolvent FBOs supervisor of an FBO does not adhere to payment obligations and have requested under the laws of various countries and the BCA, the U.S. branch or agency of that the Federal Reserve grant them increased supervisory risk in the the FBO may still incur daylight additional intraday credit.8 monitoring of FBOs. overdrafts above its net debit cap up to On January 22, 2001, the Clearing FBOs present special legal risks to the a maximum equal to its cap multiple House Interbank Payments Company Federal Reserve because of the times 10 percent of its capital, provided L.L.C. converted CHIPS from an end-of- differences in insolvency laws and that any overdrafts above the net debit day multilateral net settlement system public policy associated with the cap are collateralized. to one that provides real-time final various FBOs’ home countries. In In 2000, as part of a broad review of settlement for all payment orders as international financial transactions, the the PSR policy, the Board again assessed they are released.9 To accomplish real- overall risk borne by each party is the determination of U.S. capital time final settlement, each CHIPS affected not only by the governing law equivalency for FBOs. The review participant must transfer (directly or set out in the contract, but also by the included analysis of trends of daylight through another participant) a law governing the possible insolvency credit, consideration of supervisory predetermined amount into the CHIPS of its counterparty. The insolvency of an issues, analysis of new or emerging ‘‘prefunded balance account’’ on the international bank presents significant payments system initiatives, and books of the Federal Reserve Bank of legal issues in enforcing particular discussions with FBOs. New York. While new CHIPS settles all provisions of a financial contract (such of the payment orders when they are as close-out netting or irrevocability II. Discussion released, some payment orders remain provisions) against third parties (such as A. FBO Liquidity Issues unreleased at the end of the day. These the liquidator or supervisor of the failed A few FBOs have indicated that their payment orders are netted and set off bank). The insolvent party’s national net debit caps constrain their business against one another on a multilateral law also may permit the liquidator to activity and place them at a competitive basis, with each participant in a net subordinate other parties’ claims (such disadvantage to U.S. depository debit closing position transferring the as by permitting the home country tax institutions. These FBOs assert that amount of its closing position authorities to have first priority in certain U.S. depository institutions hold requirement into the prefunded balance bankruptcy), may reclassify or impose a a significant portion of their assets in account. Many CHIPS participants use stay on the right the nondefaulting party foreign markets but are able to use 100 Federal Reserve daylight credit to pay has to collateral pledged by the percent of their total risk-based capital their end-of-day closing position defaulting party in support of a in establishing their caps, while the PSR requirements on CHIPS. Some of these particular transaction, or may require a policy does not recognize the FBOs’ participants have stated that making separate proceeding to be initiated worldwide financial strength. During these Fedwire payments has, on against the head office in addition to 2000, approximately 35 percent of U.S. occasion, increased their demand for any proceeding against the branch. branches and agencies of foreign banks intraday credit. It is not practicable for the Federal with nonzero net debit caps had cap In addition to the concerns raised by Reserve to undertake and keep current utilization levels of 75 percent or more.7 FBOs, the Board recognizes the extensive analysis of the legal risks In contrast, less than 5 percent of continued globalization of the financial presented by the insolvency law(s) domestically chartered institutions use industry and that many FBOs have applicable to each FBO with a Federal more than 50 percent of their net debit established substantial operations Reserve account in order to quantify caps for their average daily peak within the United States. Furthermore, precisely the legal risk that the Federal daylight overdrafts. FBOs might increase their U.S. activities Reserve incurs by providing intraday A number of FBOs have expressed with the business opportunities created credit to that institution. It is concern over being able to meet the by the Gramm-Leach-Bliley Act (Public reasonable, however, for the Federal intraday liquidity requirements of the Law 106–102) (GLB Act). As their U.S. Reserve to recognize that FBOs Continuous Linked Settlement (CLS) business expands, FBOs could have a generally present additional legal risks system and the new Clearing House corresponding increase in their need for to the payments system and, Interbank Payments System with use of the U.S. payments system and accordingly, limit its exposure to these intraday finality (new CHIPS). CLS Bank daylight credit. institutions. In addition to the legal risks is being designed as a multi-currency B. National Treatment Considerations facility for settling foreign exchange associated with FBO failures, the While the Board understands the transactions. Under the proposed Federal Reserve faces elevated concerns of the foreign banking procedures, participating institutions supervisory risks when monitoring community, FBO participants in the will be required to make daily U.S. FBOs. In some countries, supervisory payments system present risks that dollar payments to CLS Bank over information available to U.S. regulators domestic depository institutions do not Fedwire during the early hours of the may be less timely and not comparable Fedwire funds transfer operating day. to similar information used in the 8 For additional information on payment system supervision of U.S. depository initiatives, refer to the Payments Risk Committee’s 6 The latter measure is not normally reported to report entitled ‘‘Intraday Liquidity Management in institutions. U.S. bank supervisors also the Federal Reserve. If an FBO desires to use this the Evolving Payment System: A Study of the lack a consolidated view of the FBO’s measure as its capital equivalency, the Impact of the Euro, CLS Bank, and CHIPS Finality,’’ risk management process and are unable Administrative Reserve Bank must be notified to New York, April 2000. http://www.ny.frb.org/prc/ to test its implementation on a global make special arrangements. intraday.html. basis. Furthermore, FBO risk profiles 7 In this context, cap utilization is equal to an 9 CHIPCo is the affiliate of The New York Clearing FBO’s average daily peak daylight overdraft divided House Association L.L.C. that owns and operates differ due to varying industry and by the FBO’s net debit cap. CHIPS. regulatory structures across countries.
VerDate 11
III. Proposed Changes to PSR Policy ranking outweigh the potential increase BCA distinction in determining the risk in credit risk to the Federal Reserve. posed by FBOs to the U.S. payments The Board is requesting comment on In addition, an interim policy system.14 the following policy changes related to statement (Docket No. R–1107) that was the determination of FBOs’ U.S. capital The Board, therefore, proposes to published elsewhere in today’s Federal equivalency used in calculating net replace the current BCA distinction in Register allows depository institutions debit caps for their U.S. branches and the PSR policy with a combined SOSA- that have self-assessed net debit caps to agencies. Specifically, the proposed FHC structure and to increase the pledge collateral to the Federal Reserve policy would allow percentage of capital used in calculating Banks in order to incur additional net debit caps for certain U.S. branches 1. FBOs that hold an FHC daylight overdrafts above their net debit classification to use 35 percent of their and agencies of foreign banks. The cap levels. An FBO whose U.S. branch Board believes that the SOSA ranking capital as their U.S. capital equivalency. or agency has a self-assessed net debit The Board believes that the capital and provides more specific, more cap and is in need of additional capacity comprehensive, and more timely management requirements for FHCs and may consult with its Administrative the heightened monitoring and information than the BCA distinction. Reserve Bank on pledging collateral for As result, the Board believes that the supervision to which FHCs are subject this purpose.12 justify permitting these FBOs to incur a definition of U.S. capital equivalency higher level of daylight overdrafts. A. Supervisory Rankings can be expanded further for FBOs that are FHCs or have a SOSA 1 ranking. 2. FBOs that are not FHCs and are The Board considered how the SOSA ranked SOSA 1 to use 25 percent of rankings might alleviate some concerns B. Alternative Measure of U.S. Capital capital as their U.S. capital equivalency. about the timeliness and reliability of Equivalency The Board believes that achieving the supervisory information. SOSA rankings Under the current policy, an FBO standards of the SOSA 1 ranking reflect an assessment of an FBO’s ability provide sufficient support for increasing from a country that does not adhere to to provide financial, liquidity, and the BCA must use an alternative the percentage of capital used for net management support to its U.S. debit cap calculations to 25 percent.10 measure for its U.S. capital equivalency operations. In October 2000, SOSA that is not based on total capital. 3. FBOs that are not FHCs and are rankings were made available to the Currently, the alternative measure is 5 ranked SOSA 2 to use 10 percent of FBOs’ management and home country percent of ‘‘liabilities to nonrelated their capital as their U.S. capital 13 supervisor. Previously, SOSA parties’’ or the amount of capital that equivalency. rankings were used for internal Federal would be required of a national bank 4. FBOs that are not FHCs and are Reserve purposes only. SOSA rankings being organized at a specific location. ranked SOSA 3 to use 5 percent of the provide broader information about the The Board believes that using an FBO’s ‘‘net due to related depository condition of the FBO, its supervision, alternative measure of U.S. capital institutions.’’ 11 Recognizing that net and the home country, whereas the BCA equivalency when an FBO’s home debit caps are granted at the discretion distinction provides information only country does not adhere to the BCA is of the Federal Reserve, the Reserve about the home country treatment of appropriate given concerns over the Banks could require certain SOSA 3- bank capital adequacy. Furthermore, the potential lack of timely supervisory ranked FBOs to fully collateralize their BCA designation reflects the one-time information regarding these FBOs and net debit caps. adoption of BCA standards by a the Federal Reserve’s inability to The Board believes its proposal to country’s supervisory authority, while monitor each FBO’s non-U.S. permit the use of higher percentages of U.S. bank supervisors update the SOSA operations. capital for FBOs that hold an FHC rankings regularly. While the Board proposes to eliminate classification or a SOSA 1-ranking will The Board also considered the FHC the BCA criteria used in the current provide sufficiently larger daylight status created by the GLB Act. The GLB policy, the Board continues to support overdraft capacity to those institutions Act authorizes bank holding companies using an alternative measure of U.S. whose payment activity is currently (BHCs) and FBOs that are well capital equivalency for U.S. branches constrained by their net debit caps. The capitalized and well managed, as those and agencies of foreign banks that Board believes that the benefits to the terms are defined in the statute and the represent the greatest levels of payments system of increasing the U.S. Board’s regulations, to elect FHC status supervisory concern. The Board believes capital equivalency for FBOs that hold and thereby engage in securities, that this alternative measure should be an FHC classification or a SOSA 1- insurance, and other activities that are financial in nature or incidental to a applied only to those FBOs that may exhibit significant financial or 10 The SOSA ranking is composed of four factors financial activity and that are otherwise including the FBO’s financial condition and impermissible for BHCs. FHCs must supervisory weaknesses, specifically prospects; the system of supervision in the FBO’s continue to meet the applicable capital SOSA 3-ranked FBOs under the home country; the record of the home country’s and management standards in order to proposed policy. In achieving this end, government in support of the banking system or the Board believes that the alternative other sources of support for the FBO; and transfer maintain their status and are subject to risk concerns. Transfer risk relates to the FBO’s enhanced reporting requirements. The measure of U.S. capital equivalency for ability to access and transmit U.S. dollars, which Board believes that, like the SOSA SOSA 3-ranked FBOs should reflect the is an essential factor in determining whether an ranking, FHC status is preferable to the capital investment of the FBO in its U.S. FBO can support its U.S. operations. The SOSA operations rather than its total capital. ranking is based on a scale of 1 through 3 with 1 representing the lowest level of supervisory 12 The interim policy statement expands the prior As an alternative measure for U.S. concern. policy that permitted certain FBOs to pledge capital equivalency, the Board intends 11 The Reserve Banks may review other relevant collateral to reach a maximum daylight overdraft to replace the use of ‘‘liabilities to information when considering whether to permit capacity equal to their cap multiple times 10 nonrelated parties’’ with ‘‘net due to SOSA 3-ranked FBOs access to intraday credit. The percent of their capital. PSR policy allows Reserve Banks to deny any 13 For full text, see SR Letter 00–14 (SUP), depository institution access to Federal Reserve Enhancements to the Interagency Program for 14 While applying for FHC status is voluntary, the intraday credit based on any applicable Supervising the U.S. Operations of Foreign Banking regulatory burden associated with applying is information. Organizations, October 23, 2000. minimal for most institutions.
VerDate 11
related depository institutions.’’ 15 related depository institutions’’ an Given the heightened supervisory ‘‘Liabilities to nonrelated parties’’ may appropriate proxy for SOSA 3-ranked concerns associated with SOSA 3- increase relative to assets when an FBOs’ U.S. capital equivalency? ranked FBOs, a Reserve Bank may deny institution becomes financially weaker a SOSA 3-ranked FBO access to intraday V. Competitive Impact Analysis and could unduly increase the credit. In the event a Reserve Bank institution’s overdraft capacity. ‘‘Net Under its competitive equity policy, grants a net debit cap to a SOSA 3- due to related depository institutions’’ the Board assesses the competitive ranked FBO, the Reserve Bank may reflects the amounts owed to the parent impact of changes that have a require the net debit cap to be fully by the branch and can be viewed as the substantial effect of payments system collateralized. 18 capital investment by the FBO parent in participants. The Board believes these lll its U.S. operations. In addition, the modifications to its payments system 10 The term U.S. capital equivalency is Board notes that this policy change risk program will have no adverse effect used in this context to refer to the particular would not affect any SOSA 3-ranked on the ability of other service providers capital measure used to calculate daylight FBOs at this time. to compete effectively with the Federal overdraft net debit caps and does not necessarily represent an appropriate capital C. Capital Reporting Reserve Banks in providing similar services. measure for supervisory or other purposes. In order to comply with the proposed VI. Paperwork Reduction Act By order of the Board of Governors of the policy changes, most U.S. branches and Federal Reserve System, May 30, 2001. agencies of foreign banks requesting a In accordance with the Paperwork Jennifer J. Johnson, net debit cap will need to complete the Reduction Act of 1995 (44 U.S.C. ch. Secretary of the Board. form ‘‘Annual Daylight Overdraft 3506; 5 CFR 1320 appendix A.1), the [FR Doc. 01–13979 Filed 6–4–01; 8:45 am] Capital Report for U.S. Branches and Board has reviewed the request for BILLING CODE 6210–01–P Agencies of Foreign Banks’’ (form FR comments under the authority delegated 2225) to report capital that is used as the to the Board by the Office of basis for their caps.16 Given that the Management and Budget. The collection FEDERAL RESERVE SYSTEM form is short and does not require any of information pursuant to the calculations, the Board believes the cost Paperwork Reduction Act contained in [Docket No. R–1111] of completing this form is not the policy statement will not unduly Policy Statement on Payments System significant or burdensome. Currently, burden depository institutions. only five FBOs that have nonzero net Risk; Potential Longer-Term Policy debit caps do not file form FR 2225. VII. Federal Reserve Policy Statement Direction These five FBOs would have to submit on Payments System Risk AGENCY: Board of Governors of the form FR 2225 to comply with the The Board proposes to replace section Federal Reserve System. revised policy.17 I.C.2. of the ‘‘Federal Reserve Policy ACTION: Request for comment on policy. IV. Request for Comment Statement on Payments System Risk’’ as follows: SUMMARY: The Board is requesting The Board requests comments on all comment on the benefits and drawbacks aspects of the proposed policy changes 2. U.S. Branches and Agencies of outlined above. The Board is also Foreign Banks of various policy options that it is requesting comments on the following evaluating as part of a potential longer- For U.S. branches and agencies of term direction for its payments system questions: foreign banks, net debit caps on daylight 1. If the proposed policy changes are risk (PSR) policy. The longer-term overdrafts in Federal Reserve accounts adopted, will the resulting net debit cap policy options include the following: (1) are calculated by applying the cap levels combined with the broader use of Lowering single-day net debit cap levels multiples for each cap category to a collateral outlined in the interim policy to approximately the current two-week foreign banking organization’s (FBO’s) statement also published today for average cap levels and eliminating the U.S. capital equivalency.10 comment (Docket No. R–1107) provide two-week average net debit cap, (2) • For FBOs that are financial holding a reasonable and prudent level of implementing a two-tiered pricing daylight overdraft capacity to address companies (FHCs), U.S. capital regime for daylight overdrafts such that the liquidity needs of FBOs? equivalency is equal to 35 percent of institutions pledging collateral to the capital. Reserve Banks pay a lower fee on their 2. Recognizing differences in risk • between FBOs and domestic depository For FBOs that are not FHCs and collateralized daylight overdrafts than institutions, would the proposed policy have a strength of support assessment on their uncollateralized daylight provide FBOs appropriate access to the ranking (SOSA) of 1, U.S. capital overdrafts, and (3) monitoring in real U.S. payments system? equivalency is equal to 25 percent of time all payments with settlement-day 3. With regard to calculating U.S. capital. finality and rejecting those payments capital equivalency, is ‘‘net due to • For FBOs that are not FHCs and are that would cause an institution to ranked a SOSA 2, U.S. capital exceed its net debit cap or daylight 15 Reporting Form FFIEC 002/002S. Report of equivalency is equal to 10 percent of overdraft capacity level. Assets and Liabilities of U.S. Branches and capital. EFFECTIVE DATE: Comments must be Agencies of Foreign Banks. Schedule RAL—Assets • For FBOs that are not FHCs and are and Liabilities: Liabilities: item 4—‘‘Liabilities to received by October 1, 2001. ranked a SOSA 3, U.S. capital nonrelated parties’’ and item 5—‘‘Net due to related ADDRESSES: Comments, which should depository institutions.’’ equivalency is equal to 5 percent of the refer to Docket No. R–1111, may be 16 SOSA 3-ranked FBOs would not be required to FBO’s ‘‘net due to related depository mailed to Ms. Jennifer J. Johnson, file FR 2225 because they would not be eligible to institutions.’’ base their U.S. capital equivalency on capital. Secretary, Board of Governors of the 17 In 1998, the Board surveyed FBOs that filed FR Federal Reserve System, 20th and C 18 2225 to estimate the burden to the public of These assessment procedures are described in Streets, NW., Washington, DC 20551 or completing the form. As a result of the survey, the the Board’s policy statement entitled ‘‘The Federal Board estimated the annual burden of completing Reserve in the Payments System’’ (55 FR 11648, mailed electronically to FR 2225 to be one hour per FBO. March 29, 1990). [email protected].
VerDate 11
Comments addressed to Ms. Johnson Reserve’s risk as well as risks to various In 1989, the Board requested also may be delivered to the Board’s types of private-sector networks, comment on a proposed change to its mailroom between 8:45 a.m. and 5:15 primarily large-dollar payments payments system risk reduction p.m. and to the security control room systems. Risk can arise from program that would assess a fee of 60 outside of those hours. Both the transactions on the Federal Reserve’s basis points, phased in over three years, mailroom and the security control room wire transfer system (Fedwire), from for average daily overdrafts in excess of are accessible from the courtyard other types of payments, including a deductible of 10 percent of risk-based entrance on 20th Street between checks and automated clearing house capital (54 FR 26094, June 21, 1989). Constitution Avenue and C Street, NW. transactions, and from transactions on The fee was to be phased in as 24 basis Comments may be inspected in Room private large-dollar networks. points in 1994, 48 basis points in 1995, MP–500 between 9:00 a.m. and 5:00 The Federal Reserve Banks face direct and 60 basis points in 1996. The p.m. weekdays, pursuant to § 261.12, risk of loss should depository purpose of the fee was to encourage except as provided in § 261.14, of the institutions be unable to settle their behavior that would reduce risk and Board’s Rules Regarding Availability of daylight overdrafts in their Federal increase efficiency in the payments Information, 12 CFR 261.12 and 261.14. Reserve accounts before the end of the system. The Board approved the FOR FURTHER INFORMATION CONTACT: Paul day. Moreover, systemic risk might proposed policy change in 1992 and Bettge, Associate Director (202/452– occur if an institution participating on began pricing daylight overdrafts in 3174), Stacy Coleman, Manager (202/ a private large-dollar payments network April 1994 (57 FR 47084, October 14, 452–2934), or John Gibbons, Senior were unable or unwilling to settle its net 1992).1 debit position. If such a settlement Financial Services Analyst (202/452– In March 1995, the Board decided to failure occurred, the institution’s 6409), Division of Reserve Bank raise the daylight overdraft fee to 36 creditors on that network might also be Operations and Payment Systems. basis points instead of the 48 basis unable to settle their commitments. SUPPLEMENTARY INFORMATION: This is Serious repercussions could, as a result, points originally announced (60 FR one of five notices regarding payments spread to other participants in the 12559, March 7, 1995). Because system risk that the Board is issuing for private network, to other depository aggregate daylight overdrafts fell public comment today. Three near-term institutions not participating in the approximately 40 percent after the proposals concern the net debit cap network, and to the nonfinancial introduction of fees, the Board was calculation for U.S. branches and economy generally. A Reserve Bank concerned that raising the fee to 48 basis agencies of foreign banks (Docket No. R– could be exposed to indirect risk if points could produce undesirable 1108), modifications to the procedures Federal Reserve policies did not address market effects contrary to the objectives for posting electronic check this systemic risk. of the risk-control program. The Board presentments to depository institutions’ The 1985 policy required all believed, however, that an increase in Federal Reserve accounts for purposes depository institutions incurring the overdraft fee was needed to provide of measuring daylight overdrafts (Docket daylight overdrafts in their Federal additional incentives for institutions to No. R–1109), and the book-entry Reserve accounts as a result of Fedwire reduce overdrafts related to funds securities transfer limit (Docket No. R– funds transfers to establish a maximum transfers. The Board stated it would 1110). The Board is also issuing today limit, or net debit cap, on those evaluate further fee increases two years an interim policy statement and overdrafts (50 FR 21120, May 22, 1985). after the 1995 fee increase. requesting comment on the broader use In subsequent years, the Federal Reserve In considering its commitment to of collateral for daylight overdraft modified and expanded the original PSR evaluate further fee increases, the Board purposes (Docket No. R–1107). policy by reducing net debit cap levels recognized that significant changes have Furthermore, to reduce burden and addressing the risk controls for occurred in the banking, payments, and associated with the PSR policy, the activities such as book-entry securities regulatory environment in the past few Board recently rescinded the transfers, large-dollar multilateral years and, as a result, is conducting a interaffiliate transfer (Docket No. R– netting systems, and certain private broad review of the Federal Reserve’s 1106) and third-party access policies securities clearing and settlement daylight credit policies. During the (Docket No. R–1100). systems. course of its review, the Board has The Board requests that in filing In 1986, the Board requested evaluated the effectiveness of the comments on these proposals, comment on reducing net debit cap current daylight credit policies and commenters prepare separate letters for levels (51 FR 45050, December 15, determined that these policies appear to each proposal, identifying the 1986). At that time, the Board noted that be generally effective in reducing risk to appropriate docket number on each. it purposely set the original net debit the Federal Reserve and creating This will facilitate the Board’s analysis cap levels relatively high so that incentives for depository institutions to of all comments received. institutions and examiners could gain control and manage their intraday credit experience with the caps. In 1987, the I. Background exposures. In addition, the Board Board announced that it would reduce determined that the current policy is Beginning in 1985, the Board adopted cap levels by 25 percent and stated that well understood by the industry and and subsequently modified a policy to it would evaluate further reductions in that private-sector participants generally reduce the risks that payment systems the future (52 FR 29255, August 6, have benefited from the policy’s risk present to the Federal Reserve Banks, to 1987). In May 1990, the Board issued a controls. the banking system, and to other sectors revised policy statement that of the economy. An integral component incorporated the exempt-from-filing net 1 To facilitate the pricing of daylight overdrafts, of the PSR policy was to control debit cap, changed the existing de the Federal Reserve adopted a modified method of depository institutions’ use of intraday minimis cap, and included book-entry measuring daylight overdrafts that more closely Federal Reserve credit, commonly securities transfers in measuring reflects the timing of actual transactions affecting an institution’s intraday Federal Reserve account referred to as ‘‘daylight credit’’ or institutions’ overdrafts against their balance. This measurement method incorporates ‘‘daylight overdrafts.’’ The Board caps (55 FR 22087 and 22092, May 31, specific account posting times for different types of intended to address the Federal 1990). transactions.
VerDate 11
As part of this review, the Board The Board is evaluating the benefits assessment.2 Reserve Banks may assign refined the objective that would guide and drawbacks of reducing self-assessed a zero cap in consideration of certain its formulation and evaluation of single-day net debit caps to levels near factors, or a depository institution that daylight credit policies. The Board’s those of the current two-week average wants to restrict its own use of Federal daylight credit policy objective is to caps and eliminating the two-week Reserve daylight credit may request a attain an efficient balance among the average net debit caps. Under the zero cap. costs and risks associated with the Board’s PSR policy, the Reserve Banks When the Board adopted its net debit provision of Federal Reserve intraday establish limits or net debit caps on the cap framework in 1985, it implemented credit, including the comprehensive maximum amount of uncollateralized two cap multiples for depository costs and risks to the private sector of daylight credit that depository institutions with self-assessed caps: one managing Federal Reserve account institutions may incur in their Federal for the maximum allowable overdraft on balances, and the benefits of intraday Reserve accounts. Net debit caps are liquidity. The Board used certain calculated by applying a cap multiple any day (single-day cap) and one for the criteria to evaluate the effectiveness of from one of six cap classes to a maximum allowable average of the peak policy options. These criteria include depository institution’s capital measure. daily overdrafts in a two-week period credit risk to the public sector, Federal (See Cap Multiple Matrix below.) A (two-week average cap). The Federal Reserve resource costs of monitoring Reserve Bank may assign the exempt- Reserve implemented the higher single- and counseling credit usage, private- from-filing cap without a depository day cap to limit excessive daylight sector resource costs of monitoring institution taking any action. A overdrafts on any day and to ensure that credit usage, payment delays and depository institution may request a de institutions develop internal controls gridlock, and private-sector opportunity minimis cap by submitting a board-of- that focus on daily exposures. The costs. directors resolution to its Reserve Bank, purpose of the two-week average cap or the institution may request a self- was to reduce the overall levels of II. Potential Longer-Term Policy Options assessed cap (average, above average, overdrafts while allowing for daily A. Net Debit Cap Levels and high) by completing a self- payment fluctuations.
CAP MULTIPLE MATRIX
Cap multiples Cap categories Single day Two-week average
Zero ...... 0 ...... 0 Exempt-from-filing 3 ...... $10 million or 0.20 ...... $10 million or 0.20 De minimis ...... 0.40 ...... 0.40 Average ...... 1.125 ...... 0.75 Above average ...... 1.875 ...... 1.125 High ...... 2.25 ...... 1.50
As 3 part of the Board’s current PSR assessed caps (approximately twenty) two-week average levels, it appears that policy review and its commitment to would regularly exceed their single-day most depository institutions generally evaluate further cap reductions, the net debit cap if it were reduced to the manage their daily overdraft activity Board reviewed depository institutions’ two-week average levels. If depository within the two-week average cap level. use of their daylight overdraft capacity. institutions that have pledged collateral This analysis suggests that current The Board found that more than 96 with the Reserve Banks were to use their single-day net debit cap levels may percent of institutions with self-assessed collateral to increase their daylight commit Reserve Banks to potential net debit caps use less than 50 percent overdraft capacity, less than 4 percent credit exposures in excess of what is of their daylight overdraft capacity for (approximately twelve) more depository needed to facilitate the smooth their average peak overdrafts.4 To institutions would regularly exceed operation of the payment system. The evaluate further the effects of reducing their reduced net debit caps.5 In Board believes that in conjunction with the single-day net debit cap to about the addition, some of these institutions allowing institutions with self-assessed two-week average net debit cap, Board would exceed their reduced net debit net debit caps to pledge collateral for staff compared depository institutions’ caps because of certain non-Fedwire daylight overdraft capacity above their daily peak overdrafts with their activity. These depository institutions caps, reducing self-assessed net debit respective two-week average caps. would likely be eligible for counseling caps could improve the balance between Compared with the current single-day flexibility. Because few account holders the public-sector costs of providing net debit cap, an additional 7 percent of with self-assessed caps would regularly daylight credit and the net private- depository institutions with self- exceed a net debit cap reduced to the sector benefits of using daylight credit.
2 The self-assessment requires an institution to depository institutions, approximately 20 percent Federal Reserve, therefore, would not subject evaluate and rate its creditworthiness, intraday use more than 70 percent of their overdraft capacity depository institutions that are provided counseling funds management and controls, customer credit for their peak overdrafts. The majority of flexibility to additional counseling for certain non- policies and controls, operating controls, and institutions using more than 70 percent of their Fedwire related cap breaches and would not require contingency procedures to support a higher daylight overdraft capacity for their peak overdrafts these institutions to post collateral or adopt a zero are doing so because of substantial non-Fedwire daylight overdraft cap. cap. payment activity. The current policy provides 3 5 The net debit cap for the exempt-from-filing ‘‘counseling flexibility’’ for depository institutions Published elsewhere in today’s Federal Register category is equal to the lesser of $10 million or 20 with de minimis and self-assessed caps that exceed is the Board’s interim policy statement that allows percent of risk-based capital. their net debit caps as a result of certain non- depository institutions with self-assessed caps to 4 Approximately 300 depository institutions Fedwire payment activity. Most of the institutions pledge collateral above their net debit caps for currently have self-assessed caps. Of these referenced above would fall into this category. The additional daylight overdraft capacity.
VerDate 11
The Board believes that, if it were to B. Two-Tiered Pricing Regime since the Federal Reserve began pricing reduce single-day net debit caps to The Board is also evaluating the daylight overdrafts in 1994, less than 4 about the same level as the current two- benefits and drawbacks of implementing percent of account holders pay fees in week average net debit caps, eliminating a two-tiered pricing regime that would a given year and the majority of these the two-week average caps should assess a lower fee on collateralized institutions pay less than $1,000 per simplify the policy. Eliminating the daylight overdrafts than on year. In addition, the largest users of two-week average cap also should uncollateralized daylight overdrafts. daylight credit, in general depository reduce some of the administrative cost The daylight overdraft fee is a critical institutions with assets greater than $10 and burden of complying with the component of the PSR policy, and its billion, pay more than 95 percent of policy. The Board, however, recognizes modification in 1995 was the impetus aggregate daylight overdraft fees. that reducing single-day net debit caps for the Board’s current review of its While the Board believes that daylight could impose costs on certain daylight credit policies.6 The initial overdraft fees have been relatively depository institutions because some implementation of a 24-basis-point effective, it also recognizes that the may consider their unused overdraft daylight overdraft fee in 1994 caused a daylight overdraft pricing policy has capacity as a safeguard to manage 40 percent decrease in daylight imposed costs on the industry and that infrequent or unexpected liquidity overdrafts in Federal Reserve accounts, some depository institutions consider needs. Finally, the Board believes that mostly related to changes in the timing the policy burdensome. To assess policy the current daylight overdraft limits for of book-entry securities transfers. alternatives that might create a more depository institutions with exempt- Daylight overdrafts caused by Fedwire efficient balance of the costs, risks, and from-filing and de minimis net debit funds transfers (funds overdrafts) benefits associated with Federal Reserve caps are adequate and should not be declined slightly after the intraday credit, the Board compared modified at this time. implementation of fees; however, funds Federal Reserve daylight credit extensions and private-sector lending The Board seeks comment on the overdrafts began to rise again even under line-of-credit arrangements. The benefits and drawbacks of reducing self- before the 1995 modified fee increase. On an average annual basis since 1995, most notable distinction between assessed single-day net debit caps to overdrafts caused by Fedwire book- daylight credit extensions and private- levels near those of the current two- entry securities transfers (book-entry sector lending is that private loans are week average net debit caps and securities overdrafts) have decreased often collateralized. Collateralized eliminating the two-week average net almost 10 percent per year and the value lending generally carries a lower debit caps. The Board also requests of Fedwire book-entry securities interest rate than uncollateralized comment on the following questions: transfers has grown more than 5 percent lending because taking collateral lowers 1. In conjunction with the policy per year; whereas funds overdrafts and the lender’s risk, allowing for a lower change that would allow institutions the value of Fedwire funds transfers credit risk premium. In most situations, with self-assessed net debit caps to have grown between 15 and 18 percent the Reserve Banks do not require pledge collateral for Federal Reserve per year. The growth in funds overdrafts collateral when extending daylight daylight credit above their net debit appears to be directly related to the credit to depository institutions.7 When caps, would reducing self-assessed net growth in large-value funds transfers. Reserve Banks require collateral for debit caps improve the balance between Even though funds overdrafts have daylight credit extensions, however, the the public-sector costs of providing grown substantially, the relationship same daylight overdraft fee applies to daylight credit and the net private- between average funds overdrafts and both collateralized and uncollateralized sector benefits of using daylight credit? the value of Fedwire funds transfers has daylight overdrafts. The Board also 2. How would a reduction in the remained relatively constant since the notes that the majority of Federal single-day net debit cap level affect the late 1980s. Reserve daylight credit extensions are In evaluating the level of the daylight way institutions manage their Federal currently implicitly collateralized overdraft fee, the Board is considering Reserve accounts with respect to because depository institutions that policy changes that might result in a daylight overdrafts? Do institutions pledge collateral must sign the more efficient balance of the costs, risks, target a maximum level of daylight applicable agreements in Operating and benefits associated with the overdrafts that is at or below their two- Circular 10, which provides the Reserve provision of Federal Reserve intraday week average caps? How much Banks with a secured interest in any credit. The Board believes that daylight additional capacity between routine collateral recorded on the Reserve overdraft fees have been effective in Banks’ books.8 peak overdrafts and the current single- reducing overdrafts from book-entry day net debit cap is prudent or securities transfers and provide a strong 7 The current policy requires that ‘‘frequent and necessary? incentive for institutions to continue material’’ book-entry securities overdrafters fully 3. Would lowering the single-day net controlling their overdrafts. From its collateralize these overdrafts. Book-entry securities overdrafts become frequent and material when an debit caps for self-assessed institutions inception, the fee was intended to create account holder exceeds its net debit cap, solely cause depository institutions to delay economic incentives for the largest because of book-entry securities transactions, on sending payments, potentially daylight overdrafters to reduce and more than three days in any two consecutive increasing overdrafts at other depository allocate more efficiently their use of reserve maintenance periods and by more than 10 percent of its capacity. The policy also allows institutions? daylight credit. The Board notes that financially healthy U.S. branches and agencies of 4. Should the Board consider a policy foreign banks for which the home-country that gradually moves uncollateralized 6 The current daylight overdraft fee is 36 basis supervisor does not adhere to the Basle Capital points, quoted as an annual rate on the basis of a Accord to incur daylight overdrafts above their net net debit caps to significantly lower 24-hour day. To obtain the daily overdraft fee for debit caps up to an amount equal to their cap levels (for example, to the levels the standard Fedwire operating day, the 36-basis- multiples times 10 percent of their worldwide associated with the de minimis net debit point fee is multiplied by the fraction of the 24-hour capital, provided that any overdrafts above the net cap) and require all depository day during which Fedwire is scheduled to operate. debit caps are collateralized. For example, under the current 18-hour Fedwire 8 The majority of the collateral pledged to the institutions to post collateral for operating day, the daylight overdraft fee equals 27 Reserve Banks is pledged for discount window overdrafts beyond the net debit cap? basis points. purposes.
VerDate 11
The Board is considering the benefits overdraft position. It is unclear whether institutions provide the Federal Reserve and drawbacks of implementing a two- junior creditors take the Federal a sufficient reduction in risk to warrant tiered or differential pricing regime for Reserve’s extensions of daylight credit a lower fee? daylight overdrafts. The fundamental into account when making their own C. Monitoring in Real Time All argument for a two-tiered pricing regime loans. Consequently, it may be Institutions’ Payments With Settlement- is that such a regime might achieve a appropriate when setting the better balance between the benefits and collateralized daylight overdraft fee to Day Finality costs of collateralized overdrafts relative include some measure of the additional The Board is also evaluating the to uncollateralized overdrafts, including risk that junior creditors bear as a result benefits and drawbacks of universal the public sector’s costs and risks as of collateralized Federal Reserve real-time monitoring (URTM), which is well as the private sector’s opportunity daylight credit extensions. If Federal defined as using the Reserve Banks’ costs of pledging collateral. Under a Reserve daylight credit extensions were Account Balance Monitoring System differential pricing regime, depository to dilute private-sector creditors’ claims (ABMS) to reject any payment with institutions that have pledged collateral dollar for dollar, it might be appropriate settlement-day finality that would cause with the Federal Reserve would receive to treat collateralized and any account holder’s overdrafts to the collateralized price for intraday uncollateralized Federal Reserve exceed its net debit cap.12 Payments credit used up to the level of collateral.9 daylight credit extensions as equally with settlement-day finality include In addition, while the interim policy risky and price them at the same level. Fedwire funds and book-entry securities statement does not permit depository In addition, a marginal increase in transfers, enhanced net settlement institutions with exempt or de minimis collateralized Federal Reserve overdrafts service (NSS) transactions, automated caps to increase their daylight overdraft could potentially exacerbate any clearing house (ACH) credit capacity by pledging collateral to the scarcity of available collateral to support transactions, and cash withdrawals.13 14 Federal Reserve, these institutions financial market activities.11 Reserve Banks can monitor any would be allowed to pledge collateral in The Board plans to continue account holder’s balance and its order to receive the lower daylight evaluating the benefits and drawbacks payment activities in real time using the overdraft fee. A lower fee on of a two-tiered pricing regime for ABMS. The Reserve Banks currently collateralized daylight credit than on daylight overdrafts. To assess better the reject, for specific depository uncollateralized daylight credit might impact of such a policy change, the institutions falling within established also provide an extra incentive for the Board requests comment on all aspects parameters, certain final payments that largest daylight overdrafters to maintain of differential pricing. The Board is also would cause overdrafts to exceed these their current levels of collateral pledged requesting comment on the following account holders’ available account to the Reserve Banks or to pledge questions: balances or net debit cap.15 As a result, 1. What are the major drawbacks and additional collateral. The relative price Reserve Banks are able to control their benefits of a two-tiered pricing regime of collateralized to uncollateralized credit exposure from certain higher-risk for collateralized and uncollateralized daylight credit, however, would likely institutions by restricting those daylight overdrafts in Federal Reserve influence the degree to which institutions’ access to Federal Reserve accounts? depository institutions would maintain intraday credit to specified levels their collateral levels or pledge 2. If Reserve Banks would accept the additional collateral.10 same types of collateral currently accepted for discount window purposes, 12 The ABMS provides intraday account While private-sector lenders generally information to the Reserve Banks and depository price collateralized lending cheaper how might two-tiered pricing affect the institutions. ABMS serves as both an information than uncollateralized lending because it industry, especially with respect to the source and a monitoring control tool. ABMS is used is typically less risky, the Board is availability of collateral for other primarily to give authorized Reserve Bank financial market activity? How might personnel a mechanism to control and monitor concerned that differential pricing of account activity for selected institutions. ABMS daylight credit could have broader two-tiered pricing affect creditors and also provides a means for institutions to obtain public policy implications. For other participants? information concerning their intraday balances for example, the collateralization of 3. Would a two-tiered daylight managing daylight overdrafts. This information daylight credit could disadvantage overdraft pricing regime cause includes opening balances, a depository institutions to pledge additional institution’s net debit capacity and collateral limits, junior creditors in the event that a Fedwire funds and book-entry securities transfers, depository institution fails in a daylight collateral to the Federal Reserve or enhanced Net Settlement Service (NSS) would they primarily use collateral transactions, and other payment activity from the 9 To estimate the spread between collateralized already pledged to a Reserve Bank? Integrated Accounting System. and uncollateralized lending, the Board sought a 4. If collateralized daylight overdrafts 13 The Board likely would not subject book-entry financial market measure of the risk differential were subject to a fee lower than the securities transfers to real-time rejects for institutions that pledge in-transit collateral. In- between collateralized and uncollateralized credit current 36-basis-point fee, would extensions. Because loans of federal funds are transit collateral is securities purchased by a uncollateralized, while loans through repurchase institutions’ daylight credit usage depository institution but not yet paid for and agreements are collateralized, the spread between change from current levels? owned by its customers. the federal funds rate and the interest rate for 5. Currently, Federal Reserve daylight 14 ACH credit transactions will have settlement- repurchase agreements on general Treasury credit is generally provided only to day finality beginning in mid-2001. The Board, collateral provides the closest available however, recognizes that including ACH credit approximation of this risk differential. The federal financially healthy depository transactions under URTM could have implications funds-repurchase agreement spread averaged 12 to institutions that have regular access to for the value dating of ACH transactions, wherein 15 basis points at a 24-hour annualized rate over the the discount window and are subject to originators may submit transactions for settlement period since the mid-1980s. As much as possible, supervisory examination. Does taking on a later, specified date. this estimate was adjusted for days of unusual 15 The Reserve Banks monitor in real time supply pressures in the federal funds-repurchase collateral from these depository Fedwire funds transfers and NSS transactions for market. institutions meeting the established risk parameters. 10 Administrative costs incurred by depository 11 Bank for International Settlements, Committee Currently, the Reserve Banks are monitoring in real institutions in identifying, segregating, auditing, or on the Global Financial System, Collateral in time approximately five percent of account holders; transporting collateral to conform with Reserve wholesale financial markets: recent trends, risk however, the number of monitored institutions Bank requirements could affect the relative price of management and market dynamics, March 2001 generally increases as the health of the financial collateralized to uncollateralized daylight credit. (Bank for International Settlements, 2001). industry weakens.
VerDate 11
through real-time monitoring of their URTM. In addition, the Board’s interim ACH transactions in advance of the account balances.16 policy statement that allows depository settlement date and time often allows Real-time enforcement of depository institutions to pledge collateral for institutions to resolve operational institutions’ daylight overdraft capacity additional daylight overdraft capacity problems with minimal effects on ACH levels through URTM could allow the should alleviate potential payment participants and to post the transactions Reserve Banks to manage better the disruptions over the long term as to their customers’ accounts in a timely small, yet important, risk that a depository institutions adjust their manner. In addition, advanced depository institution could behavior. knowledge of the transactions that will unexpectedly fail with a significant While the Board does not believe that settle over the next several days allows daylight overdraft position that far URTM would disrupt the payments institutions to manage their account exceeds its net debit cap. URTM also system over the long term, URTM could positions better and to handle incorrect could assist Reserve Banks and cause payments gridlock under or erroneous transactions before depository institutions in managing circumstances of severe financial market settlement occurs. Federal Reserve accounts by preventing stress or significant liquidity shortages. A policy change that potentially depository institutions from exceeding In the event of gridlock, the Federal discourages value dating or encourages their net debit caps with payments that Reserve has systems and procedures to originating depository institutions to have settlement-day finality. As a result, detect, evaluate, and address payments submit files later than they do today URTM would likely reduce costs gridlock. The Federal Reserve’s could fundamentally change the nature associated with the Reserve Banks’ communication protocols and problem of the ACH service and disrupt administration of the policy. escalation procedures are well established and effective business The Board is considering URTM for established and designed to manage any practices for ACH participants. For payments with settlement-day finality critical payments system problem example, an operational problem or because they represent greater credit quickly and effectively.17 funding problem might cause an risk to the Federal Reserve than While several payment types, such as originating depository institution to payments without settlement-day book-entry securities transfers or NSS miss the close of the ACH processing finality. Payments with settlement-day transactions, raise issues related to cycle. By missing the close of the finality also represent the majority of implementing URTM, monitoring ACH processing cycle, the ACH payments the dollar value of payments that the credit originations for all account intended for settlement that same day Federal Reserve processes. Because holders presents a number of additional would not settle on a timely basis. Reserve Banks may return or reverse issues. The most significant concern is Missed settlements could impose undue payments that do not have settlement- that URTM could compromise ACH costs on receiving institutions and their day finality, such as checks and ACH value dating. Value dating allows customers and undermine the perceived debit transactions, these payments pose depository institutions to originate reliability of ACH. Applying URTM to less risk to the Federal Reserve if the credit transactions one or two days in ACH could, therefore, increase costs to payor institution defaults. advance of the settlement date. When some unknown extent for most ACH While URTM provides advantages by the Board approved settlement-day participants, including originating monitoring all accounts in real time, the finality for ACH credit transactions, it institutions, receiving institutions, and Board has concerns about potential required all institutions monitored in their customers. negative consequences of URTM. reject mode to prefund their originations To alleviate the prefunding issue, Specifically, the Board is concerned at the time the files are processed (64 FR some respondents to the request for about possible adverse effects on the 62673, November 17, 1999). Prefunding comment on ACH settlement-day government-securities market from was required so that risk controls for finality proposed collateral as an rejecting book-entry securities transfers. ACH credit transactions were similar to alternative to prefunding (63 FR 70132, December 18, 1998). Because of the The Board also is concerned about those of other payment services with value-dating nature of ACH, the Federal URTM creating disruptions for net similar finality characteristics, such as Reserve systems in place today would settlement arrangements and ACH Fedwire funds transfers. In the current not be effective for monitoring the participants. Finally, URTM raises monitoring environment, only a subset collateralization of ACH credit significant policy issues related to of credit originators are required to transactions over several days. The payment delays or gridlock. prefund. Under a URTM environment, ABMS and other systems would have to To evaluate the potential adverse all ACH credit originators would have to be modified significantly to substitute effects of URTM, the Board reviewed prefund. As a result, depository collateral for prefunding if the depository institutions’ daylight credit institutions that send files one or two transactions are not submitted on the use over the past several years and days in advance could perceive same day as the intended settlement found that the majority of depository prefunding as costly. To avoid day; the Board is uncertain of the cost institutions generally do not fully use prefunding one or two days in advance, many depository institutions might or timing of systems modifications that their daylight overdraft capacity. would be necessary to implement this Approximately 97 percent of all account originate their ACH files in the early morning hours of the settlement day, functionality. Under the conditions holders use less than 50 percent of their described in the interim policy thereby eliminating certain benefits of net debit caps for their average peak statement, some depository institutions ACH value dating. overdrafts. Even if net debit caps were submitting ACH credit transactions on reduced to the two-week average level, Value dating ACH transactions allows originating and receiving depository the day of settlement will be able to as described previously in the first secure additional daylight overdraft policy option, most institutions should institutions to process large numbers of transactions in advance of the capacity. not experience rejected payments under The Board plans to continue settlement date and time. Processing evaluating the benefits and drawbacks 16 The account activity of an institution that is not monitored in real time is monitored for compliance 17 The Federal Reserve System extensively tested of URTM, including the benefits and with the daylight overdraft posting rules on an and used these protocols and procedures to prepare drawbacks of implementing URTM for after-the-fact or ex post basis. for and manage the Y2K rollover period. all payments with settlement-day
VerDate 11
finality and implementing URTM for increase risk of large-dollar payments day net debit caps and universal real- only a subset of those payments. One of moving from Fedwire or NSS to the time monitoring, are generally more the Board’s primary concerns with ACH? 21 Would this provide the Federal restrictive than the current policies. The implementing URTM for only a subset Reserve with a competitive advantage in Board plans to evaluate further whether of payments, for example for Fedwire providing ACH services? implementing URTM for only a subset funds transfers and NSS transactions, is 4. What are the most significant of payments creates a competitive whether this would create an incentive benefits and drawbacks of implementing advantage for the Federal Reserve’s for liquidity constrained depository URTM for only Fedwire funds transfers financial services. More restrictive institutions to move payments from and NSS transactions initially and Federal Reserve credit policies, Fedwire and NSS to the ACH to avoid continuing to evaluate moving other however, could encourage some the real-time monitor. Another concern payments to URTM as the Federal depository institutions to seek other is whether implementing URTM for Reserve and the industry gain more payment service providers, thereby only a subset of payments creates a experience with URTM? encouraging competition with the competitive advantage for the Federal 5. What disruptions in the Reserve Banks. While the two-tiered Reserve’s ACH service.18 To assess government-securities market, if any, pricing regime is generally more better the effect of such policy changes, could occur if the Federal Reserve were consistent with private-sector practices, the Board requests comment on all to implement URTM for Fedwire book- the policy cannot be viewed as being aspects of URTM. The Board also entry securities transfers? more restrictive or liberal until a more requests comment on the following 6. What disruptions in settlement definitive set of fees is recommended. questions: arrangements, if any, could occur if the V. Paperwork Reduction Act 1. What would be the benefits and Federal Reserve were to implement drawbacks of URTM? URTM for NSS transactions? In accordance with the Paperwork 7. Would URTM lead to significantly 2. If the Federal Reserve were to Reduction Act of 1995 (44 U.S.C. ch. greater payment delays, or would there implement URTM, should it do so for 3506; 5 CFR 1320 Appendix A.1), the be little effect? all payments with settlement-day Board has reviewed the policy statement finality? If not, which payments should III. Request for Comment under the authority delegated to the the Federal Reserve include under Board by the Office of Management and 19 20 The Board requests comment on all URTM? Budget. No collections of information 3. If the Federal Reserve implemented aspects of the potential policy options outlined above, and on the benefits and pursuant to the Paperwork Reduction URTM for only Fedwire funds transfers Act are contained in the policy and NSS transactions, would this action drawbacks of implementing these options together or separately. statement. By order of the Board of Governors of the 18 Competitive issues might be raised if the IV. Competitive Impact Analysis Reserve Banks were to monitor in real time all Federal Reserve System, May 30, 2001. Fedwire funds transfers and NSS transactions but The Board has established procedures Jennifer J. Johnson, not all ACH credit transactions. Private-sector ACH for assessing the competitive impact of operators that use the Federal Reserve’s Fedwire- rule or policy changes that have a Secretary of the Board. based or enhanced net settlement service might [FR Doc. 01–13982 Filed 6–4–01; 8:45 am] have some participants that experience rejected substantial impact on payments system settlement payments under URTM while most participants.22 Under these procedures, BILLING CODE 6210–01–P Federal Reserve ACH credit transactions would not the Board will assess whether a change be subject to real-time monitoring. Depository institutions that are concerned about settlement would have a direct and material disruptions through private-sector ACH operators adverse effect on the ability of other might find the Federal Reserve’s ACH service more service providers to compete effectively FEDERAL RETIREMENT THRIFT attractive; however, these institutions might find with the Federal Reserve in providing INVESTMENT BOARD that certain benefits from using private-sector ACH similar services due to differing legal services sufficiently offset concerns about Sunshine Act Meeting settlement disruptions. In addition, under any powers or constraints, or due to a monitoring environment, depository institutions dominant market position of the Federal TIME AND DATE: meeting certain risk parameters would be required Reserve deriving from such differences. 10:00 a.m. (EDT), June to prefund their Federal Reserve ACH credit 11, 2001. transactions. For those institutions, the Federal If no reasonable modifications would Reserve’s ACH service might not be more attractive mitigate the adverse competitive effects, PLACE: 4th Floor, Conference Room than private-sector ACH services. the Board will determine whether the 4506, 1250 H Street, N.W., Washington, 19 To analyze more fully the potential for payment anticipated benefits are significant D.C. disruptions, Board staff developed a simulation of enough to proceed with the change URTM for Fedwire funds transfers, book-entry STATUS: Open. securities transfers, and NSS transactions. The despite the adverse effects. URTM simulation for Fedwire funds, book-entry The Board does not believe that the MATTERS TO BE CONSIDERED: securities, and NSS activity showed that under policy options outlined above would current net debit cap levels, ABMS would delay 1. Approval of the minutes of the May have a direct and material impact on the 14, 2001, Board member meeting. approximately 40 payments out of almost 500,000 ability of other service providers to per day. In addition, the average value of a delayed 2. Thrift Savings Plan activity report payment was about $3.2 million and the average compete effectively with the Reserve delay was around an hour. Using the two-week Banks’ payments services. The Board by the Executive Director. average net debit cap levels, the simulation showed believes that two of the daylight credit CONTACT PERSON FOR MORE INFORMATION: that ABMS would delay approximately 50 payments out of almost 500,000 per day and the policies outlined above, lowering single- Thomas J. Trabucco, Director, Office of average value of a delayed payment was about $11.4 External Affairs, (202) 942–1640. million with an average delay of about an hour. 21 Under any monitoring environment, depository 20 While the URTM simulation did not institutions meeting certain risk parameters would Elizabeth S. Woodruff, demonstrate significant NSS transaction delays, the be required to prefund ACH credit transactions. Secretary to the Board, Federal Retirement Board notes that given the nature of the net 22 These procedures are described in the Board’s Thrift Investment Board. settlement service, the delay of any payment into policy statement ‘‘The Federal Reserve in the a net settlement arrangement would hold up Payments System,’’ as revised in March 1990. (55 [FR Doc. 01–14178 Filed 6–1–01; 10:07 am] settlement for the entire arrangement. FR 11648, March 29, 1990). BILLING CODE 6760–01–M
VerDate 11
DEPARTMENT OF HEALTH AND Comments are invited on: (a) Whether goals of Healthy People 2010 is the HUMAN SERVICES the proposed collection of information elimination of health disparities, is necessary for the proper performance including those associated with race Office of the Secretary of the functions of the agency, including and ethnicity. The lack of data is a whether the information shall have barrier to performance measurement for Agency Information Collection practical utility; (b) the accuracy of the this goal. Therefore, the Office of Activities: Proposed Collections; agency’s estimate of the burden of the Minority Health is proposing a study Comment Request proposed collection of information; (c) which will examine States’ laws and The Department of Health and Human ways to enhance the quality, utility and policies concerning the collection and Services, Office of the Secretary will clarity of the information to be use of racial and ethnic data by health periodically publish summaries of collected; and (d) ways to minimize the insurers and managed care plans. The proposed information collections burden of the collection of information study involves visits to 13 States for an projects and solicit public comments in on respondents, including through the in-depth look at their policies and compliance with the requirements of use of automated collection techniques practices, interviews with State officials Section 3506(c)(2)(A) of the Paperwork or other forms of information and representatives of the States’ major Reduction Act of 1995. To request more technology. Proposed Projects 1. managed care plans and health information on the project or to obtain Assessment of State Laws, Regulations, insurance industry, and focus groups a copy of the information collection and Practice Affecting the Collection with consumer and civil right plans and instruments, call the OS and Reporting of Racial and Ethnic Data organizations. Respondents: State or Reports Clearance Officer on (202) 690– by Health Insurers and Managed Care local governments; businesses or other 6207. Plans—NEW—One of the overarching for-profit; non-profit institutions.
BURDEN INFORMATION
Number of Hours per Total burden Instrument respondents response hours
Administrator Interview Guide ...... 78 4 312 Consumer Focus Group ...... 130 2 260
Total ...... 572
Send comments to Cynthia Agens administrative simplification provisions of where further information including an Bauer, OS Reports Clearance Officer, the Health Insurance Portability and agenda will be posted when available. Room 503H, Humphrey Building, 200 Accountability Act of 1996 (HIPAA). The Dated: May 30, 2001. Independence Avenue SW., Washington Committee also will be briefed by HHS staff on a number of additional data policy James Scanlon, DC, 20201. Written comments should be activities including quality of care for racial Director, Division of Data Policy, Office of received within 60 days of this notice. and ethnic minorities and the the Assistant Secretary for Planning and Dated: May 22, 2001. implementation of OMB federal data Evaluation. Kerry Weems, standards on race and ethnicity. The [FR Doc. 01–14057 Filed 6–4–01; 8:45 am] Committee will review reports in progress Acting Deputy Assistant Secretary, Budget. BILLING CODE 4151–05–M including the report from the Subcommittee [FR Doc. 01–14056 Filed 6–4–01; 8:45 am] on Populations on functional status data, and BILLING CODE 4150–29–M Subcommittees will hold working sessions in DEPARTMENT OF HEALTH AND the afternoon. There will also be HUMAN SERVICES Subcommittee sessions early in the morning DEPARTMENT OF HEALTH AND of the second day. Day two of the full Administration for Children and HUMAN SERVICES Committee meeting will feature a briefing on the HHS Patient Safety Task Force, the Families National Quality Forum and the National National Committee on Vital and Health Statement of Organization, Functions, Statistics: Meeting Quality Report from the Institute of Medicine. The afternoon agenda begins with and Delegations of Authority Pursuant to the Federal Advisory a briefing on the status of the Centers for This notice amends Part K of the Committee Act, the Department of Disease Control’s National Electronic Data Statement of Organization, Functions Health and Human Services (HHS) Surveillance System (NEDSS). The remainder of the afternoon’s agenda will be devoted to and Delegations of Authority of the announces the following advisory Department of Health and Human committee meeting. Committee business including reports from the Subcommittees and planning future Services (DHHS), Administration for Name: National Committee on Vital and agendas. Children and Families (ACF), Chapter Health Statistics (NCVHS). Contact Person for More Information: KB, the Administration on Children, Time and Date: Substantive program information as well as Youth and Families (ACYF), as last June 27, 2001—9:00 a.m.–5:00 p.m. summaries of meetings and a roster of amended on August 27, 1991 [56 FR June 28, 2001—10:00 a.m.–4:00 p.m. committee members may be obtained from 42332], December 8, 1997 [62 FR 64592] Place: Renaissance Hotel, 999 9th Street, Marjorie S. Greenberg, Executive Secretary, and October 6, 1999 [63 FR 58742] is NW., Washington, DC, (202) 898–9000. NCVHS, National Center for Health Statistics, being reorganized to move the Office of Centers for Disease Control and Prevention, Status: Open. State Systems from the Office of the Purpose: At this meeting the Committee Room 1100, Presidential Building, 6525 will hear presentations and hold discussions Belcrest Road, Hyattsville, Maryland 20782, Commissioner and place it in the on several health data policy topics. On the telephone (301) 458–4245. Information also Children’s Bureau as a new Division first day an update from HHS has been is available on the NCVHS home page of the and to establish a third Division within scheduled on the implementation of the HHS website: http://www.ncvhs.hhs.gov/, the Head Start Bureau. In addition, this
VerDate 11
notice revises the description of the and policies implemented by ACYF, Department’s grant payment systems; research and evaluation activities and build research capacity within the and performs audit resolution activities within the Office of the Commissioner field. Additional staff perform special for formula and entitlement programs. and the functions of the Divisions projects for the Office of the 2. Office of Grants Management within the Head Start Bureau and makes Commissioner. In addition to the provides management and technical other minor editorial changes. Immediate Office, the Office of the administration for discretionary grants 1. Chapter KB, Administration on Commissioner contains two for ACYF, ADD, and ANA; reviews, Children, Youth, and Families is organizational units. In support of the certifies and/or signs all discretionary amended as follows: Commissioner and Deputy grants; assures that all discretionary A. Delete KB.10 Organization in its Commissioner and in consultation with grants awarded by ACYF, ADD, and entirety and replace with the following: ACYF programs the: ANA conform with applicable statutes, KB.10 Organization. The 1. Office of Management Services regulations, and policies; computes Administration on Children, Youth and manages the formulation and execution grantee allocations, prepares Families is headed by a Commissioner, of the budgets for ACYF programs and discretionary grant awards, ensures who reports directly to the Assistant for Federal administration; serves as the incorporation of necessary grant terms Secretary for Children and Families and central control point for operational and and conditions, and monitors grantee consists of: long range planning; functions as expenditures; analyzes financial needs Office of the Commissioner (KBA) Executive Secretariat for ACYRF, under discretionary grant programs; Office of Management Services (KBA1) including managing correspondence, provides data in support of Office of Grant Management (KBA2) correspondance systems, and electronic apportionment requests; prepares Head Start Bureau (KBC) mail requests; reviews and manages reports and analyses on the grantees’ Program Operations Division (KBC1) clearance for program announcements use of funds; maintains liaison and Program Support Division (KBC2) for ACYF, the Administration for Native coordination with appropriate ACF and Program Management Division (KBC3) Americans (ANA), and the HHS organizations to ensure Children’s Bureau (KBD) Administration on Developmental consistency between ACYF, ADD, and Office of Child Abuse and Neglect Disabilities (ADD); plans for/coordinates ANA discretionary grant systems and (KBD1) the provision of staff development and the Department’s grant payment Division of Policy (KBD2) training; provides support for ACYF’s systems; provides technical assistance Division of Program Implementation personnel administration, including to regional components on discretionary (KBD3) staffing, employee and labor relations, grant operations and technical grants Division of Data, Research and performance management and employee management issues; and performs audit Innovation (KBD4) recognition; manages procurement resolution activities for ACYF, ADD, Division of Child Welfare Capacity planning and provides technical and ANA discretionary grant programs. Building (KBD5) assistance regarding procurement; plans The Office of Grants Management Division of State Systems (KBD6) for/oversees the discretionary grant coordinates and maintains liaison with Family and Youth Services Bureau paneling process; manages ACYF- the Department and other federal controlled space and facilities; performs agencies on discretionary grants (KBE) manpower planning and administration; management and administration Child Care Bureau (KBG) plans for, acquires, distributes and operational issues and activities. Immediate Office/Administration controls ACYF supplies; provides mail C. Delete KB.20 Function, Paragraph (KBG1) and messenger services; maintains C in its entirety and replace with the Program Operations Division (KBG2) duplicating, fax, and computer and following: Policy Division (KBG3) computer peripheral equipment; C. The Head Start Bureau serves as Technical Assistance Division (KBG4) supports and manages automation the principal advisory unit to the B. Delete KB.20 Functions, Paragraph within ACYF; provides for health and Commissioner on issues regarding the A, in its entirety and replace with the safety; and oversees travel, time and Head Start program (including Early following: attendance, and other administrative Head Start). It develops legislative and KB.20 Functions. A. The Office of functions for ACYF. budgetary proposals; identifies areas for the Commissioner serves as principal The Office of Management Services research, demonstration and advisor to the Assistant Secretary for also reviews and approves formula and developmental activities; presents Children and Families, the Secretary, entitlement programs for ACYF’s operational planning objectives and and other officials of the Department on bureaus and ADD. It assures that all initiatives relating to Head Start to the the sound development of children, formula and entitlement awards Office of the Commissioner; and youth, and families. It provides conform with applicable statutes, oversees the progress of approved executive direction and management regulations, and policies; computes activities. It provides leadership and strategy to ACYF components. The grantee allocations; prepares formula coordination for the activities of the Deputy Commissioner assists the and entitlement awards; ensures Head Start program in headquarters and Commissioner in carrying out the incorporation of necessary grant terms the regional offices. The Bureau responsibilities of the Office. and conditions; monitors grantee represents Head Start in inter-agency In the immediate Office of the expenditures; analyzes financial needs activities with other federal and non- Commissioner, research and evaluation under formula and entitlement federal organizations. staff provide scientific consultation, programs; provides data in support of 1. Program Operations Division coordination, direction, and support for apportionment requests; prepares manages the American Indian and research activities across the four reports and analyses on the grantees’ Alaska Natives and migrant and Bureaus within ACYF. Research staff use of funds; maintains liaison and seasonal farmworkers Head Start also partner with other Federal agencies coordination with appropriate ACF and programs; reviews applications for and the broader research community to HHS organizations to ensure programs serving American Indian and conduct program evaluations, develop consistency between ACF formula and Alaska Natives children and children of new knowledge relevant to programs entitlement grant systems and the migratory and seasonal farmworkers;
VerDate 11
monitors and assesses the programs and objectives and initiatives, and projects Indian Child Welfare Act. It is the focal assures provision of training and and issue areas for evaluation, research point for financial issues, including technical assistance to all Head Start and demonstration activities. It disallowances, appeals, and the programs funded for the children of represents ACYF in initiating and decisions of the Departmental Appeals American Indian and Alaska Natives implementing interagency activities and Board (DAB). It responds to client and and migrants and seasonal farmworkers; projects affecting children and families, constituent correspondence received analyzes and ensures consideration of and provides leadership and electronically and from a variety of the needs of American Indian and coordination for the programs, sources. Alaska Natives and migrant and activities, and subordinate components 4. Division of Data, Research and seasonal farmworkers’ children; and of the Bureau. Innovation provides leadership and coordinates with other agencies and 1. Office on Child Abuse and Neglect direction in program development, organizations serving American Indian provides leadership and direction on innovation, research and in the and Alaska Natives and migrant and the issues of child maltreatment and the management of the Bureau’s seasonal farmworkers’ children. prevention of abuse and neglect under information systems under titles IV–B 2. Program Support Division provides the Child Abuse Prevention and and IV–E of the Social Security Act, and technical expertise in the areas of Head Treatment Act (CAPTA). It is the focal under the Child Abuse Prevention and Start education birth to age five, health point for interagency collaborative Treatment Act. It defines critical issues (medical, dental, mental health and efforts, national conferences and special for investigation and makes nutrition), family and community initiatives related to child abuse and recommendations regarding subject partnerships, parent involvement, and neglect, and for coordinating activities areas for research, demonstration and disabilities services for Head Start related to the prevention of abuse and evaluation. It administers the Bureau’s program staff. It recommends and neglect and the protection of children discretionary grant programs, and establishes policy in these areas; at-risk. It supports activities to build awards project grants to State and local recommends strategies for achieving networks of community-based, agencies and organizations nationwide. quality services; and develops guidance, prevention-focused family resource and It provides direction to the Crisis and other policy materials aimed at support programs through the Nurseries and Abandoned Infants improving grantee performance. Community-Based Family Resource and Resource Centers. It is responsible for The Division develops areas for Support Program. It supports the Data and Technology Team which research and demonstration activities to improvement in the systems which analyzes and disseminates program data improve the quality and levels of handle child abuse and neglect cases, from the Adoption and Foster Care services provided to Head Start particularly child sexual abuse and Analysis and Reporting System children. The Division also manages exploitation and maltreatment related (AFCARS), and the National Child discretionary projects and develops fatalities, and improvement in the Abuse and Neglect Data System training and technical assistance investigation and prosecution of these (NCANDS); develops systematic strategies to improve Head Start cases through the Children’s Justice Act. methods of measuring the impact and programs’ performance in specific 2. Division of Policy provides effectiveness of various child welfare component areas. leadership and direction in policy programs; performs statistical sampling 3. Program Management Division development and interpretation under functions; provides comprehensive develops and coordinates program and titles IV–B and IV–E of the Social guidance to States, local agencies and administrative management regulations Security Act, and the Basic State Grant others on data collection issues, and and policy for the Head Start program, under the Child Abuse Prevention and performance and outcome measures; provides guidance to the regional offices Treatment Act. It writes regulations and and is the focal point for technology in carrying out these policies and interprets policy for the Bureau’s development within the Bureau. monitors their implementation; and formula and entitlement grant programs, 5. Division of Child Welfare Capacity designs and oversees a national system and responds to requests for policy Building provides leadership and for program monitoring and quality clarification from ACF Regional Offices direction in the areas of training, improvement. The Division develops and a variety of other sources. technical assistance and information and manages discretionary projects that 3. Division of Program dissemination under titles IV–B and IV– are designed to investigate and improve Implementation provides leadership E of the Social Security Act, and under the operation and management of the and direction in the operation and the Child Abuse Prevention and Head Start program; plans and manages review of programs under titles IV–B Treatment Act. Either directly or training and technical assistance (T & and IV–E of the Social Security Act, and through the Resource Centers, it TA) activities in Head Start; and the Basic State Grant under the Child provides training and technical manages national data collection and Abuse Prevention and Treatment Act. It assistance to assist service providers, analysis for the Head Start program. develops program instructions, State and local governments and tribes, D. Delete KB.20 Function, Paragraph information memoranda, and annual and strengthen headquarters and D in its entirety and replace with the reports. It analyzes State Plans and regional office staff. following: develops State profiles and other It manages section 426 discretionary D. The Children’s Bureau is headed reports; participates in monitoring and training grants and title IV–E training. It by an Associate Commissioner who reviewing State information systems to directs the operations and activities of advises the Commissioner, ensure the accuracy and relevancy of the National Center on Child Abuse and Administration on Children, Youth and the data. It is responsible for the Neglect Information Clearinghouse and Families, on matters related to child Monitoring Team, which schedules and the National Adoption Information welfare, including child abuse and coordinates the monitoring of State Clearinghouse. It identifies best neglect, child protective services, family reviews and ensures effective corrective practices for treating troubled families preservation and support, adoption, action if necessary. It works with and preventing abuse and neglect. It foster care and independent living. It appropriate other agencies and participates in the development of grant recommends legislative and budgetary organizations on the implementation announcements, and manages certain proposals, operational planning system and oversight of relevant sections of the discretionary grant projects. It develops
VerDate 11
and issues a periodic newsletter, and is Purpose: This is a working group meeting Washington, DC 20503, Attn: Wendy the focal point for conference and to discuss issues related to initial and follow- Taylor, Desk Officer for FDA. up testing of persons with environmental and meeting planning activities for the FOR FURTHER INFORMATION CONTACT: historic occupational exposure to Bureau. Peggy Schlosburg, Office of Information 6. Division of State Systems (DSS) asbestoform materials from vermiculite mined in Libby, MT. Resources Management (HFA–250), reviews, assesses, and inspects the Matters To Be Discussed: The agenda will Food and Drug Administration, 5600 planning, design and operation of State include a discussion on the routes and Fishers Lane, Rockville, MD 20857, management information systems and duration of exposure to asbestoform materials 301–827–1223. approves advanced planning documents through both historic environmental and SUPPLEMENTARY INFORMATION: In for automated data systems. The occupational routes; commonly conducted compliance with 44 U.S.C. 3507, FDA Division provides leadership for the screening tests; frequency and periodicity of has submitted the following proposed provision of technical assistance to follow-up testing; use of standard testing collection of information to OMB for procedures; and testing of special and/or States on information systems projects review and clearance. and advances the use of computer sensitive populations. technology in the administration of Agenda items are subject to change as Request for Information From U.S. priorities dictate. child welfare and social services Processors That Export to the European Contact Person for More Information: Community (OMB Control Number programs by States. The Division Jeffrey A. Lybarger, M.D., director, Division reviews, analyzes, and approves/ of Health Studies, ATSDR, 1600 Clifton 0910–0320)—Extension disapproves State requests for federal Road, NE, m/s E31, Atlanta, Georgia 30333. The European Community (EC) is a financial participation for automated Telephone 404/639–6200. group of 15 European countries that systems development and activities The Director, Management Analysis and have agreed to harmonize their which support child welfare programs, Services office has been delegated the commodity requirements to facilitate including foster care and adoption. It authority to sign Federal Register notices commerce among member States. EC provides assistance to States in pertaining to announcements of meetings and legislation for intra-EC trade has been developing or modifying automation other committee management activities for both the Centers for Disease Control and extended to trade with non-EC plans to conform to federal Prevention and the Agency for Toxic countries, including the United States. requirements. It monitors approved Substances and Disease Registry. For certain food products, including State system development activities and those listed below in this document, EC Dated: May 24, 2001. conducts periodic reviews to assure legislation requires assurances from the State compliance with regulatory Carolyn J. Russell, responsible authority of the country of requirements applicable to automated Director, Management Analysis and Services origin that the processor of the food is systems supported by Federal financial Office, Centers for Disease Control and in compliance with applicable participation. It provides guidance to Prevention. regulatory requirements. States on functional requirements for [FR Doc. 01–14050 Filed 6–4–01; 8:45 am] With the assistance of trade these automated information systems. It BILLING CODE 4163–70–P associations and State authorities, FDA promotes interstate transfer of existing requests information from processors automated systems and provides that export certain animal-derived assistance and guidance to improve DEPARTMENT OF HEALTH AND products (e.g., shell eggs, dairy ACYF’s programs through the use of HUMAN SERVICES products, game meat, game meat automated systems. products, animal casings, and gelatin) to Food and Drug Administration Dated: May 30, 2001. EC. FDA uses the information to James A. Harrell, [Docket No. 01N–0069] maintain lists of processors that have Acting Commissioner, Administration on demonstrated current compliance with Agency Information Collection U.S. requirements and provides the lists Children, Youth and Families. Activities; Submission for OMB [FR Doc. 01–14058 Filed 6–4–01; 8:45 am] to EC quarterly. Inclusion on the list is Review; Comment Request; voluntary. EC member countries refer to BILLING CODE 4184–01–M Information From U.S. Processors That the lists at ports of entry to verify that Export to the European Community products offered for importation to EC DEPARTMENT OF HEALTH AND AGENCY: Food and Drug Administration, from the United States are from HUMAN SERVICES HHS. processors that meet U.S. regulatory requirements. Products processed by ACTION: Notice. Agency for Toxic Substances and firms not on the list are subject to Disease Registry SUMMARY: The Food and Drug detention and possible refusal at the Administration (FDA) is announcing port. FDA requests the following Medical Testing Associated With that the proposed collection of information from each processor: Exposure to Asbestos; Meeting information listed below has been 1. Business name and address; 2. Name and telephone number of The Agency for Toxic Substances and submitted to the Office of Management person designated as business contact; Disease Registry (ATSDR), Division of and Budget (OMB) for review and 3. Lists of products presently being Health Studies (DHS) announces the clearance under the Paperwork shipped to EC and those intended to be following meeting: Reduction Act of 1995. shipped in the next 6 months; DATES: Name: Medical Testing Associated with Submit written comments on the 4. Name and address of Exposure to Asbestos. collection of information by July 5, manufacturing plants for each product; Times and Dates: 10:00 a.m.–6:00 p.m., 2001. 5. Names and affiliations of any June 18, 2001; 8:30 a.m.–5:00 p.m., June 19, ADDRESSES: Submit written comments Federal, State, or local governmental 2001. Place: Sheraton Buckhead Hotel; 3405 on the collection of information to the agencies that inspect the plant, Lenox Road; Atlanta, GA 30326. Office of Information and Regulatory government-assigned plant identifier, Status: Open to the public, limited only by Affairs, OMB, New Executive Office such as plant number, and last date of the space available. Bldg., 725 17th St. NW., rm. 10235, inspection; and
VerDate 11
6. Assurance that the firm or In the Federal Register of February The second concern was that FDA individual representing the firm and 28, 2001 (66 FR 12802), the agency ‘‘assumed no operating or maintenance submitting a certificate for signature to requested comments on the proposed costs’’. The burden on a company for FDA is aware of and knows that they are collection of information. One comment placement on an EC required list is only subject to the provisions of section 1001 was received. In this comment there the initial information asked for in the of Title 18, United States Code. This law were two concerns regarding burden. Federal Register notice. A company provides that it is a criminal offense to The first was that States may incur more may inquire about the status during the knowingly and willfully make a false than ‘‘information’’ burden. The impact review process for placement on the list statement or alter or counterfeit on a few States has been to retrieve but this is of their choosing. documents in a matter within the inspection reports from FDA contracted FDA estimates the burden of this jurisdiction of a U.S. agency. inspections or from a State inspection. collection of information as follows:
TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1
No. of Annual Frequency Total Annual Hours per Products Respondents per Response Responses Response Total Hours
Shell eggs 10 1 10 0.25 2.5 Dairy 100 1 100 0.25 25 Game meat and meat products 10 1 10 0.25 2.5 Animal casings 15 1 15 0.25 3.75 Gelatin 6 1 6 0.25 1.5
Total 35.25 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
The estimated number of respondents FDA’s previous notice seeking comment reapply unless they have a compliance is based on the volume of exports and for this collection of information (63 FR problem. An estimate for processors that responses received to date. The 29738, June 1, 1998) because the actual export gelatin also has been added estimated number of yearly responses number of responses has been because these processors are now being has decreased from the estimate in decreasing. Companies do not need to included in the listing process.
TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN1
No. of Record- Annual Frequency of Total Annual Hours per Record- Respondents keepers Recordkeeping Records keeper Total Hours
Trade association 15 1 15 8 120 State 50 1 50 8 400
Total 520 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
The burden estimated for the trade DEPARTMENT OF HEALTH AND Correction associations assumes the trade HUMAN SERVICES associations will disseminate FDA’s In the Federal Register of May 18, information request through mass Indian Health Service 2001, in FR Doc. 01–12529, on page mailings to their membership or publish 27665, in the third column, correct the Indians Into Medicine Program; it in their trade magazine or newsletter. DATES caption to read: Correction The burden estimated for State DATES: A. Application Receipt Date—An authorities assumes dissemination of AGENCY: Indian Health Services, HHS. original and two (2) copies of the information to the processors or ACTION: Notice; correction. completed grant application must be dissemination of information about submitted with all required processors to FDA. SUMMARY: The Indian Health Service documentation to the Grants published a document in the Federal Dated: May 29, 2001. Management Branch, Division of Register on May 18, 2001, concerning Acquisition and Grants Management, Margaret M. Dotzel, an application deadline of June 1, 2001, Twinbrook Building, Suite 100, 12300 Associate Commissioner for Policy. for the Indians Into Medicine Program. Twinbrook Parkway, Rockville, [FR Doc. 01–13985 Filed 6–4–01; 8:45 am] The document contained an incorrect deadline date. Maryland 20852, by close of business BILLING CODE 4160–01–S June 18, 2001. FOR FURTHER INFORMATION CONTACT: Ms. Jacqueline Santiago, Chief, Loan Dated: March 29, 2001. Repayment Branch, Division of Health Michel E. Lincoln, Professions Support, Indian Health Deputy Director. Service, 12300 Twinbrook Parkway, [FR Doc. 01–13987 Filed 6–4–01; 8:45 am] Suite 100A, Rockville, MD 20852, BILLING CODE 4160–16–M Telephone 301–443–3396. (This is not a toll-free number.)
VerDate 11
DEPARTMENT OF HEALTH AND Dated: May 29, 2001. estimate of the burden of the proposed HUMAN SERVICES Toian Vaughn, collection of information; (3) enhance Committee Management Officer, Substance the quality, utility, and clarity of the Substance Abuse and Mental Health Abuse and Mental Health Services information to be collected; and (4) Services Administration Administration. minimize the burden of the collection of [FR Doc. 01–13986 Filed 6–4–01; 8:45 am] information on those who are to Center for Substance Abuse BILLING CODE 4162–20–P Prevention; Meeting respond, including through the use of appropriate automated collection Pursuant to Public Law 92–463, techniques or other forms of information notice is hereby given of the meeting of DEPARTMENT OF HOUSING AND technology; e.g., permitting electronic the Center for Substance Abuse URBAN DEVELOPMENT submission of responses. Prevention (CSAP) Drug Testing [Docket No. FR–4652–N–12] This Notice also lists the following Advisory Board to be held in June 2001. information: A portion of the meeting will be open Notice of Proposed Information and will include a Department of Health Collection for Public Comment— Title of Proposal: Section 5(h) and Human Services drug testing Section 5(h) Homeownership Program Homeownership Program for Public and program update, a Department of for Public and Indian Housing: Indian Housing: submission of plan, Transportation drug testing program Submission of Plan, Reporting reporting. update, and an update on the draft OMB Control Number: 2577–0201. guidelines for alternative specimen AGENCY: Office of the Assistant Description of the need for the testing and on-site testing. Secretary for Public and Indian information and proposed use: Housing If anyone needs special Housing, HUD. Agencies (HAs), to participate in this accommodations for persons with ACTION: Notice. Program will submit plans to HUD to disabilities, please notify the Contact SUMMARY: The proposed information sell public and Indian housing to listed below. collection requirement described below residents of the housing. The The meeting will also include the will be submitted to the Office of homeownership plans must meet review, discussion, and evaluation of Management and Budget (OMB) for sensitive National Laboratory criteria established in HUD regulations review, as required by the Paperwork Certification Program (NLCP) internal and residents must be involved in plan Reduction Act. The Department is operating procedures and program development. HUD will review and soliciting public comments on the development issues which may contain approve or disapprove the plan and subject proposal. information of a personal nature and notify PHAs of their action. PHAs will confidential commercial information DATES: Comments Due Date: August 6, maintain records which may be subject obtained from a person. Therefore, a 2001. to audit by HUD and the Government portion of the meeting will be closed to ADDRESSES: Interested persons are Accounting Office (GAO). In cases the public as determined by the invited to submit comments regarding where implementation of the plan takes SAMHSA Administrator in accordance this proposal. Comments should refer to more than one year, PHAs will prepare with Title 5 U.S.C. 552b(c)(4) and (6) the proposal by name and/or OMB annual reports and submit them to and 5 U.S.C. App. 2, section 10(d). Control number and should be sent to: HUD. Mildred M. Hamman, Reports Liaison A roster of the board members may be Agency form numbers, if applicable: Officer, Public and Indian Housing, obtained from: Mrs. Giselle Hersh, None. Division of Workplace Programs, 5600 Department of Housing and Urban Fishers Lane, Rockwall II, Suite 815, Development, 451 7th Street, SW., Members of affected public: State or Rockville, MD 20857, Telephone: (301) Room 4238, Washington, DC 20410– Local Government; individuals or 443–6014. The transcript for the open 5000. households. session will be available on the FOR FURTHER INFORMATION CONTACT: Estimation of the total number of following website: www.health.org/ Mildred M. Hamman, (202) 708–3642, hours needed to prepare the information workplace. Additional information for extension 4128, for copies of the collection including number of this meeting may be obtained by proposed forms and other available respondents, frequency of response, and contacting the individual listed below. documents. (This is not a toll-free hours of response: 73 responses for a Committee Name: Center for number). three-year period, on occasion, 73 total Substance Abuse Prevention, Drug SUPPLEMENTARY INFORMATION: The responses, 76 average hours per Testing Advisory Board. Department will submit the proposed response, 5,548 total reporting burden Meeting Date: information collection to OMB for hours. June 5, 2001; 8:30 a.m.–4:30 p.m. review, as required by the Paperwork Status of the proposed information June 6, 2001; 8:30 a.m.–3:30 p.m. Reduction Act of 1995 (44 U.S.C. collection: Extension. Chapter 35, as amended). Place: Holiday Inn, 5520 Wisconsin Authority: Section 3506 of the Paperwork This Notice is soliciting comments Avenue, Chevy Chase, Maryland 20815. Reduction Act of 1995, 44 U.S.C. Chapter 35, from members of the public and affected Type: as amended. agencies concerning the proposed Open: June 5, 2001; 8:30 a.m.–Noon collection of information to: (1) Evaluate Dated: May 31, 2001. Closed: June 5, 2001; Noon–4:30 p.m. whether the proposed collection of Gloria Cousar, Closed: June 6, 2001; 8:30 a.m.–3:30 information is necessary for the proper Acting General Deputy, Assistant Secretary p.m. performance of the functions of the for Public and Indian Housing. Contact: Donna M. Bush, Ph.D., agency, including whether the [FR Doc. 01–14121 Filed 6–4–01; 8:45 am] Executive Secretary, Telephone: (301) information will have practical utility; BILLING CODE 4210–33–M 443–6014, and FAX: (301) 443–3031. (2) evaluate the accuracy of the agency’s
VerDate 11
DEPARTMENT OF HOUSING AND New Executive Office Building, information submission including URBAN DEVELOPMENT Washington, DC 20503. number of respondents, frequency of FOR FURTHER INFORMATION CONTACT: response, and hours of response; (9) [Docket No. FR–4650–N–41] Wayne Eddins, Reports Management whether the proposal is new, an Officer, Q, Department of Housing and extension, reinstatement, or revision of Notice of Submission of Proposed Urban Development, 451 Seventh Street, an information collection requirement; Information Collection to OMB; Pet Southwest, Washington, DC 20410; e- and (10) the name and telephone Ownership in Assisted Rental Housing mail [email protected]; number of an agency official familiar for the Elderly or Handicapped telephone (202) 708–2374. This is not a with the proposal and of the OMB Desk toll-free number. Copies of the proposed Officer for the Department. AGENCY: Office of the Chief Information Officer, HUD. forms and other available documents This Notice also lists the following submitted to OMB may be obtained information: ACTION: Notice. from Mr. Eddins. Title of Proposal: Pet Ownership in SUMMARY: The proposed information SUPPLEMENTARY INFORMATION: The Assisted Rental Housing for the Elderly collection requirement described below Department has submitted the proposal or Handicapped. has been submitted to the Office of for the collection of information, as OMB Approval Number: 2502–0342. described below, to OMB for review, as Management and Budget (OMB) for Form Numbers: None. required by the Paperwork Reduction review, as required by the Paperwork Description of the Need for the Reduction Act. The Department is Act (44 U.S.C. Chapter 35). The Notice lists the following information: (1) The Information and its Proposed use: The soliciting public comments on the Information is collected to carry out the subject proposal. title of the information collection proposal; (2) the office of the agency to regulations that allow tenants in elderly DATES: Comments Due Date: July 5, collect the information; (3) the OMB or handicapped rental projects to be pet 2001. approval number, if applicable; (4) the owners. Information is distributed to ADDRESSES: Interested persons are description of the need for the tenants of assisted rental housing units invited to submit comments regarding information and its proposed use; (5) detailing guidelines for pet ownership. this proposal. Comments should refer to the agency form number, if applicable; Respondents: Individual or the proposal by name and/or OMB (6) what members of the public will be households, business or other for-profit, approval number (2502–0342) and affected by the proposal; (7) how Not-for-profit institutions, State, Local should be sent to: Joseph F. Lackey Jr., frequently information submissions will or Tribal Government. OMB Desk Officer, Office of be required; (8) an estimate of the total Frequency of Submission: On Management and Budget, Room 10235, number of hours needed to prepare the occasion.
Number of × Frequency × Hours per Burden respondents of response response = hours
Reporting burden ...... 8,793 14 0.23 28,671
Total Estimated Burden Hours: DATES: July 18, 2001, at 9:00 a.m. and the proposed Gulf Ecosystem 28,671. Monitoring program. Status: Reinstatement, without ADDRESSES: Fourth floor conference change. room, 645 ‘‘G’’ Street, Anchorage, Willie R. Taylor, Alaska. Director, Office of Environmental Policy and Authority: Section 3507 of the Paperwork Compliance. Reduction Act of 1995, 44 U.S.C. 35, as FOR FURTHER INFORMATION CONTACT: [FR Doc. 01–14118 Filed 6–4–01; 8:45 am] amended. Douglas Mutter, Department of the BILLING CODE 4310–RG–M Dated: May 24, 2001. Interior, Office of Environmental Policy Wayne Eddins, and Compliance, 1689 ‘‘C’’ Street, Suite Departmental Reports Management Officer, 119, Anchorage, Alaska, (907) 271– DEPARTMENT OF THE INTERIOR Office of the Chief Information Officer. 5011. [FR Doc. 01–14022 Filed 6–4–01; 8:45 am] Fish and Wildlife Service BILLING CODE 4210–01–M SUPPLEMENTARY INFORMATION: The Public Advisory Group was created by Receipt of Application for Endangered Paragraph V.A.4 of the Memorandum of Species Permit Agreement and Consent Decree entered DEPARTMENT OF THE INTERIOR AGENCY: Fish and Wildlife Service, into by the United States of America Interior. Office of the Secretary and the State of Alaska on August 27, ACTION: Notice of receipt of application 1991, and approved by the United States for endangered species permit. Notice of Meeting District Court for the District of Alaska AGENCY: Department of the Interior, in settlement of United States of SUMMARY: The following applicants have Office of the Secretary. America v. State of Alaska, Civil Action applied for permits to conduct certain ACTION: Notice of meeting. No. A91–081 CV. The meeting agenda activities with endangered species. This will feature discussions on the draft notice is provided pursuant to Section SUMMARY: The Department of the fiscal year 2002 restoration work plan 10(c) of the Endangered Species Act of Interior, Office of the Secretary is 1973, as amended (16 U.S.C. 1531 et announcing a public meeting of the seq.). Exxon Valdez Oil Spill Public Advisory If you wish to comment, you may Group. submit comments by any one of several
VerDate 11
methods. You may mail comments to identify, anesthetize with clover oil, DEPARTMENT OF THE INTERIOR the Service’s Regional Office (see take small fin clippings, and ADDRESSES). You may also comment via photograph) from each of the fifteen Fish and Wildlife Service the internet to sampling populations a maximum of ten ‘‘[email protected]’’. Please Endangered and Threatened Species Conasauga logperch (Percina jenkinsi) Permit Application submit comments over the internet as an and ten Roanoke logperch (Percina rex). ASCII file avoiding the use of special Samples are for the purpose of studying AGENCY: Fish and Wildlife Service, characters and any form of encryption. mitochondrial DNA sequences to assess Interior. Please also include your name and genetic variability and viability of four ACTION: Notice of receipt of application. return address in your internet message. imperiled fish species whose ranges If you do not receive a confirmation The following applicant has applied occur on National Forest Land in the from the Service that we have received for scientific research permits to your internet message, contact us southeast United States. The purposed conduct certain activities with directly at either telephone number activities will take place in the endangered species pursuant to sections listed below (see FURTHER INFORMATION). following states: Virginia, Tennessee, 10(a)(1)(A) and 10(c) of the Endangered Finally, you may hand deliver and Georgia. Species Act of 1973, as amended (16 comments to either Service office listed Applicant: Melissa Brooks, Auburn U.S.C. 1531, et seq.). below (see ADDRESSES). Our practice is University, Auburn, Alabama, Permit Number TE838055–8 to make comments, including names TE042683–0 and home addresses of respondents, Applicant: Ecological Specialists, Inc., available for public review during The applicant requests authorization St. Peters, Missouri regular business hours. Individual to remove and reduce to possession two The applicant requests an amendment respondents may request that we plants and fifty seeds from ten sites of to existing endangered species take withhold their home address from the Trillium reliquum (Relict Trillium) to permit number TE838055–7 to increase administrative record. We will honor determine the diversity of pollinators, the scope of covered activities to such requests to the extent allowable by the distance that pollinators travel, and include projects in the State of law. There may also be other the success of these pollinators versus Michigan. The existing permit circumstances in which we would hand pollination. The proposed authorizes the applicant to take withhold from the administrative record activities will take place in Lee, Bullock, endangered and threatened unionids a respondent’s identity, as allowable by and Henry Counties, Alabama; Clay, throughout ten states. The scientific law. If you wish us to withhold your Lee, Early, Talbot, and Columbia research is aimed at enhancement of name and address, you must state this Counties, Georgia; and Aiken and survival of the species in the wild. prominently at the beginning of your Edgefield Counties, Kentucky. Written data or comments should be comments. However, we will not submitted to the Regional Director, U.S. consider anonymous comments. We Applicant: Arkansas Tech University, Fish and Wildlife Service, Ecological will make all submissions from Chris Kellner, Russellville, Arkansas, Services Operations, 1 Federal Drive, organizations or businesses, and from TE042728–0 Fort Snelling, Minnesota 55111–4056, individuals identifying themselves as and must be received within 30 days of representatives or officials of The applicant requests authorization to take (survey, capture, band nestlings, the date of this publication. organizations or businesses, available Documents and other information mark nests) Interior Least Tern (Sterna for public inspection in their entirety. submitted with this application are antillarum athalassos) to determine the DATES: Written data or comments on available for review by any party who these applications must be received, at distribution and abundance on the requests a copy from the following the address given below, by July 5, Arkansas River, describe the physical office within 30 days of the date of 2001. and habitat features of the colony sites, publication of this notice: U.S. Fish and estimate the accuracy/reliability of ADDRESSES: Documents and other Wildlife Service, Ecological Services information submitted with these aerial surveys, provide an estimate of Operations, 1 Federal Drive, Fort applications are available for review, the variability in abundance of potential Snelling, Minnesota 55111–4056, subject to the requirements of the colony sites over a two-year period, [email protected], telephone Privacy Act and Freedom of Information provide a precise estimate of (612) 713–5343, or Fax (612) 713–5292. Act, by any party who submits a written reproductive success, identify important Dated: May 25, 2001. predators responsible for losses of eggs request for a copy of such documents to T.J. Miller, and chicks, and provide an estimate of the following office within 30 days of Acting, Assistant Regional Director,, the date of publication of this notice: the relative importance of natural and Ecological Services, Region 3, Fort Snelling, U.S. Fish and Wildlife Service, 1875 human influences on the abundance Minnesota. Century Boulevard, Suite 200, Atlanta, and distribution on the Arkansas River. [FR Doc. 01–14053 Filed 6–4–01; 8:45 am] Georgia 30345 (Attn: Victoria Davis, The proposed activities will take place BILLING CODE 4310–55–P Permit Biologist). Telephone: 404/679– on the Arkansas River, from Pine Bluff 4176; Facsimile: 404/679–7081. to Fort Smith, in the following Arkansas FOR FURTHER INFORMATION CONTACT: counties: Jefferson, Lonoke, Pulaski, DEPARTMENT OF THE INTERIOR Victoria Davis, Telephone: 404/679– Conway, Johnson, Franklin, and 4176; Facsimile: 404/679–7081. Crawford. Fish and Wildlife Service SUPPLEMENTARY INFORMATION: Dated: May 22, 2001. Applicant: Dr. Richard L. Mayden, Hanford Reach National Monument University of Alabama, Tuscaloosa, H. Dale Hall, Federal Advisory Committee; Meeting Alabama, TE042764–0 Deputy Regional Director. Notice The applicant requests authorization [FR Doc. 01–13994 Filed 6–4–01; 8:45 am] AGENCY: Fish and Wildlife Service, to take (capture, hold temporarily, BILLING CODE 4310–55–P Interior.
VerDate 11
ACTION: Notice; FACA meeting. Dated: May 24, 2001. currently identified environmental Greg Hughes, issues are listed in the notice previously SUMMARY: The Hanford Reach National Project Leader, Hanford Reach National published by FERC in the Federal Monument Federal Advisory Committee Monument. Register in the issue dated December 18, will conduct its first meeting on [FR Doc. 01–13993 Filed 6–4–01; 8:45 am] 2000 at page 79097 (65 FR 79097). Wednesday, June 20, 2001 from 1 to BILLING CODE 4310–55–P DATES: Submit comments, concerning 5:30 pm and Thursday, June 21, from 8 the scope of the proposed amendments, to 9:30 am in the Consolidated on or before July 5, 2001. Information Center (CIC)/Library, rooms DEPARTMENT OF THE INTERIOR ADDRESSES: Written comments should 120 and 120A on the Washington State be addressed by Lynda Kastoll, Project Bureau of Land Management University, Tri-Cities campus, 2770 Manager, Bureau of Land Management, University Dr., Richland, WA. The [CA–670–5101–ER–B140/CACA–42662] El Centro Field Office, 1661 So. 4th meeting is open to the public and press. Street, El Centro, CA 92243. Proposed Plan Amendments and FOR FURTHER INFORMATION CONTACT: DATES: The meeting will take place Environmental Impact Statement/ Wednesday, June 20, 2001 from 1 to Lynda Kastoll at the above address or at Environmental Impact Report for the (760) 337–4421. 5:30 pm and Thursday, June 21, from 8 North Baja Pipeline Project, California, SUPPLEMENTARY INFORMATION: to 9:30 am. Time will be made available in Accordance With 43 CFR 1610.5–5 North Baja for public comments to be heard during Pipeline Project’s proposed action the meeting. Written comments received AGENCY: Bureau of Land Management, consists of the construction and by June 21, 2001, 9:30 am, will be Interior. operation of about 79.8 miles of incorporated into the meeting notes. ACTION: Notice of Intent to consider pipeline, including 11.5 miles of 36- Written comments received after the proposed amendments to the California inch-diameter and 68.3 miles of 30- deadline will be accepted, but will not Desert Conservation Area Plan and the inch-diameter pipe, extending from an be incorporated into the meeting notes. Yuma District Resource Management interconnection with El Paso Natural Plan in conjunction with the North Baja Gas Company in La Paz County, ADDRESSES: Any member of the public Pipeline project. Arizona, through Riverside and Imperial wishing to submit written comments Counties, California, to an may submit them during the meeting or SUMMARY: This notice supplements the interconnection at the international send them to Mr. Greg Hughes, notice published by the Federal Energy border between the United States and Designated Federal Official for the Regulatory Commission (FERC) in the Mexico. It includes the construction of Hanford Reach National Monument Federal Register in the issue of May 22, a new compressor station (with (HRNM) Federal Advisory Committee, 2001 at page 28160 (66 FR 28160). That associated metering facilities) in Hanford Reach National Monument/ notice requested comments on Ehrenberg, Arizona, a meter station near Saddle Mountain National Wildlife environmental issues related to the the Ogilby Road-Interstate 8 interchange Refuge, 3250 Port of Benton Blvd., Bureau of Land Management’s (BLM) in Imperial County, CA and a pig Richland, WA 99352; fax (509) 375– consideration of amendments to the launcher and receiver facility near 0196. Copies of the draft meeting agenda Yuma Resource Management Plan Rannel’s Drain and 18th Avenue in can be obtained from the Designated (RMP) and the California Desert Riverside County, California. A pig is an Federal Official. Conservation Area (CDCA) Plan. The internal tool used to inspect the proposed North Baja Pipeline project FOR FURTHER INFORMATION CONTACT: Any pipeline for potential leaks or damage. extends from Ehrenberg, Arizona member of the public wishing further The nominal construction right-of- through Riverside and Imperial information concerning the meeting way (construction corridor) for the Counties south to the Mexican border. should contact Mr. Greg Hughes, pipeline would be 80 feet wide, with 50 All federal lands affected by the Designated Federal Official for the feed retained as permanent right-of-way. proposed plan amendments are located Hanford Reach National Monument About 63 percent of the pipeline route in eastern Imperial County, California. (HRNM) FACA; phone (509) 371–1801, would abut or overlap existing road or FERC and the California State Lands fax (509) 375–0196. powerline rights-of-way. Commission are jointly preparing an The first 11.5 miles of the project are SUPPLEMENTARY INFORMATION: During Environmental Impact Statement and an in or adjacent to agricultural lands in this meeting, the Hanford Reach Environmental Impact Report (EIS/EIR) the Blythe and Palo Verde Valley areas. National Monument Federal Advisory that will analyze the environmental The alignment then parallels an electric Committee will hold introductions of impacts of the proposed project. An transmission line and Stallard Road on Committee Members and Alternates, amendment to the CDCA Plan is the Palo Verde Mesa from Mile Post Facilitators, and the Designated Federal required because part of the proposed (MP) 11.5 to MP 28. From MP 28 to MP Official. Introductory statements will be project is not within a CDCA designated 39 it parallels Highway 78, then from made by U.S. Department of the Interior Utility Corridor. An amendment to the MP 39 to MP 75 it parallels either an Fish and Wildlife Service and U.S. Yuma RMP is required because the electric transmission line or public Department of Energy authorities. The proposed project would cross portions roadways for all but about 5.4 miles, Committee will hear informational of the Milpitas Wash Natural Area, and across desert habitats. It crosses presentations about Presidential that plan does not allow for new Interstate 8 at MP 75, then parallels the Proclamation #7319, the Advisory utilities within this area. BLM will edge of sand dunes to its crossing of the Committee Charter, Department of attempt to use the EIS/EIR to consider All American Canal at MP 79.5 and its Energy requirements, and National the plan amendments. If the Plan(s) are termination in Mexico at MP 79.6. Wildlife Refuge System mandates and not amended, BLM may authorize The combined United States and organization. Additionally, the installation of the project within Mexico pipeline system is initially Committee will discuss groundrules, existing corridors only, or BLM may designed to carry 500 million cubic feet selection of a Committee Chair and deny the project if the existing corridor per day of natural gas. As designed, the process design. option does not prove feasible. The new pipeline system will serve existing
VerDate 11
and planned power plants in Mexico DEPARTMENT OF THE INTERIOR DEPARTMENT OF THE INTERIOR and in the United States that in turn serve electric power demand in National Park Service National Park Service northern Baja California, Mexico and western United States’ markets. Boston Harbor Islands Advisory Announcement of Subsistence Council; Notice of Meeting Resource Commission meeting The total project configuration, as proposed and including measures to Notice is hereby given in accordance AGENCY: National Park Service, Interior. avoid, minimize, or mitigate impacts on with the Federal Advisory Committee the environment, is being considered SUMMARY: The Superintendent of Cape along with several alternatives, Act (Pub. L. 92–463) that the Boston Krusenstern National Monument and including building the pipeline entirely Harbor Islands Advisory Council will Kobuk Valley National Park and the within existing corridors as designated meet on Wednesday, June 20, 2001. The Chairpersons of the Subsistence in the California Desert Conservation meeting will convene at 3 p.m. at the Resource Commissions for Cape Area Plan, and a ‘‘No Action’’ New England Aquarium Conference Krusenstern National Monument and alternative. Center, Central Wharf, Boston, MA. Kobuk Valley National Park announce a Dated: May 22, 2001. The Advisory Council was appointed forthcoming joint meeting of the Cape Krusenstern National Monument and MarLynn Spears, by the Director of National Park Service Kobuk Valley National Park Subsistence Acting Chief, Branch of Lands (CA–931). pursuant to Public Law 104–333. The 28 members represent business, Resource Commissions. The following [FR Doc. 01–14078 Filed 6–4–01; 8:45 am] educational/cultural, community and agenda items will be discussed: BILLING CODE 4310–40–M environmental entities; municipalities (1) SRC Chairs Welcome— surrounding Boston Harbor; Boston Introduction of commission members DEPARTMENT OF THE INTERIOR Harbor advocates; and Native American and guests. Review and approve agenda. interests. The purpose of the Council is (2) Review and approve minutes from National Park Service to advise and make recommendations to last meeting. the Boston Harbor Islands Partnership (3) SRC review of regional issues. Availability of the Final Maurice with respect to the development and National Scenic and Recreational River implementation of a management plan (4) SRC review Subsistence Hunting Comprehensive Management Plan and and the operation of the Boston Harbor Plan/and work session. Environmental Impact Statement Islands National Recreation Area. (5) Public and other agency comments. AGENCY: National Park Service, Interior. The Agenda for this meeting is as follows: (6) Identify agenda topics, set time ACTION: Notice of Availability of the and place of next SRC meeting. Final Maurice National Scenic and 1. Call to Order, Introductions of Recreational River Comprehensive Advisory Council members present (7) Adjournment. Management Plan and Environmental 2. Review and Approval of Minutes of DATES: The meeting will be held from Impact Statement. March meeting 10:00 a.m. to 5:00 p.m. on Wednesday 3. Update on Activites since the March June 6 and 9:30 a.m. to 5:00 p.m. on SUMMARY: The National Park Service has Meeting Thursday, June 7. If needed, the Chairs finalized the Comprehensive may schedule evening sessions. Management Plan and Environmental 4. Presenation of GMP status by NPS LOCATION: The meeting will be held at Impact Statement for the management, 5. Report from the Co-chairs protection, and use of the Maurice the U.S. Fish and Wildlife Service 6. Island Events this season National Scenic and Recreational River conference room in Kotzebue, Alaska. in New Jersey. Comments will be 7. Public Comment The U.S. Fish and Wildlife Service accepted for 30 days from the date of 8. Next Meeting Office in Kotzebue is located at 160 2nd this notice. Please be advised that, if Street, Telephone (907) 442–3799. 9. Adjourn requested, the National Park Service is FOR FURTHER INFORMATION CONTACT: required to supply the names and The meeting is open to the public. David W. Spirtes, Superintendent, P.O. addresses of individuals providing Further information concerning Council Box 1029, Kotzebue, Alaska 99752, comments. For more information about meetings may be obtained from the Telephone (907) 442–3890 or Ken this document, contact Mary Vavra, Superintendent, Boston Harbor Islands. Adkisson at (800) 471–2352 or 443– National Park Service Program Manager, Interested persons may make oral/ 2522. by letter or telephone: written presentations to the Council or SUPPLEMENTARY INFORMATION: The FOR FURTHER INFORMATION CONTACT: file written statements. Such requests Subsistence Resource Commissions are Mary Vavra, Program Manager, National should be made at least seven days prior authorized under Title VIII, section 808, Park Service, Philadelphia Support to the meeting to: Superintendent, Office, 200 Chestnut Street, 3rd Floor, Boston Harbor Islands NRA, 408 of the Alaska National Interest Lands Philadelphia, PA 19106, (215) 597– Atlantic Avenue, Boston, MA, 02110, Conservation Act, Public Law 96–487 9175. telephone (617) 223–8667. and operate in accordance with the provisions of the Federal Advisory Dated: March 25, 2001. May 17, 2001. Committees Act. Marie Rust, George E. Price, Jr., Robert L. Arnberger, Regional Director, Northeast Region, National Superintendent, Boston Harbor Islands NRA. Regional Director. Park Service. [FR Doc. 01–14069 Filed 6–4–01; 8:45 am] [FR Doc. 01–14066 Filed 6–4–01; 8:45 am] [FR Doc. 01–14067 Filed 6–4–01; 8:45 am] BILLING CODE 4310–70–P BILLING CODE 4310–70–M BILLING CODE 4310–70–P
VerDate 11
DEPARTMENT OF THE INTERIOR NORTH DAKOTA for the determinations within this Wells County notice. National Park Service A detailed assessment of the human Vang Evangelical Lutheran Church, 200 W. LeGrand St., Manfred, 01000674 remains was made by the University of National Register of Historic Places; Colorado Museum, Eastern New Mexico Notification of Pending Nominations OREGON University, Maxwell Museum of Nominations for the following Deschutes County Anthropology (University of New properties being considered for listing Old Town Historic District, Roughly bounded Mexico), New Mexico State University in the National Register were received by Arizona Ave., Wall St., Broadway, Museum, Museum of New Mexico, San by the National Park Service before May Franklin Ave., and Division St., Bend, Juan County Museum, and Bureau of 19, 2001. Pursuant to § 60.13 of 36 CFR 01000681 Land Management professional staff in consultation with representatives of the Part 60 written comments concerning PENNSYLVANIA the significance of these properties Hopi Tribe of Arizona; Navajo Nation, under the National Register criteria for Bedford County Arizona, New Mexico, and Utah; Pueblo evaluation may be forwarded to the Schellsburg Historic District, Approx. of Acoma, New Mexico; Pueblo of National Register, National Park Service, centered on Pitt St., Market and Baltimore Jemez, New Mexico; the Pueblo of Isleta, 1849 C St. NW., NC400, Washington, DC Sts., Schellsburg Borough, 01000677 New Mexico; Pueblo of San Ildefonso, 20240. Written comments should be Greene County New Mexico; Pueblo of Zia, New Mexico; and Zuni Tribe of the Zuni submitted by June 20, 2001. Cree, William, House, W side of PA 1011, 0.1 Reservation. Patrick W. Andrus, mi. N of PA 21, Jefferson Township, 01000678 In 1915, human remains representing Acting Keeper of the National Register of five individuals were recovered from an Historic Places. SOUTH CAROLINA undesignated archeological site in Charleston County ILLINOIS Gobernado Canyon, Rio Arriba County, Cook’s Old Field Cemetery, 0.5 mi. N of Rifle NM, during legally authorized Cook County Range Rd., Mt. Pleasant, 01000679 excavations and collections conducted Oak Circle Historic District, 318–351 Oak by Earl Morris, University of Colorado- SOUTH DAKOTA Circle, Wilmette, 01000668 Boulder, and the American Museum of Winnebago County Custer County Natural History, New York, NY. These human remains are presently curated at Indian Hill Manor and Farm Historic District, Grace Coolidge Memorial Log Building, 644 6901–7057 Kishwaukee Rd., Rockford, Crook St., Custer, 01000680 the University of Colorado Museum, 01000667 [FR Doc. 01–14068 Filed 6–4–01; 8:45 am] Boulder, CO. No known individuals were identified. No associated funerary BILLING CODE 4310–70–P LOUISIANA objects are present. St. Martin Parish Based on material culture, this Katie Plantation House, (Louisiana’s French DEPARTMENT OF THE INTERIOR Gobernador Canyon site has been Creole Architecture MPS), 1015 John D. identified as an Anasazi site occupied Hebert Dr., Breaux Bridge, 01000669 National Park Service between C.E. 700 and 1100. MASSACHUSETTS In 1975, human remains representing Notice of Inventory Completion for one individual were recovered from site Hampden County Native American Human Remains and LA 3686, San Juan County, NM, during Agawam Center Historic District, 24–196 Elm Associated Funerary Objects in the legally authorized excavations and St.; 551–1008 Main St., Agawam, 01000670 Control of the U.S. Department of the collections by the School of American NEW JERSEY Interior, Bureau of Land Management, Research, Santa Fe, NM. These human New Mexico State Office, Santa Fe, NM remains are presently curated at the Atlantic County AGENCY: National Park Service, Interior. Maxwell Museum of Anthropology at Weymouth Road Bridge, Weymouth Rd., the University of New Mexico. No ACTION: Notice Hamilton Township, 01000671 known individual was identified. No NEW YORK Notice is hereby given in accordance associated funerary objects are present. Based on material culture and site Columbia County with provisions of the Native American Graves Protection and Repatriation Act organization, site LA 3686 has been Reformed Dutch Church of Claverack, (NAGPRA), 43 CFR 10.9, of the identified as a small Anasazi pueblo (Claverack MPS), NY 9H, N of NY 23B, occupied between C.E. 1100 and 1300. Claverack, 01000673 completion of an inventory of human remains and associated funerary objects In 1989, human remains representing Delaware County in the control of the U.S. Department of one individual were recovered form site First Congregational Church and Society of the Interior, Bureau of Land LA 16660, San Juan County, NM, during Volney, (Freedom Trail, Abolitionism, and Management, New Mexico State Office, legally authorized excavations and African American Life in Central New York Santa Fe, NM. collections by the Office of Contract MPS), NY 3, Volney, 01000675 This notice is published as part of the Archeology, University of New Mexico. Wyoming County National Park Service’s administrative These human remains are presently Java School No. 1, NY 78, Java Village, responsibilities under NAGPRA, 43 CFR curated at the Maxwell Museum of 01000672 10.2 (c). The determinations within this Anthropology, University of New notice are the sole responsibility of the Mexico. No known individuals was NORTH CAROLINA museum, institution, or Federal agency identified. No associated funerary Guilford County that has control of these Native objects were present. Guilford College Historic District (Boundary American human remains and Based on material culture, Decrease), 5800 Friendly Ave., Greensboro, associated funerary objects. The architecture, and site organization, site 01000676 National Park Service is not responsible LA 16660 has been identified as a small
VerDate 11
Anasazi pueblo occupied between C.E. Pueblo of San Ildefonso, New Mexico; cone, indicate that the burial dates to 900 and 1300. Pueblo of San Juan, New Mexico; the late 17th to mid-18th centuries. The In 1979, human remains representing Pueblo of Taos, New Mexico; and age and style of the cultural items, one individual were recovered from site Pueblo of Zia, New Mexico may begin combined with historic records and oral LA 18800, San Juan County, NM, during after that date if no additional claimants tradition, suggest that the burial dates to legally authorized excavations come forward. a time when the Iliniwek (Peoria) and conducted by the Division of Dated: May 17, 2001. Ioway tribes occupied villages in the Conservation Archeology, San Juan immediate vicinity of the site. The John Robbins, County Museum. No known individual Iliniwek are represented by the Peoria was identified. The one associated Assistant Director, Cultural Resources Indian Tribe of Oklahoma. The Ioway Stewardship and Partnerships. funerary object is a pottery sherd. are represented by the Iowa Tribe of Based on consultation evidence and [FR Doc. 01–14075 Filed 6–4–01; 8:45 am] Kansas and Nebraska and the Iowa Tribe material culture, architecture, and site BILLING CODE 4310–70–F of Oklahoma. organization, site LA 18800 has been Based on the above-mentioned identified as a small Anasazi pueblo information, officials of the Peabody occupied between C.E. 900 and 1100. DEPARTMENT OF THE INTERIOR Museum of Archaeology and Ethnology Based on the above-mentioned National Park Service have determined that, pursuant to 43 information, officials of the Bureau of CFR 10.2 (d) (2), the 24 cultural items Land Management, New Mexico State Notice of Intent to Repatriate Cultural listed above are reasonably believed to Office have determined that, pursuant to Items from Adams County, IL, in the have been placed with or near 43 CFR 10.2 (d)(1), the human remains Possession of the Peabody Museum of individual human remains at the time of listed above represent the physical Archaeology and Ethnology, Harvard death or later as part of the death rite remains of eight individuals of Native University, Cambridge, MA of ceremony and are believed, by a American ancestry. Officials of the preponderance of evidence, to have Bureau of Land Management, New AGENCY: National Park Service, Interior. been removed from a specific burial site Mexico State Office also have ACTION: Notice. of a Native American individual. determined that, pursuant to 43 CFR Officials of the Peabody Museum of 10.2 (d)(2), the one object listed above Notice is hereby given in accordance Archaeology and Ethnology also have is reasonably believed to have been with provisions of the Native American determined that, pursuant to 43 CFR placed with or near individual human Graves Protection and Repatriation Act, 10.2 (e), there is a relationship of shared remains at the time of death or later as 43 CFR 10.10 (a) (3), of the intent to group identity that can be reasonably part of the death rite or ceremony. repatriate cultural items in the traced between these items and the Iowa Lastly, officials of the Bureau of Land possession of the Peabody Museum of Tribe of Kansas and Nebraska, Iowa Management, New Mexico State Office Archaeology and Ethnology, Harvard Tribe of Oklahoma, and Peoria Indian have determined that, pursuant to 43 University, Cambridge, MA, that meet Tribe of Oklahoma. CFR 10.2 (e), there is a relationship of the definition of ‘‘unassociated funerary This notice has been sent to officials shared group identity that can be objects’’ under Section 2 of the Act. of the Citizen Potawatomi Nation, reasonably traced between these Native This notice is published as part of the Oklahoma; Forest County Potawatomi American human remains and National Park Service’s administrative Community of Wisconsin Potawatomi associated funerary object and the responsibilities under NAGPRA, 43 CFR Indians, Wisconsin; Hannahville Indian Pueblo of Acoma, New Mexico; Hopi 10.2 (c). The determinations within this Community, Michigan; Ho-Chunk Tribe of Arizona; Pueblo of Jemez, New notice are the sole responsibility of the Nation of Wisconsin; Huron Mexico; Pueblo of San Ildefonso, New museum, institution, or Federal agency Potawatomi, Inc., Michigan; Iowa Tribe Mexico; Pueblo of San Juan, New that has control of these cultural items. of Kansas and Nebraska; Iowa Tribe of Mexico; Pueblo of Taos, New Mexico; The National Park Service is not Oklahoma; Kickapoo Traditional Tribe and Pueblo of Zia, New Mexico. This responsible for the determinations of Texas; Kickapoo Tribe of Indians of notice has been sent to officials of the within this notice. the Kickapoo Reservation in Kansas; Hopi Tribe of Arizona; Navajo Nation, The 24 cultural items include Kickapoo Tribe of Oklahoma; Match-e- Arizona, New Mexico, and Utah; Pueblo fragments of an animal skull, sandstone be-nash-she-wish Band of Pottawatomi of Acoma, New Mexico; Pueblo of abraders, wood, iron fragments, and a Indians of Michigan; Miami Tribe of Jemez, New Mexico; Pueblo of Isleta, copper or brass tinkling cone. These Oklahoma; Peoria Tribe of Indians of New Mexico; Pueblo of San Ildefonso, items were removed by Stephen D. Peet Oklahoma; Pokagon Band of New Mexico; Pueblo of Zia, New from the Ursa Mound Group (Larry Potawatomi Indians of Michigan, Prairie Mexico; Ysleta Del Sur Pueblo, Texas; Lewis Site, 11-A-24), Adams County, IL, Band of Potawatomi Indians, Kansas; and Zuni Tribe of the Zuni Reservation. in 1889. They were donated by Sac & Fox Nation of Missouri in Kansas Representatives of any other Indian tribe Reverend Peet to the Peabody Museum and Nebraska; Sac & Fox Nation, that believes itself to be culturally of Archaeology and Ethnology in 1889. Oklahoma; Sac and Fox Tribe of the affiliated with these human remains and Excavation records indicate that these Mississippi in Iowa; and Winnebago associated funerary object should items were found with a historic burial Tribe of Nebraska. Representatives of contact Stephen L. Fosberg, State that intruded into a prehistoric mound. any other Indian tribe that believes itself Archeologist and NAGPRA Coordinator, Museum documentation suggests that to be culturally affiliated with these New Mexico State Office, Bureau of the human remains from this burial objects should contact Barbara Isaac, Land Management, 1474 Rodeo Road, were sent to the museum, but cannot Repatriation Coordinator, Peabody Santa Fe, NM 87502-0115, telephone presently be isolated from human Museum of Archaeology and Ethnology, (505) 438-7415, before July 5, 2001. remains from other sites from Adams 11 Divinity Avenue, Cambridge, MA Repatriation of the human remains and County, IL. 02138, telephone (617) 495-2254, before associated funerary object to the Pueblo The cultural items from this burial, July 5, 2001. Repatriation of these of Acoma, New Mexico; Hopi Tribe of especially the sandstone abraders, iron cultural items to the Iowa Tribe of Arizona; Pueblo of Jemez, New Mexico; fragments, and copper/brass tinkling Kansas and Nebraska, Iowa Tribe of
VerDate 11
Oklahoma, and Peoria Indian Tribe of Based on the above-mentioned that has control of these Native Oklahoma may begin after that date if information, officials of the Phoebe A. American human remains and no additional claimants come forward. Hearst Museum of Anthropology have associated funerary objects. The Dated: May 14, 2001. determined that, pursuant to 43 CFR National Park Service is not responsible for the determinations within this John Robbins, 10.2 (d)(1), the human remains listed above represent the physical remains of notice. Assistant Director, Cultural Resources A detailed assessment of the human Stewardship and Partnerships. six individuals of Native American ancestry. Officials of the Phoebe A. remains was made by Phoebe A. Hearst [FR Doc. 01–14073 Filed 6–4–01; 8:45 am] Hearst Museum of Anthropology also Museum of Anthropology professional BILLING CODE 4310–70–F have determined that, pursuant to 43 staff in consultation with CFR 10.2 (e), there is a relationship of representatives of Barona Group of Capitan Grande Band of Mission Indians DEPARTMENT OF THE INTERIOR shared group identity that can be reasonably traced between these Native of the Barona Reservation, California; National Park Service American human remains and the Three Campo Band of Diegueno Mission Affiliated Tribes of the Fort Berthold Indians of the Campo Indian Notice of Inventory Completion for Reservation, North Dakota. This notice Reservation, California; Cuyapaipe Native American Human Remains and has been sent to officials of the Three Community of Diegueno Mission Associated Funerary Objects in the Affiliated Tribes of the Fort Berthold Indians of the Cuyapaipe Reservation, Possession of the Phoebe A. Hearst Reservation, North Dakota. California; Inaja Band of Diegueno Museum of Anthropology, University Representatives of any other Indian tribe Mission Indians of the Inaja and Cosmit of California-Berkeley, Berkeley, CA that believes itself to be culturally Reservation, California; Jamul Indian affiliated with these human remains Village of California; La Posta Band of AGENCY: National Park Service, Interior. should contact C. Richard Hitchcock, Diegueno Mission Indians of the La ACTION: Notice. Interim NAGPRA Coordinator, Phoebe Posta Indian Reservation, California; A. Hearst Museum of Anthropology, Manzanita Band of Diegueno Mission Notice is hereby given in accordance University of California, Berkeley, CA Indians of the Manzanita Reservation, with provisions of the Native American 94720, telephone (510) 643–7884, before California; Mesa Grande Band of Graves Protection and Repatriation Act July 5, 2001. Repatriation of the human Diegueno Mission Indians of the Mesa (NAGPRA), 43 CFR 10.9, of the remains to the Three Affiliated Tribes of Grande Reservation, California; San completion of an inventory of human the Fort Berthold Reservation, North Pasqual Band of Diegueno Mission remains and associated funerary objects Dakota may begin after that date if no Indians of California; Santa Ysabel Band in the possession of the Phoebe A. additional claimants come forward. of Diegueno Mission Indians of the Hearst Museum of Anthropology, Santa Ysabel Reservation, California; Dated: May 11, 2001. University of California-Berkeley, Sycuan Band of Diegueno Mission Berkeley, CA. John Robbins, Indians of California; Pala Band of This notice is published as part of the Assistant Director, Cultural Resources Luiseno Mission Indians of the Pala Stewardship and Partnerships. National Park Service’s administrative Reservation, California; Agua Caliente responsibilities under NAGPRA, 43 CFR [FR Doc. 01–14070 Filed 6–4–01; 8:45 am] Band of Cahuilla Indians of the Agua 10.2 (c). The determinations within this BILLING CODE 4310–70–F Caliente Indian Reservation, California; notice are the sole responsibility of the Cahuilla Band of Mission Indians of the Cahuilla Reservation, California; museum, institution, or Federal agency DEPARTMENT OF THE INTERIOR that has control of these Native Cabazon Band of Cahuilla Mission Indians of the Cabazon Reservation, American human remains and National Park Service associated funerary objects. The California; Los Coyotes Band of the Cahuilla Mission Indians of the Los National Park Service is not responsible Notice of Inventory Completion for Coyotes Reservation, California; for the determinations within this Native American Human Remains and Morongo Band of Cahuilla Mission notice. Associated Funerary Objects in the Indians of the Morongo Reservation, Possession of the Phoebe A. Hearst A detailed assessment of the human California; Ramona Band or Village of Museum of Anthropology, University remains was made by Phoebe A. Hearst Cahuilla Mission Indians of California; of California, Berkeley, CA Museum of Anthropology professional Santa Rosa Band of Cahuilla Mission staff in consultation with AGENCY: National Park Service, Interior. Indians of the Santa Rosa Reservation, representatives of the Three Affiliated ACTION: Notice. California; Torres-Martinez Band of Tribes of the Fort Berthold Reservation, Cahuilla Mission Indians of California; North Dakota. Notice is hereby given in accordance and Viejas (Baron Long) Group of Prior to 1904, human remains with provisions of the Native American Capitan Grande Band of Mission Indians representing at least six individuals Graves Protection and Repatriation Act of the Viejas Reservation, California. (Cat. 12-36—12-41) were purchased (NAGPRA), 43 CFR 10.9, of the During the 1930s, human remains from the Fred Harvey Company and completion of an inventory of human representing a minimum of one donated to the Phoebe A. Hearst remains and associated funerary objects individual (Cat.no. 12-11219) were Museum of Anthropology by Phoebe A. in the possession of the Phoebe A. recovered from site CA-SDi-NL-2, Hearst in 1904. No known individuals Hearst Museum of Anthropology, Borego Valley, San Diego County, CA, were identified. No associated funerary University of California, Berkeley, CA. by Happy Sharp. In 1940, Mr. Sharp objects are present. This notice is published as part of the donated these human remains to the Based on museum documentation, National Park Service’s administrative Phoebe A. Hearst Museum of these individuals have been identified responsibilities under NAGPRA, 43 CFR Anthropology. No known individual as Mandan from North Dakota. There is 10.2 (c). The determinations within this was identified. The 73 associated no existing information to contradict the notice are the sole responsibility of the funerary objects (Cat.no. 1-64357) are museum documentation. museum, institution, or Federal agency pottery sherds and shell fragments.
VerDate 11
Based on manner of interment and the 73 objects listed above are reasonably Jamul Indian Village of California; La associated funerary objects, this believed to have been placed with or Posta Band of Diegueno Mission Indians individual has been identified as Native near individual human remains at the of the La Posta Indian Reservation, American. Based on strong geographical time of death or later as part of the death California; Manzanita Band of Diegueno evidence, linguistic evidence, and rite or ceremony. Lastly, officials of the Mission Indians of the Manzanita manner of interment (cremation is Phoebe A. Hearst Museum have Reservation, California; Mesa Grande generally a post-A.D. 1400 practice in determined that, pursuant to 43 CFR Band of Diegueno Mission Indians of this area), the preponderance of the 10.2 (e), there is a relationship of shared the Mesa Grande Reservation, evidence indicates cultural affiliation group identity that can be reasonably California; San Pasqual Band of between these human remains and traced between these Native American Diegueno Mission Indians of California; associated funerary objects and the human remains and associated funerary Santa Ysabel Band of Diegueno Mission Barona Group of Capitan Grande Band objects and the Barona Group of Capitan Indians of the Santa Ysabel Reservation, of Mission Indians of the Barona Grande Band of Mission Indians of the California; Sycuan Band of Diegueno Reservation, California; Campo Band of Barona Reservation, California; Campo Mission Indians of California; Pala Band Diegueno Mission Indians of the Campo Band of Diegueno Mission Indians of of Luiseno Mission Indians of the Pala Indian Reservation, California; the Campo Indian Reservation, Reservation, California; Agua Caliente Cuyapaipe Community of Diegueno California; Cuyapaipe Community of Band of Cahuilla Indians of the Agua Mission Indians of the Cuyapaipe Diegueno Mission Indians of the Caliente Indian Reservation, California; Reservation, California; Inaja Band of Cuyapaipe Reservation, California; Inaja Cahuilla Band of Mission Indians of the Diegueno Mission Indians of the Inaja Band of Diegueno Mission Indians of and Cosmit Reservation, California; the Inaja and Cosmit Reservation, Cahuilla Reservation, California; Jamul Indian Village of California; La California; Jamul Indian Village of Cabazon Band of Cahuilla Mission Posta Band of Diegueno Mission Indians California; La Posta Band of Diegueno Indians of the Cabazon Reservation, of the La Posta Indian Reservation, Mission Indians of the La Posta Indian California; Los Coyotes Band of the California; Manzanita Band of Diegueno Reservation, California; Manzanita Band Cahuilla Mission Indians of the Los Mission Indians of the Manzanita of Diegueno Mission Indians of the Coyotes Reservation, California; Reservation, California; Mesa Grande Manzanita Reservation, California; Mesa Morongo Band of Cahuilla Mission Band of Diegueno Mission Indians of Grande Band of Diegueno Mission Indians of the Morongo Reservation, the Mesa Grande Reservation, Indians of the Mesa Grande Reservation, California; Ramona Band or Village of California; San Pasqual Band of California; San Pasqual Band of Cahuilla Mission Indians of California; Diegueno Mission Indians of California; Diegueno Mission Indians of California; Santa Rosa Band of Cahuilla Mission Santa Ysabel Band of Diegueno Mission Santa Ysabel Band of Diegueno Mission Indians of the Santa Rosa Reservation, Indians of the Santa Ysabel Reservation, Indians of the Santa Ysabel Reservation, California; Torres-Martinez Band of California; Sycuan Band of Diegueno California; Sycuan Band of Diegueno Cahuilla Mission Indians of California; Mission Indians of California; Pala Band Mission Indians of California; Pala Band and Viejas (Baron Long) Group of of Luiseno Mission Indians of the Pala of Luiseno Mission Indians of the Pala Capitan Grande Band of Mission Indians Reservation, California; Agua Caliente Reservation, California; Agua Caliente of the Viejas Reservation, California. Band of Cahuilla Indians of the Agua Band of Cahuilla Indians of the Agua Representatives of any other Indian tribe Caliente Indian Reservation, California; Caliente Indian Reservation, California; that believes itself to be culturally Cahuilla Band of Mission Indians of the Cahuilla Band of Mission Indians of the affiliated with these human remains and Cahuilla Reservation, California; Cahuilla Reservation, California; associated funerary objects should Cabazon Band of Cahuilla Mission Cabazon Band of Cahuilla Mission Indians of the Cabazon Reservation, contact C. Richard Hitchcock, Interim Indians of the Cabazon Reservation, NAGPRA Coordinator, Phoebe A. Hearst California; Los Coyotes Band of the California; Los Coyotes Band of the Museum of Anthropology, University of Cahuilla Mission Indians of the Los Cahuilla Mission Indians of the Los California, Berkeley, CA 94720, Coyotes Reservation, California; Coyotes Reservation, California; Morongo Band of Cahuilla Mission Morongo Band of Cahuilla Mission telephone (510) 643-7884, before July 5, Indians of the Morongo Reservation, Indians of the Morongo Reservation, 2001. Repatriation of the human California; Ramona Band or Village of California; Ramona Band or Village of remains and associated funerary objects Cahuilla Mission Indians of California; Cahuilla Mission Indians of California; to the culturally affiliated tribes may Santa Rosa Band of Cahuilla Mission Santa Rosa Band of Cahuilla Mission begin after that date if no additional Indians of the Santa Rosa Reservation, Indians of the Santa Rosa Reservation, claimants come forward. California; Torres-Martinez Band of California; Torres-Martinez Band of Dated: May 17, 2001. Cahuilla Mission Indians of California; Cahuilla Mission Indians of California; John Robbins, and Viejas (Baron Long) Group of and Viejas (Baron Long) Group of Assistant Director, Cultural Resources Capitan Grande Band of Mission Indians Capitan Grande Band of Mission Indians Stewardship and Partnerships. of the Viejas Reservation, California. of the Viejas Reservation, California. Based on the above-mentioned This notice has been sent to officials of [FR Doc. 01–14074 Filed 6–4–01; 8:45 am] information, officials of the Phoebe A. the Barona Group of Capitan Grande BILLING CODE 4310–70–F Hearst Museum of Anthropology have Band of Mission Indians of the Barona determined that, pursuant to 43 CFR Reservation, California; Campo Band of 10.2 (d)(1), the human remains listed Diegueno Mission Indians of the Campo above represent the physical remains of Indian Reservation, California; a minimum of one individual of Native Cuyapaipe Community of Diegueno American ancestry. Officials of the Mission Indians of the Cuyapaipe Phoebe A. Hearst Museum of Reservation, California; Inaja Band of Anthropology also have determined Diegueno Mission Indians of the Inaja that, pursuant to 43 CFR 10.2 (d)(2), the and Cosmit Reservation, California;
VerDate 11
DEPARTMENT OF THE INTERIOR Hearst Museum of Anthropology also In 1965, human remains representing have determined that, pursuant to 43 one individual were recovered from the National Park Service CFR 10.2 (e), there is a relationship of Larson Village site (32BL9) on the bluff shared group identity that can be of the Missouri River, Burleigh County, Notice of Inventory Completion for reasonably traced between these Native near Bismark, ND, and donated to the Native American Human Remains and American human remains and the Sioux City Public Museum by Mrs. J. Associated Funerary Objects in the Karuk Tribe of California. This notice Rodder. No known individual was Possession of the Phoebe A. Hearst has been sent to officials of the Karuk Museum of Anthropology, University identified. No associated funerary Tribe of California. Representatives of objects are present. of California-Berkeley, Berkeley, CA any other Indian tribe that believes itself Excavation data show that the Larson AGENCY: National Park Service, Interior. to be culturally affiliated with these human remains should contact C. Village site was a Mandan village ACTION: Notice. Richard Hitchcock, Interim NAGPRA occupied between C.E. 1600 and 1780. Notice is hereby given in accordance Coordinator, Phoebe A. Hearst Museum Based on the above-mentioned with provisions of the Native American of Anthropology, University of information, officials of the Sioux City Graves Protection and Repatriation Act California, Berkeley, CA 94720, Public Museum have determined that, (NAGPRA), 43 CFR 10.9, of the telephone (510) 643-7884, before July 5, pursuant to 43 CFR 10.2 (d)(1), the completion of an inventory of human 2001. Repatriation of the human human remains listed above represent remains and associated funerary objects remains to the Karuk Tribe of California the physical remains of one individual in the possession of the Phoebe A. may begin after that date if no of Native American ancestry. Officials of Hearst Museum of Anthropology, additional claimants come forward. the Sioux City Public Museum also have University of California-Berkeley, Dated: May 11, 2001. determined that, pursuant to 43 CFR Berkeley, CA. John Robbins, 10.2 (e), there is a relationship of shared This notice is published as part of the Assistant Director, Cultural Resources group identity that can be reasonably National Park Service’s administrative Stewardship and Partnerships. traced between these Native American responsibilities under NAGPRA, 43 CFR [FR Doc. 01–14071 Filed 6–4–01; 8:45 am] human remains and the Three Affiliated 10.2 (c). The determinations within this BILLING CODE 4310–70–F Tribes of the Fort Berthold Reservation, notice are the sole responsibility of the North Dakota. museum, institution, or Federal agency On May 18, 1994, these human that has control of these Native DEPARTMENT OF THE INTERIOR American human remains and remains were repatriated to Sebastian associated funerary objects. The National Park Service (Bronco) LeBeau on behalf of the National Park Service is not responsible Cheyenne River Sioux Tribe of the for the determinations within this Notice of Inventory Completion for Cheyenne River Reservation, South notice. Native American Human Remains and Dakota. Questions or concerns related to A detailed assessment of the human Associated Funerary Objects in the the repatriation of the human remains remains was made by Phoebe A. Hearst Control of the Sioux City Public described in this notice can be directed Museum of Anthropology professional Museum, Sioux City, IA to Sebastian (Bronco) LeBeau, Cultural staff in consultation with AGENCY: National Park Service, Interior. Preservation Officer, Cheyenne River representatives of the Karuk Tribe of ACTION: Notice. Sioux Tribe, P.O. Box 590, Eagle Butte, California. SD 57625, telephone (605) 964– In 1939, human remains representing Notice is hereby given in accordance 4155.This notice has been sent to at least one individual (Cat. 12–5990) with provisions of the Native American officials of the Cheyenne River Sioux were recovered from site CA-Hum-NL- Graves Protection and Repatriation Act Tribe of the Cheyenne River 12, Humboldt County, CA, and were (NAGPRA), 43 CFR 10.9, of the Reservation, South Dakota; and the donated to the Phoebe A. Hearst completion of an inventory of human Three Affiliated Tribes of the Fort Museum of Anthropology by W.E. remains and associated funerary objects Berthold Reservation, North Dakota. Schenck and E.W. Gifford. No known in the control of the Sioux City Public Representatives of any other Indian tribe individual was identified. No associated Museum, Sioux City, IA. that believes itself to be culturally funerary objects are present. This notice is published as part of the affiliated with these human remains Based on the condition of these National Park Service’s administrative should contact Mr. Daniel Truckey, human remains, this individual has responsibilities under NAGPRA, 43 CFR NAGPRA Representative, Sioux City been identified as Native American. 10.2(c). The determinations within this Based on geographic and linguistic notice are the sole responsibility of the Public Museum, 2901 Jackson Street, evidence, these human remains have museum, institution, or Federal agency Sioux City, IA 51104-3697, telephone been affiliated with the Karuk Tribe of that has control of these Native (712) 224-5001, before July 5, 2001. California. Museum records indicate American human remains and Dated: May 11, 2001. that these human remains were found associated funerary objects. The John Robbins, near Chinach, an important Karuk National Park Service is not responsible Assistant Director, Cultural Resources ethnographic village site. for the determinations within this Stewardship and Partnerships. Based on the above-mentioned notice. [FR Doc. 01–14072 Filed 6–4–01; 8:45 am] information, officials of the Phoebe A. A detailed assessment of the human Hearst Museum of Anthropology have remains was made by Sioux City Public BILLING CODE 4310–70–F determined that, pursuant to 43 CFR Museum professional staff in 10.2 (d)(1), the human remains listed consultation with representatives of the above represent the physical remains of Cheyenne River Sioux Tribe of the one individual of Native American Cheyenne River Reservation, South ancestry. Officials of the Phoebe A. Dakota.
VerDate 11
DEPARTMENT OF JUSTICE FOR FURTHER INFORMATION CONTACT: Noramco also states that existing Helen Farmer, Hearing Clerk, Drug manufacturers of bulk narcotic Drug Enforcement Administration Enforcement Administration, Office of substances are producing an adequate Administrative Law Judges, and uninterrupted supply under [Docket No. 01–3] Washington, DC 20537; Telephone (202) adequately competitive conditions, that 307–8188. Penick’s troubled financial history Penick Corp., Newark, New Jersey; raises concerns regarding its ability to Summary of Comments and Objections Notice of Administrative Hearing, manufacture narcotic substances in a Summary of Comments and Mallinckrodt’s Comments manner consistent with the public Objections; Notice of Hearing Mallinckrodt states that Penick has interest, and that Penick will have to This Notice of Administrative not manufactured controlled substances demonstrate that it can effectively Hearing, Summary of Comments and for the last ten years and is now owned control diversion. Additionally, Objections, regarding the application of by a company with no experience in Noramco asserts that Penick’s Penick Corporation (Penick) for controlled substance manufacturing or management intends to fund the registration as an importer of the importation, that consequently Penick business with a sum that is inadequate Schedule II controlled substances coca would likely be wasteful in to the task of starting and maintaining leaves, raw opium, poppy straw, and manufacturing opiate based products, a viable narcotic raw material import poppy straw concentrate is published and that the ability of current registrants and bulk manufacturing business. pursuant to 21 CFR 1301.34(a). On to provide and maintain an adequate Organichem’s Comments August 18, 200, notice was published in and uninterrupted supply of controlled Organichem states that Penick’s the Federal Register, 65 FR 50568 (DEA substances would be undermined. financial difficulties have prevented it 2000), stating that Penick has applied to Mallinckrodt contends that it, unlike from heretofore operating successfully, be registered as an importer of coca Penick, has taken significant efforts to that it should be required to comply leaves, raw opium, poppy straw, and maintain adequate and uninterrupted with current DEA security requirements, poppy straw concentrate. supplies of active pharmaceutical and that it should also be required to Both Noramco of Delaware, Inc. ingredients. demonstrate that it can meet current (Noramco), and Mallinckrodt, Inc. Mallinckrodt further asserts that the Food and Drug Administration, (Mallinckrodt), timely filed comments United States is obligated to limit the environmental, and international and objections to and requested a international shipment of narcotics to standards. hearing on Penick’s application. the minimum to meet medical and Organichem further asserts that Organichem Corporation (Organichem) scientific needs, and that inasmuch as Penick should be required to filed comments on Penick’s application. the current registrants can adequately demonstrate that it has the financial Notice is hereby given that a hearing supply those needs, it is inconsistent resources necessary to finance with respect to Penick’s application to with the United States’ treaty production and a business plan be registered as an importer of raw obligations under the Single Convention adequate to establish and maintain a opium and of poppy straw concentrate on Narcotic Drugs to register Penick to profitable business. will be conducted pursuant to the import raw opium and poppy straw provisions of 21 U.S.C. 952(a) and 958 concentrate. Dated: May 29, 2001. and 21 CFR 1301.34. Mallinckrodt also states that Penick Donnie R. Marshall, has a history of ‘‘marginal compliance’’ Administrator, Drug Enforcement Hearing Date with DEA regulations, and that if it Administration. The hearing will begin at 9:30 a.m. on resumes manufacturing controlled [FR Doc. 01–14114 Filed 6–4–01; 8:45 am] July 9, 2001, and will be held at the substances it will be unable to comply BILLING CODE 4410–09–M Drug Enforcement Administration with Environmental Protection Agency Headquarters, 600 Army Navy Drive, and Food and Drug Administration Hearing Room, Room E–2103, requirements. Mallinckrodt contends DEPARTMENT OF LABOR Arlington, Virginia. The hearing will be that competition among domestic closed to any person not involved in the manufacturers is adequate, that Employment and Training preparation or presentation of the case. registering Penick will not enhance Administration competition, and that any difference Notice of Appearance ETA–9016 Report on Alien Claimant between domestic and foreign prices of Activity; Comment Request Any person entitled to participate in relevant substances reflects the this hearing pursuant to 21 CFR regulations and policies faced by ACTION: Notice; request for comments 1301.34, and desiring to do so, may domestic producers. Finally, participate by filing a notice of intention Mallinckrodt states that Penick’s lack of SUMMARY: The Department of Labor, as to participate, in triplicate, and in adequate manufacturing facilities part of its continuing effort to reduce accordance with 21 CFR 1301.34, with indicates that it is not capable of paperwork and respondent burden, the Hearing Clerk, Office of maintaining effective controls against conducts a preclearance consultation Administrative Law Judges, Drug diversion. program to provide the general public Enforcement Administration, and Federal agencies with an Washington, DC 20537, within 30 days Noramco’s Comments opportunity to comment on proposed of the date of publication of this notice Noramco asserts that because Penick and/or continuing collections of in the Federal Register. Each notice of has not produced significant quantities information in accordance with a appearance must be in the form of bulk narcotic substances since 1991, provision of the Paperwork Reduction prescribed in 21 CFR 1316.48. Penick, it will be difficult for Penick to produce Act of 1995 at 44 U.S.C. 3506(c)(2)(A). Noramco, Mallinckrodt, and DEA Office these materials as efficiently as existing This program helps to ensure that of Chief Counsel need not file a notice registrants, thereby aggravating the long- requested data can be provided in the of intention to participate. term shortage of narcotics raw materials. desired format, reporting burdens (time
VerDate 11
and financial resources) are minimized, for the proper performance of the • Denials resulting from the collection instruments are clearly functions of the agency, including nonmonetary determinations on the understood, and the impact of collection whether the information will have alien issue. requirements on respondents can be practical utility; The effectiveness of the SAVE • Evaluate the accuracy of the properly assessed. Currently, the verification process is well established. agency’s estimate of the burden of the Employment and Training For the year 2000, it is estimated that Administration is soliciting comments proposed collection of information, over $24 million was realized by concerning the proposed revision/ including the validity of the identifying and denying benefits to extention for collection of the ETA– methodology and assumptions used; ineligible aliens through the SAVE 9016 Report on Alien Claimant Activity. • Enhance the quality, utility, and A copy of the proposed information clarity of the information to be process. The total savings for the past 10 collection request can be obtained by collected; and years is estimated at over $100 million. contacting the office listed below in the • Minimize the burden of the Thus, it is no longer deemed necessary addressee section of this notice. collection of information on those who to justify use of the SAVE process on a national basis. DATES: Written comments must be are to respond, including through the submitted to the office listed in the use of appropriate automated, Consolidation of the reporting items addressee’s section below on or before electronic, mechanical, or other on nonmonetary determinations will August 6, 2001. technological collection techniques or eliminate the distinction between issues other forms of information technology, ADDRESSES: Office of Workforce detected through the SAVE process and e.g., permitting electronic submissions Security, Employment and Training issues detected through other means, as of responses. Administration, U.S. Department of will consolidation of the reporting items Labor, Attn: Bob Whiting, Room S– III. Current Actions on denials. The Department of Labor believes that this will simplify the 4522, 200 Constitution Avenue NW, In the year 2000, over 1.172 million Washington, DC 20210. Telephone UI claimants were identified by the reporting process by reducing the number: (202) 693–3215 (this is not a SESAs as aliens, constituting almost burden, with no corresponding loss of toll-free number). Fax: (202) 693–3229. eight percent of UI claims taken in the the Department of Labor’s ability to E-mail: [email protected]. nation. Continued collection of the evaluate the effectiveness and cost SUPPLEMENTARY INFORMATION: ETA–9016 data will provide for a efficiency of the SAVE process in the individual SESAs. I. Background comprehensive evaluation of alien claims activity. The data is collected Type of Review: Revision. The ETA–9016 Report is used by the quarterly, and an analysis of the data is Department of Labor to assess whether Agency: Employment and Training made for each one-year period. The Administration. (and the extent to which) the most recent analysis identified concerns requirements of the Immigration and with the consistency of the Title: Alien Claims Activity Report. Naturalization Service (INS), Systematic interpretation of the reporting OMB Number: 1205–0268. Alien Verification for Entitlement instructions among the SESAs, each of Agency Number: ETA–9016. (SAVE) system are cost-effective and whom must apply the instructions to otherwise appropriate for the claimstaking procedures that vary Affected Public: State Governments. Unemployment Insurance (UI) program. significantly. In order to encourage more Total Respondents: 53 State Agencies. In addition, data from the Alien Claims consistency in the reporting by the Frequency: Quarterly. Activity report is being used to assist SESAs, changes are being proposed that the Secretary of Labor in determining will simplify the reporting and decrease Total Responses: 212. whether a State Employment Security the burden. Average Time per Response: 1 hour. Agency’s administrative costs associated Currently, seven items are reported on with the verification program are Estimated Total Burden Hours: 212 the ETA–9016 Report: hours. reasonable and reimbursable. There is 1. Initial claims where claimant is not no other report or system available for a citizen. Total Burden Cost (capital/startup): collecting this required information. 2. Number of claimants verified $10,200 which is a one time cost of The report allows the Department of through the INS designated automated reprogramming the State systems. Labor to determine the number of aliens system. Total Burden Cost (operating/ filing for UI, the number of benefit 3. Number of secondary (mail) maintaining): $5300 which is allowable issues detected, the denials of benefits verifications through the INS. cost under the administrative grants to aliens, the extent to which State 4. Nonmonetary determinations awarded to States by the Federal Agencies use the system, and the overall resulting from the verification in items government. effectiveness and cost efficiency of the number 2 and/or 3. verification system. If SESAs are not 5. Denials resulting from issues in Comments submitted in response to required to submit the information on item number 4. this comment request will be the Alien Claims Activity Report, the 6. Nonmonetary determinations on summarized and/or included in the Department of Labor would not be able the alien issue not a result of request for Office of Management and to fulfill its responsibilities to assess the verification through the INS designated Budget approval of the information SAVE system. automated system or secondary INS collection request; they will also verification. become a matter of public record. II. Review Focus 7. Denials resulting from issues in Dated: May 29, 2001. The Department of Labor is item number 6. ETA proposes to Cheryl Atkinson, particularly interested in comments consolidate items 4–7 into two items as which: follows: Director, Office of Income Support. • Evaluate whether the proposed • Nonmonetary determinations on the [FR Doc. 01–14096 Filed 6–4–01; 8:45 am] collection of information is necessary alien issue. BILLING CODE 4510–30–P
VerDate 11
DEPARTMENT OF LABOR dust. The petitioner asserts that the device instead of padlocks on mobile proposed alternative method would battery-powered machines to prevent Mine Safety and Health Administration provide at least the same measure of the plug connector from accidently protection as the existing standard. disengaging while under load. Warning Petitions for Modification tags stating ‘‘Do Not Disengage Plugs 4. Bowie Resources Limited The following parties have filed Under Load’’ will be placed on all petitions to modify the application of [Docket No. M–2001–029–C] battery connectors on the battery- existing safety standards under section Bowie Resources Limited, PO Box powered equipment. The petitioner 101(c) of the Federal Mine Safety and 483, Paonia, Colorado 81428 has filed a states that all persons who operate or Health Act of 1977. petition to modify the application of 30 maintain battery-powered machines will CFR 75.1726(a) (performing work from a be instructed on the safe practices and 1. Fork Creek Mining Company raised position; safeguards) to its Bowie provisions for compliance with this [Docket No. M–2001–026–C] No. 2 Mine (I.D. No. 05–04591) located proposed alternative method. The Fork Creek Mining Company, PO Box in Delta County, Colorado. The petitioner asserts that application of the 24, Alum Creek, West Virginia 25003 petitioner requests a modification of the existing standard would result in a has filed a petition to modify the existing standard to permit the use of diminution of safety to the miners and application of 30 CFR 75.350 (belt modified diesel powered L.H.D.’s or that the proposed alternative method haulage entries) to its Tiny Creek No. 2 scoops as elevated mobile work would provide at least the same Mine (I.D. No. 46–08835) located in platforms at the Bowie No. 2 Mine. The measure of protection as the existing Lincoln County, West Virginia. The petitioner asserts that the proposed standard. petitioner proposes to use belt air to alternative method would provide at 7. Aracoma Coal Company, Inc. ventilate active working places. The least the same measure of protection as petitioner proposes to install a carbon the existing standard. [Docket No. M–2001–032–C] Aracoma Coal Company, Inc., PO Box monoxide monitoring system as an early 5. Independence Coal Company, Inc. warning fire detection system in all belt 470, Stollings, West Virginia 25646 has entries used to carry intake air to a [Docket No. M–2001–030–C] filed a petition to modify the working place. The petitioner asserts Independence Coal Company, HC 78 application of 30 CFR 75.503 that the proposed alternative method Box 1800, Madison, West Virginia (permissible electric face equipment; would provide at least the same 25130 has filed a petition to modify the maintenance) and 18.41(f) (plug and measure of protection as the existing application of 30 CFR 75.503 receptacle-type connectors) to its standard. (permissible electric face equipment; Hernshaw Mine (I.D. No. 46–08802) maintenance) and 30 CFR 18.41(f) (plug located in Logan County, West Virginia. 2. Eighty-Four Mining Company and receptacle-type connectors) to its The petitioner proposes to use a [Docket No. M–2001–027–C] Allegiance Mine (I.D. No. 46–08735), threaded ring and a spring loaded Eighty-Four Mining Company, Consol Jacks Branch Buffalo Creek Mine (I.D. device instead of padlocks on battery Plaza, 1800 Washington Road, No. 46–08513), Justice #1 Mine (I.D. No. connectors on mobile battery-powered Pittsburgh, Pennsylvania 15241–1421 46–07273), Twilight Chilton R Mine machines used inby the last open has filed a petition to modify the (I.D. No. 46–08513) located in Boone crosscut to prevent the plug connector application of 30 CFR 75.312(c) and (d) County, West Virginia; and Cedar Grove from accidently disengaging while (main mine fan examinations and Mine (I.D. No. 46–08603), Shumate under load. Warning tags stating ‘‘Do records) to its Mine 84 (I.D. No. 36– Powellton Mine (I.D. No. 46–08492), Not Disengage Plugs Under Load’’ will 00958) located in Washington County, Shumate Upper Cedar Grove Mine (I.D. be placed on all battery connectors on Pennsylvania. The petitioner proposes No. 46–08497), and Tunnel Mine (I.D. the battery-powered equipment. The to test automatic closing doors and the No. 46–08655) located in Raleigh petitioner states that all persons who automatic fan signal devices at least County, West Virginia. The petitioner operate or maintain battery-powered every 31 days without shutting down proposes to use a permanently installed machines will be instructed on the safe the fan and without removing miners spring-loaded device instead of a practices and provisions for compliance from the mine to eliminate the hazards padlock on mobile battery-powered with this proposed alternative method. associated with shutting the fan down. equipment to prevent unintentional The petitioner asserts that application of The petitioner asserts that the proposed loosening of battery plugs from battery the existing standard would result in a alternative method would provide at receptacles. The petitioner asserts that diminution of safety to the miners and least the same measure of protection as the proposed alternative method would that the proposed alternative method the existing standard. provide at least the same measure of would provide at least the same protection as the existing standard. measure of protection as the existing 3. DLR Mining, Inc. standard. 6. Aracoma Coal Company, Inc. [Docket No. M–2001–028–C] 8. American Energy Corporation DLR Mining, Inc., 3065 Airport Road, [Docket No. M–2001–031–C] Indiana, Pennsylvania 15701 has filed a Aracoma Coal Company, Inc., PO Box [Docket No. M–2001–033–C] petition to modify the application of 30 470, Stollings, West Virginia 25646 has American Energy Corporation, Post CFR 75.1100–2(e)(2) (quantity and filed a petition to modify the Office Box 5, Alledonia, Ohio 43902 has location of firefighting equipment) to its application of 30 CFR 75.503 filed a petition to modify the Nolo Mine (I.D. No. 36–08850) located (permissible electric face equipment; application of 30 CFR 75.350 (air in Indiana County, Pennsylvania. The maintenance) and 18.41(f) (plug and courses and belt haulage entries) to its petitioner proposes to use two (2) fire receptacle-type connectors) to its Century Mine (I.D. No. 33–01070) extinguishers or one fire extinguisher of Hernshaw Mine (I.D. No. 46–08802) located in Belmont County, Ohio. The twice the required capacity at all located in Logan County, West Virginia. petitioner proposes to use air coursed temporary electrical installations The petitioner proposes to use a through belt haulage entries to ventilate instead of using 240 pounds of rock threaded ring and a spring-loaded active working places. The petitioner
VerDate 11
proposes to install a carbon monoxide application of 30 CFR 75.701 (grounding 14. Black Beauty Coal Company monitoring system as an early warning metallic frames, casings, and other [Docket No. M–2001–039–C] fire detection system in all belt entries enclosures of electric equipment) to its Black Beauty Coal Company, 801 used to course intake air to a working Foidel Creek Mine (I.D. No. 05–03836) Laidley Tower, P.O. Box 1233, place. The petitioner asserts that the located in Routt County, Colorado. The Charleston, West Virginia 25324–1233 proposed alternative method would petitioner requests a modification of the has filed a petition to modify the provide at least the same measure of existing standard to permit an application of 30 CFR 75.1002 (location protection as the existing standard. alternative method of compliance for of trolley wires, trolley feeder wires, 9. Newtown Energy, Inc. grounding of its diesel generator to high-voltage cables and transformers) to provide power to electric powered its Riola #1 Mine (I.D. No. 11–02971) [Docket No. M–2001–034–C] equipment used to travel through the located in Vermilion County, Illinois. Newtown Energy, Inc., 13905 mine and to haul equipment and The petitioner requests that the MacCorkle Avenue, One Carbon Center, supplies. The petitioner proposes to proposed decision and order (PDO) for Suite 200, Chesapeake, West Virginia ground the portable generator to a low its previously granted petition M–2000– 25315 has filed a petition to modify the ground field and incorporate a ground 138–C be amended. The petitioner’s application of 30 CFR 75.503 fault system for the power circuits that request is to change paragraph 1 to (permissible electric face equipment; paragraph 1a, and add paragraph 1b to maintenance) and 30 CFR 18.41(f) (plug would deenergize the mining equipment if a phase to frame fault occurs. The read as follows: An onboard mounted and receptacle-type connectors) to its 480-volt to 2,400-volt transformer may Eagle Mine No. 1 (I.D. No. 46–08759) petitioner asserts that the proposed alternative method would provide at be used when the miner is trammed located in Kanawha County, West into, out of, or around the mine using least the same measure of protection as Virginia. The petitioner proposes to use specific procedures outlined in the the existing standard. permanently installed spring-loaded petition; to add specific criteria to be devices instead of padlocks on battery 12. Left Fork Mining Company, Inc. met in paragraph 16b; to add language plugs on mobile battery-powered at the end of paragraph 25; to amend machines to prevent the threaded ring [Docket No. M–2001–037–C] paragraph 28 to allow functional test to from unintentional loosening while Left Fork Mining Company, Inc., P.O. be conducted weekly instead of at the under load. Warning tags stating ‘‘Do Box 405, Arjay, Kentucky 40902 has start of each production shift; to add Not Disengage Plugs Under Load’’ will filed a petition to modify the language to paragraph 32; and add be placed on all battery connectors on application of 30 CFR 75.380(i)(2) paragraph 34. The petitioner asserts that the battery-powered equipment. The (escapeways; bituminous and lignite the proposed alternative method would petitioner states that all persons who mines) to its Straight Creek #1 Mine provide at least the same measure of operate or maintain battery-powered protection as the existing standard. machines will be instructed on the safe (I.D. No. 15–12564) located in Bell practices and provisions for compliance County, Kentucky. The petitioner 15. Peabody Coal Company with this proposed alternative method. proposes to use a manually operated [Docket No. M–2001–040–C] The petitioner asserts that the proposed hoist as a mechanical means of escape Peabody Coal Company, 801 Laidley alternative method would provide at in its secondary escapeway. The Tower, P.O. Box 1233, Charleston, West least the same measure of protection as petitioner asserts that the proposed Virginia 25324–1233 has filed a petition the existing standard. alternative method would provide at to modify the application of 30 CFR least the same measure of protection as 10. Twentymile Coal Company 75.1002 (location of trolley wires, the existing standard. trolley feeder wires, high-voltage cables [Docket No. M–2001–035–C] 13. Faith Coal Sales, Inc. and transformers) to its Highland Mine Twentymile Coal Company, One (I.D. No. 15–02709) located in Union Oxford Centre, 301 Grant Street, 20th [Docket No. M–2001–038–C] County, Kentucky. The petitioner Floor, Pittsburgh, Pennsylvania 15219 Faith Coal Sales, Inc., P.O. Box 69, proposes to use high-voltage (2,400) has filed a petition to modify the Regina, Kentucky 41559 has filed a trailing cables at the working application of 30 CFR 75.901 (protection petition to modify the application of 30 continuous miner section(s) and use a of low- and medium-voltage three-phase portable transformer to supply power to CFR 75.503 (permissible electric face circuits used underground) to its Foidel the 995-volt tramming motors on the equipment; maintenance) and 18.41(f) Creek Mine (I.D. No. 05–03836) located continuous miner when the miner is (plug and receptacle-type connectors) to in Routt County, Colorado. The trammed into, out of, or around the petitioner requests that paragraph 1 and its White Star No. 1 Mine (I.D. No. 15– mine. The petitioner asserts that the paragraph 12 of the Proposed Decision 17224) located in Knott County, proposed alternative method would and Order be amended for its previously Kentucky. The petitioner proposes to provide at least the same measure of granted petition for modification, docket use permanently installed, spring- protection as the existing standard. number M–1998–056–C. The petitioner loaded locking devices instead of asserts that the proposed alternative padlocks on battery-powered machines 16. Appalachian Eagle, Inc. method would provide at least the same to prevent unintentional loosening of [Docket No. M–2001–041–C] measure of protection as the existing battery plugs from battery receptacles to Appalachian Eagle, Inc., 2971C East standard. eliminate the hazards associated with Dupont Avenue, Shrewsbury, West difficult removal of padlocks during 11. Twentymile Coal Company Virginia 25015 has filed a petition to emergency situations. The petitioner modify the application of 30 CFR [Docket No. M–2001–036–C] asserts that application of the proposed 75.1700 (oil and gas wells) to its Mine Twentymile Coal Company, One alternative method would provide at No. 1 (I.D. No. 46–05437) located in Oxford Centre, 301 Grant Street, 20th least the same measure of protection as Kanawha County, West Virginia. The Floor, Pittsburgh, Pennsylvania 15219 the existing standard. petitioner proposes to plug and mine has filed a petition to modify the through oil and gas wells. The petitioner
VerDate 11
asserts that the proposed alternative at the working longwall sections. The 23. Appalachian Eagle, Inc. method would provide at least the same petitioner asserts that the proposed [Docket No. M–2001–048–C] measure of protection as would the alternative method would provide at Appalachian Eagle, Inc., Box 282, existing standard. least the same measure of protection as Dawes, West Virginia 25054–0282 has would the existing standard. 17. Branham & Baker Underground filed a petition to modify the Corp. 20. Drummond Company, Inc. application of 30 CFR 75.503 (permissible electric face equipment; [Docket No. M–2001–0042–C] [Docket No. M–2001–045–C] maintenance) and 30 CFR 18.41(f) (plug Branham & Baker Underground Corp., and receptacle-type connectors) to its P.O. Box 1409, Pikeville, Kentucky Drummond Company, Inc., P.O. Box 10246, Birmingham, Alabama 35202– Mine #1 (I.D. No. 46–05437) located in 41502 has filed a petition to modify the Kanawha County, West Virginia. The application of 30 CFR 75.503 0246 has filed a petition to modify the application of 30 CFR 75.1002 petitioner proposes to use a (permissible electric face equipment; permanently installed spring-loaded maintenance) 18.41 (plug and (underground high-voltage cables) to its Shoal Creek Mine (I.D. No. 01–02901) device instead of padlocks on battery- receptacle-type connectors) to its Mine powered machines to prevent #2B (I.D. No. 15–17902), Mine #10 (I.D. located in Jefferson County, Alabama. The petitioner proposes to use high- unintentional loosening of battery plugs No. 15–07763), Mine #15 (I.D. No. 15– from battery receptacles to eliminate the 17786), and Mine #22 (I.D. No. 15– voltage (2,400-volts) cables on its continuous miner sections. The hazards associated with difficult 18285) all located in Pike County, removal of padlocks during emergency Kentucky. The petitioner proposes to petitioner asserts that the proposed alternative method would provide at situations. The petitioner asserts that use a permanently installed spring- application of the existing standard loaded device instead of padlocks on least the same measure of protection as the existing standard. would result in a diminution of safety battery-powered machines to prevent to the miners and that the proposed unintentional loosening of battery plugs 21. Headache Coal Company, Inc. alternative method would provide at from battery receptacles to eliminate the [Docket No. M–2001–046–C] least the same measure of protection as hazards associated with difficult the existing standard. removal of padlocks during emergency Headache Coal Company, Inc., 22 situations. The petitioner asserts that Mary Ann Drive, Gray, Kentucky 40734 24. Coastal Coal West Virginia, LLC the proposed alternative method would has filed a petition to modify the [Docket No. M–2001–049–C] provide at least the same measure of application of 30 CFR 75.342 (methane Coastal Coal West Virginia, LLC, R. 1, protection as the existing standard. monitors) to its Goodin Creek Mine (I.D. Box 294C, Newburg, West Virginia 18. West Ridge Resources, Inc. No. 15–18176) located in Knox County, 26410 has filed a petition to modify the Kentucky. The petitioner proposes to application of 30 CFR 75.350 (air [Docket No. M–2001–043–C] use hand-held continuous-duty methane courses and belt haulage entries) to its West Ridge Resources, Inc., P.O. Box and oxygen indicators on three-wheel Whitetail K-Mine (I.D. No. 46–08751) 902, Price, Utah 84501 has filed a tractors with drag bottom buckets located in Preston County, West petition to modify the application of 30 instead of using machine mounted Virginia. The petitioner proposes to use CFR 75.804(a) (underground high- monitors. The petitioner asserts that the belt haulage entries to ventilate active voltage cables) to its West Ridge Mine proposed alternative method would working places. The petitioner proposes (I.D. No. 42–02233) located in Carbon provide at least the same measure of to install a carbon monoxide monitoring County, Utah. The petitioner proposes protection as the existing standard. system as an early warning fire to use high-voltage cables for longwall detection system in all belt entries used equipment, with an insulated internal 22. Headache Coal Company, Inc. to course intake air to a working place. ground check conductor smaller than a [Docket No. M–2001–047–C] The petitioner asserts that the proposed No. 10 (AWG), and a ground check alternative method would provide at conductor not smaller than a No. 16 Headache Coal Company, Inc., 22 least the same measure of protection as (AWG). The high-voltage cables would Mary Ann Drive, Gray, Kentucky 40734 the existing standard. be Cablec Anaconda brand 5KV 3/C has filed a petition to modify the type SHD+GC, Pirelli 5KV 3/C type application of 30 CFR 75.380(f)(4)(i) 25. Mingo Logan Coal Company SHD–CENTER–GC or Tiger Brand 5KV (escapeways; bituminous and lignite [Docket No. M–2001–050–C] type SHC–CGC, MSHA accepted flame- mines) to its Goodin Creek Mine (I.D. Mingo Logan Coal Company, 1000 resistant cable. The petitioner asserts No. 15–18176) located in Knox County, Mingo Logan Avenue, Wharncliffe, West that the proposed alternative method Kentucky. The petitioner proposes to Virginia 25651 has filed a petition to would provide at least the same use two ten-pound portable chemical modify the application of 30 CFR measure of protection as the existing fire extinguishers on each Mescher Jeep. 75.1700 (oil and wells) to its standard. The fire extinguishers will be readily Mountaineer Alma-A Mine (I.D. No. 46– accessible to the equipment operator. 19. Canyon Fuel Company, LLC 08730) located in Mingo County, West The petitioner proposes to instruct the Virginia. The petitioner proposes to [Docket No. M–2001–044–C] equipment operator to inspect each fire plug and mine through gas wells. The Canyon Fuel Company, LLC, HC 35 extinguisher daily prior to entering the petitioner asserts that the proposed Box 380, Helper, Utah 84526 has filed mine, replace all defective fire alternative method would provide at a petition to modify the application of extinguishers before entering the mine, least the same measure of protection as 30 CFR 75.1002 (underground high- and maintain records of all inspections the existing standard. voltage cables) to its Skyline Mine #3 of the fire extinguishers. The petitioner (I.D. No. 42–01566) located in Carbon asserts that the proposed alternative Request for Comments County, Utah. The petitioner proposes method would provide at least the same Persons interested in these petitions to use high-voltage (4,160-volt) longwall measure of protection as the existing are encouraged to submit comments via equipment in by the last open crosscut standard. e-mail to ‘‘[email protected],’’ or on
VerDate 11
a computer disk along with an original ACTION: Notice. divisional-, and program-specific data hard copy to the Office of Standards, collections. Regulations, and Variances, Mine Safety SUMMARY: The National Science and Health Administration, 4015 Foundation (NSF) is announcing plans Use of the Information to request renewal of this collection, Wilson Boulevard, Room 627, This information is required for OMB control number 3145–0136, the Arlington, Virginia 22203. All effective administrative, program EHR (Directorate for Education and comments must be postmarked or monitoring and evaluation, and for received in that office on or before July Human Resources) Impact Database. We measuring attainment of NSF’s program 5, 2001. Copies of these petitions are are requesting that the name of the goals, as required by the Government available for inspection at that address. collection be changed to EHR Program Information Generic Clearance to better Performance and Results Act (GPRA). Dated at Arlington, Virginia this 29th day of May 2001. reflect the nature and purpose of the Burden on the Public collection. In accordance with the David L. Meyer, requirement of section 3506(c)(2)(A) of The total estimate for this collection Director, Office of Standards, Regulations, the Paperwork Reduction Act of 1995, and Variances. is 50,000 annual burden hours. This we have provided an opportunity for figure is based on the previous 3 years [FR Doc. 01–14116 Filed 6–4–01; 8:45 am] public comment on this action. Such a of collecting information under this BILLING CODE 4510–43–U notice was published at 66 FR 8242, clearance. The average annual reporting Tuesday, January 30, 2001. No burden is between 2 and 50 hours per comments were received. ‘respondent’ who may be an individual NATIONAL FOUNDATION ON THE The materials are now being sent to or a project site representing groups. ARTS AND THE HUMANITIES OMB for review. Send any written comments to Desk Officer, OMB, 3145– Dated: May 30, 2001. National Endowment for the Arts; Teresa R. Pierce, Leadership Initiatives Advisory Panel 0136, OIRA, OMB, Washington, D.C. 20503. Comments should be received NSF Reports Clearance Officer. Pursuant to section 10(a)(2) of the within 30 days of this notice. [FR Doc. 01–14088 Filed 6–4–01; 8:45 am] Federal Advisory Committee Act (Pub. Comments are invited on (a) whether BILLING CODE 7555–01–M L. 92–463), as amended, notice is hereby the proposed collection of information given that a meeting of the Leadership is necessary for the proper performance Initiatives Advisory Panel, Literature of the functions of the Agency, Section, will be held by teleconference including whether the information shall NATIONAL TRANSPORTATION from 11:00 a.m.–11:30 a.m. on Monday, have practical utility; (b) the accuracy of SAFETY BOARD June 11, 2001 in Room 720 at the Nancy the Agency’s estimate of the burden of Hanks Center, 1100 Pennsylvania the proposed collection of information; Sunshine Act Meeting Avenue, NW, Washington, DC 20506. (c) ways to enhance the quality, utility, This meeting is for the purpose of and clarity of the information on TIME AND PLACE: 9:30 a.m., Tuesday, Panel review, discussion, evaluation, respondents, including through the use June 12, 2001. and recommendations on financial of automated collection techniques or assistance under the National other forms of information technology; PLACE: NTSB Conference Center, 429 Foundation on the Arts and the and (d) ways to minimize the burden of L’Enfant Plaza SW., Washington, DC Humanities Act of 1965, as amended, the collection of information on those 20594. including information given in who are to respond, including through STATUS: The one item is open to the confidence to the agency. In accordance the use of appropriate automated, public. with the determination of the Chairman electronic, mechanical, or other of May 22, 2001, these sessions will be technological collection techniques or MATTER TO BE CONSIDERED: 7366 closed to the public pursuant to other forms of information technology. Pipeline Accident Report—Natural Gas subsection (c)(4),(6) and (9)(B) of section NSF may not conduct or sponsor a Explosion and Fire in South Riding, 552b of Title 5, United States Code. collection of information unless the Virginia, July 7, 1998 (CDA–98–MP– Further information with reference to collection of information displays a 003). this meeting can be obtained from Ms. currently valid OMB control number NEWS MEDIA CONTACT: Telephone: (202) Kathy Plowitz-Worden, Panel and the agency informs potential 314–6100. Individuals requesting Coordinator, National Endowment for persons who are to respond to the specific accommodation should contact the Arts, Washington, DC 20506, or call collection of information that such Ms. Carolyn Dargan at (202) 314–6305 202/682–5691. persons are not required to respond to by Friday, June 8, 2001. Dated: May 30, 2001. the collection of information unless it Kathy Plowitz-Worden, displays a currently valid OMB control FOR MORE INFORMATION CONTACT: Vicky Panel Coordinator, Panel Operations, number. D’Onofrio, (202) 314–6410. National Endowment for the Arts. Proposed Renewal Project Dated: June 1, 2001. [FR Doc. 01–14192 Filed 6–4–01; 8:45 am] The EHR Impact Database was Vicky D’Onofrio, BILLING CODE 7537–01–P established in 1995 to integrate all Federal Register Liaison Officer. available information pertaining to the [FR Doc. 01–14237 Filed 6–1–01 12:55 am] NSF’s Education and Training portfolio. BILLING CODE 7533–01–M NATIONAL SCIENCE FOUNDATION Under a generic survey clearance (OMB Submission for OMB Review; 3145–0136) data from the NSF Comment Request administrative database are incorporated and additional information AGENCY: National Science Foundation. is obtained through initiative-,
VerDate 11
NUCLEAR REGULATORY (a)(2) is authorized by law, will not NUCLEAR REGULATORY COMMISSION endanger life or property, and is in the COMMISSION public interest. To require the licensee’s [Docket Nos. 50–269, 50–270, and 50–287] [Docket No. 50–389] operators and staff to support the Duke Energy Corporation; Oconee comprehensive examination and Florida Power and Light Company, et Nuclear Station, Units 1, 2, and 3, operating tests schedule during the 24- al. St. Lucie Plant, Unit No. 2; Exemption month requalification cycle could have Environmental Assessment and a detrimental effect on the public Finding of No Significant Impact 1.0 Background interest because it would remove Duke Energy Corporation (the qualified operators from refueling The U.S. Nuclear Regulatory licensee) is the holder of Facility operations and place them into the Commission (NRC) is considering Operating License Nos. DPR–38, DPR– training program, which could interfere issuance of an exemption from 10 CFR 50.55a(f)(ii) and 50.55a(f)(5)(i) for 47, and DPR–55, which authorize with the current Oconee Unit 2 Facility Operating License No. NPF–16, operation of the Oconee Nuclear refueling outage schedule. Further, this Station, Units 1, 2, and 3. The licenses issued to Florida Power and Light one-time exemption will provide Company, et al. (the licensee), for provide, among other things, that the additional operator support during plant facility is subject to all rules, operation of the St. Lucie Unit 2, located shutdown conditions, which would in St. Lucie County, Florida. regulations, and orders of the U.S. provide a safety enhancement during Nuclear Regulatory Commission (NRC/ plant shutdown operations and post- Environmental Assessment the Commission) now or hereafter in maintenance testing. The affected Identification of the Proposed Action effect. licensed operators will continue to The facility consists of three demonstrate and possess the required The proposed action would revise the pressurized water reactors located in second and third 120-month Inservice levels of knowledge, skills, and abilities Seneca County in South Carolina. Test (IST) intervals for St. Lucie Unit 2. needed to safely operate the plant Currently, St. Lucie Unit 2 is in its 2.0 Request/Action throughout the transitional period via second IST interval, with an end date of Title 10 of the Code of Federal continuation of the current satisfactory August 7, 2003. The proposed action Regulations (10 CFR) § 55.59(a)(1) licensed operator requalification would shorten the second IST interval requires that each licensed operator program. for St. Lucie Unit 2 by retroactively successfully complete a requalification 4.0 Conclusion changing the end date to February 10, program developed by the licensee that 1998, to coincide with the end date of has been approved by the Commission. Accordingly, the Commission hereby the second IST interval for St. Lucie This program is to be conducted for a grants the licensee an exemption on a Unit 1. Thus, the third IST interval for continuous period not to exceed 24 one-time only basis from the both units would begin on February 11, months in duration and upon its requirements of 10 CFR 55.59(a)(1) and 1998, and end on February 10, 2008. conclusion must be promptly followed (a)(2) to allow the current Oconee The proposed action is in accordance by a successive requalification program. Nuclear Station requalification program with the licensee’s application for In addition, pursuant to 10 CFR to be extended beyond the 24 months, exemption dated November 27, 2000. 55.59(a)(2), each licensed operator must but not to exceed 26 months and to The Need for the Proposed Action also pass a comprehensive expire on July 13, 2001. Upon requalification written examination and completion of the examinations on July The IST intervals for St. Lucie Units an annual operating test. 1 and 2 are currently offset by 13, 2001, the follow-on cycle will end By letter dated March 6, 2001, the approximately 5 years, primarily due to on March 8, 2003. Future annual licensee requested an exemption under the initial licensing dates of the units. 10 CFR 55.11 from the requirements of requalification cycles will run from This requires maintaining distinct but 10 CFR 55.59(a)(1) and (a)(2). The March to March. similar programs, with the exemption requested will extend the Pursuant to 10 CFR 51.32, the administrative burden of updating them current Oconee Nuclear Station Commission has determined that the approximately every 5 years. The requalification program from June 4, granting of this exemption will not have proposed action provides a one-time 2001, to July 13, 2001. The requested a significant effect on the quality of the schedule exemption, which would exemption would constitute a one-time human environment (66 FR 29347). allow the licensee to implement a extension of the requalification program This exemption is effective upon combined IST program consistent duration. issuance and expires on March 8, 2003. between units, requiring compliance with the same edition of the American 3.0 Discussion Dated at Rockville, Maryland, this 30th day Society of Mechanical Engineers Code Pursuant to 10 CFR 55.11, the of May 2001. and addenda, and allow both units to be Commission may, upon application by For the Nuclear Regulatory Commission. tested using the same test requirements. an interested person, or upon its own Bruce A. Boger, initiative, grant such exemptions from Environmental Impacts of the Proposed Director, Division of Inspection Program Action the requirements of the regulations in Management, Office of Nuclear Reactor this part as it determines are authorized Regulation. The NRC has completed its evaluation by law and will not endanger life or [FR Doc. 01–14094 Filed 6–4–01; 8:45 am] of the proposed action and concludes property and are otherwise in the public that there are no significant interest. BILLING CODE 7590–01–P environmental impacts associated with The Commission has determined that, the proposed action. pursuant to 10 CFR 55.11, granting an The proposed action will not exemption to the licensee from the significantly increase the probability or requirements in 10 CFR 55.59(a)(1) and consequences of accidents, no changes
VerDate 11
are being made in the types of any /www.nrc.gov (the Public Electronic Week of July 9, 2001—Tentative effluents that may be released off site, Reading Room). Monday, July 9, 2001 and there is no significant increase in Dated at Rockville, Maryland, this 30th day occupational or public radiation of May 2001. 1:25 p.m.—Affirmative Session (Public exposure. Therefore, there are no For the Nuclear Regulatory Commission. Meeting) (If needed) significant radiological environmental Brendan T. Moroney, *The schedule for Commission meetings is impacts associated with the proposed Project Manager, Section 2, Project subject to change on short notice. To verify action. Directorate II Division of Licensing Project the status of meetings call (recording)—(301) With regard to potential Management Office of Nuclear Reactor 415–1292. Contact person for more nonradiological impacts, the proposed Regulation information: David Louis Gamberoni, (301) 415–1651. action does not involve any historic [FR Doc. 01–14093 Filed 6–4–01; 8:45 am] sites. It does not affect nonradiological BILLING CODE 7590–01–P The NRC Commission Meeting plant effluents and has no other Schedule can be found on the Internet environmental impact. Therefore, there at: http://www.nrc.gov/SECY/smj/ are no significant nonradiological NUCLEAR REGULATORY schedule.htm environmental impacts associated with COMMISSION This notice is distributed by mail to the proposed action. several hundred subscribers; if you no Accordingly, the NRC concludes that Sunshine Act Meeting longer wish to receive it, or would like there are no significant environmental to be added to the distribution, please impacts associated with the proposed AGENCY HOLDING THE MEETING: Nuclear contact the Office of the Secretary, action. Regulatory Commission. Washington, D.C. 20555 (301–415– DATES: Weeks of June 4, 11, 18, 25, July 1969). In addition, distribution of this Alternatives to the Proposed Action 2, 9, 2001. meeting notice over the Internet system As an alternative to the proposed is available. If you are interested in PLACE: Commissioners’ Conference action, the staff considered denial of the receiving this Commission meeting Room, 11555 Rockville Pike, Rockville, proposed action (i.e., the ‘‘no-action’’ schedule electronically, please send an Maryland. alternative). Denial of the application electronic message to [email protected]. STATUS: Public and Closed. would result in no change in current Dated: May 31, 2001. environmental impacts. The MATTERS TO BE CONSIDERED: David Louis Gamberoni, environmental impacts of the proposed action and the alternative action are Week of June 4, 2001 Technical Coordinator, Office of the Secretary. similar. Tuesday, June 5, 2001 [FR Doc. 01–14257 Filed 6–1–01; 2:03 pm] Alternative Use of Resources 9:25 a.m.—Affirmation Session (Public BILLING CODE 7590–01–M This action does not involve the use Meeting) (if needed) of any different resources than those 2:00 p.m.—Discussion of Management previously considered in the Final Issues (Closed-Ex. 2) SECURITIES AND EXCHANGE Environmental Statement for St. Lucie COMMISSION Wednesday, June 6, 2001 Unit 2 (NUREG–0842). [Release No. 35–27409] Agencies and Persons Consulted 10:30 a.m.—All Employees Meeting (Public Meeting) Filings Under the Public Utility Holding In accordance with its stated policy, 1:30 p.m.—All Employees Meeting Company Act of 1935, as Amended on May 17, 2001, the staff consulted (Public Meeting) (‘‘Act’’) with the Florida State official, William Passetti, of the Bureau of Radiation Week of June 11, 2001—Tentative May 29, 2001. Notice is hereby given that the Control, regarding the environmental Thursday, June 14, 2001 impact of the proposed action. The State following filing(s) has/have been made official had no comments. 9:55 a.m.—Affirmation Session (Public with the Commission pursuant to Meeting) (If needed) provisions of the Act and rules Finding of No Significant Impact 10:00 a.m.—Meeting with Nuclear promulgated under the Act. All On the basis of the environmental Waste Technical Review Board interested persons are referred to the assessment, the NRC concludes that the (Public Meeting) application(s) and/or declaration(s) for proposed action will not have a 1:30 p.m.—Briefing on License Renewal complete statements of the proposed significant effect on the quality of the Program (Public Meeting) (Contact: transaction(s) summarized below. The human environment. Accordingly, the David Solorio, 301–415–1973) application(s) and/or declaration(s) and NRC has determined not to prepare an any amendment(s) is/are available for environmental impact statement for the Week of June 18, 2001—Tentative public inspection through the proposed action. There are no meetings scheduled for Commission’s Branch of Public For further details with respect to the the Week of June 18, 2001. Reference. proposed action, see the licensee’s letter Interested persons wishing to dated November 27, 2000. Documents Week of June 25, 2001—Tentative comment or request a hearing on the may be examined, and/or copied for a Wednesday, June 27, 2001 application(s) and/or declaration(s) fee, at the NRC’s Public Document should submit their views in writing by Room, located at One White Flint North, 9:25 a.m.—Affirmation Session (Public June 22, 2001, to the Secretary, 11555 Rockville Pike (first floor), Meeting) (If needed) Securities and Exchange Commission, Rockville, Maryland. Publicly available Washington, DC 20549–0609, and serve Week of July 2, 2001—Tentative records will be accessible electronically a copy on the relevant applicant(s) and/ from the ADAMS Public Library There are no meetings scheduled for or declaration(s) at the address(es) component on the NRC Web site, http:/ the Week of July 2, 2001. specified below. Proof of service (by
VerDate 11
affidavit or, in the case of an attorney at Var Emera, the Subsidiaries, and NSPI subsidiaries, directly or indirectly held, law, by certificate) should be filed with are referred to as the Emera system are retainable interests under section the request. Any request for hearing (‘‘Emera System’’). 11(b)(1) and include the following: NS should identify specifically the issues of Power Services Ltd. (‘‘NS Power’’), II. The Applicants facts or law that are disputed. A person which is inactive, but provided energy who so requests will be notified of any A. Emera services, and owns 50% of NSP Trigen hearing, if ordered, and will receive a Emera is a corporation that was Inc. that is also inactive; Enercom Inc. copy of any notice or order issued in the formed under the laws of the Province (‘‘Enercom’’), which is a holding matter. After June 22, 2001, the of Nova Scotia, Canada in 1998. Emera’s company that wholly owns Emera Fuels Inc. that is engaged in the supply of application(s) and/or declaration(s), as common stock is listed and traded on filed or as amended, may be granted furnace and fuel oil, lubricants, diesel, the Toronto Exchange (‘‘TSE’’). Emera is and/or permitted to become effective. and gasoline products; Stellarton Basin subject to TSE’s rules and regulations Coal Gas Inc. (‘‘Stellarton’’), which Emera Incorporated, et al. (70–9787) and files public disclosures in SEDAR, participates in a joint venture to explore TSE’s version of the Commission’s Emera Incorporated (‘‘Emera’’), a and develop methane gas reserves in EDGAR system. The securities holding company formed under the Nova Scotia; Strait Energy Inc. (‘‘Strait commissions of each of the provinces of laws of the Province of Nova Scotia Energy’’), which sells steam energy in Canada regulate securities issuances by Canada; Nova Scotia Power Inc. Nova Scotia; 510845 N.B. Inc. (‘‘510845 Emera. (‘‘NSPI’’), Emera’s wholly owned NB’’), which engages in the supply and Emera is the parent of NSPI, a electric utility subsidiary company, both maintenance of electric transformers Canadian electric utility company that located at P.O. Box 910, Halifax, Nova and wholly owns Cablecom Ltd. that owns and operates a vertically Scotia, Canada B3J2W5; Bangor Hydro- wholly owns Fibretek Inc. (both are integrated electric utility system in Electric Company (‘‘BHE’’), a Maine engaged in the design, engineering, Nova Scotia. NSPI serves 440,000 electric public utility company and a project management, construction, customers in Nova Scotia with 2, 183 holding company currently exempt by structured cabling, maintenance and MW of generating capacity, order under section 3(a)(1) of the Act; installation of fiber optic and wireless approximately 5,200 km of transmission and Bangor Var Co., Inc. (‘‘Bangor Var’’), communications applications); 1447585 lines, 24,000 km of distribution lines, a wholly owned subsidiary of BHE, both Ontario Ltd. (‘‘1447585’’), which was associated substations, and other located at 33 State Street, P.O. Box 1599, formed for the merger, will not be used, facilities. NSPI has no retail gas Bangor, Maine 04402–0932 and is currently inactive; 3054167 Nova distribution facilities. NSPI’s electric (‘‘Applicants’’) have filed an Scotia Ltd. (‘‘3054167’’), which holds generation, transmission and application-declaration (‘‘Application’’) the Sable Offshore Energy Project; NSP distribution facilities are located under sections 2(a)(7), 2(a)(8), 3(a)(1), 6, Pipeline Management Ltd. (‘‘NSP exclusively within Nova Scotia. 7, 9, 10, 11, 12, 13(b), 32, and 33 and Management’’), which owns a 12.5% rules 45, 52, 53, 54, and 80–92 under NSPI is subject to regulation by the Nova Scotia Utility and Review Board interest in Maritimes and Northeast the Act. Pipeline Management Ltd (‘‘M&N (‘‘UARB’’). The UARB has supervisory 1 I. Summary of Proposal powers over NSPI’s operations and Management) ’’ NSP Pipeline Inc. Emera proposes to acquire the expenditures. The UARB also regulates (‘‘NSP Pipeline’’), which owns a outstanding common stock of BHE and NSPI’s electricity rates and capital 12.375% interest in M&N Limited Partnership;2 and NSP US Holdings Inc. its public utility subsidiary companies structure. 3 (‘‘Merger’’). In connection with the NSPI’s transmission assets are used (‘‘NSP US Holdings’’), which indirectly proposed Merger, Emera has undertaken primarily to transmit power within owns a 12.5% interest in Maritimes and that NSPI will qualify for an exemption Nova Scotia and, on a limited basis, to Northeast Pipeline L.L.C. (‘‘M&N as a foreign utility company (‘‘FUCO’’) transmit power for sale to customers in L.L.C.’’), which owns the U.S. portion of within the meaning of section 33 of the New Brunswick and beyond. In 2000, the Maritimes and Northeast Pipeline Act. Emera will register as a holding NSPI generated 11,432 GWh of through these holding companies: company under the Act after completion electricity and sold 10,656 GWh of Scotia Holdings Inc.; Nova Power of the Merger as will the to-be formed electricity. Of the amount sold, 10,475 Holdings Inc., and Scotia Power U.S. intermediate holding companies US GWh was consumed in the province of Ltd. Emera wholly owns these direct HoldCo and Acquisition Co. No.1 (‘‘Acq. Nova Scotia and 181 GWh was exported Nonutility Subsidiaries: NS Power, Co 1’’ (collectively, ‘‘Intermediate using the international lines of New Enercom, Stellarton, Strait Energy, HCs’’). BHE and Bangor Var request an Brunswick Power Corporation (‘‘NB 1 M&N Management is 12.5% owned by NSP exemption from registration under Power’’). NB Power’s principal Management and the remainder is owned by section 3(a)(1). In addition, Applicants interconnection with the U.S. is with nonaffiliates. M&N Management is also the general request authority for financing, creation the transmission facilities of Maine partner of and owns a 1.25% interest in Maritimes of a service company, associate Electric Power Company, Inc. and Northeast Pipeline Limited Partnership (‘‘M&N Limited Partnership’’). M&N Management operates company transactions, and other (‘‘MEPCO’’), in which BHE, then to be and manages the Canadian portion of the Maritimes intrasystem authorizations. For acquired domestic utility, has a and Northeast Pipeline, a natural gas pipeline with purposes of identifying what entities in minority interest of 14.2%. Currently, its origin in Nova Scotia and its terminus near this application are requesting NSPI is not authorized to transmit Boston. authority, the term ‘‘Subsidiaries’’ power and energy within the U.S., and 2 M&N Limited Partnership is 12.375% owned by NSP Pipeline and 1.25% owned by M&N includes all companies of which Emera all purchasers of energy from NSPI Management. Nonaffiliates own the remainder. holds 10% or more of the voting purchase the energy within Canada for M&N Limited Partnership owns the Canadian securities, but specifically excludes export by the purchaser across the portion of the Maritimes and Northeast Pipeline. NSPI, and the term ‘‘Nonutility international border for transmission via 3 NSP US Holdings wholly owns a financing subsidiary, NSP Investments Inc., which was Subsidiaries’’ refers to all Subsidiaries ISO-New England facilities. established to acquire the interest in M&N L.L.C. other than BHE, MEPCO, Chester SVC Emera requests that the Commission M&N L.L.C is 12.5% owned by Scotia Power U.S. Partnership (‘‘Chester SVC’’ and Bangor find that all of Emera’s nonutility Ltd. and the remainder is owned by nonaffiliates.
VerDate 11
510845 NB, 1447585, 3054167, NSP are retainable interests under section the terms of the Merger Agreement: (1) Management, NSP Pipeline, and NSP 11(b)(1) and include the following: Each outstanding share of common US Holdings. Bangor Energy Resale, Inc. (‘‘BE Energy stock of Merger Sub will be converted On February 6, 2001, Emera offered to Resale’’), which permits BHE to use a into one share of common stock of the purchase 8.4% of the Sable Offshore power sales agreement as collateral for Surviving Corporation; (2) each Energy Project (‘‘SOEP’’) infrastructure a bank loan; CareTaker, Inc. (‘‘Care outstanding share of preferred stock of assets for approximately $60.6 million. Taker’’), which provides security alarm BHE (‘‘BHE Preferred Stock’’) will The offer is subject to certain rights of services; East Branch Improvement remain outstanding as one share of first refusal, and other approvals. The Company (‘‘EBIC’’), which BHE owns preferred stock of the Surviving SOEP infrastructure assets comprise a 60% of the common stock and holds the Corporation; and (3) each outstanding gas processing plant at Goldboro, Nova inactive subsidiaries, Godfrey’s Falls share of common stock of BHE (‘‘BHE Scotia; a natural gas liquids Dam Company and The Sawtelle Brook Common Stock’’) other than Dissenting fractionation plant at Point Tupper, Dam & Improvement Company; The Shares (as defined in the Merger Nova Scotia; a natural gas liquids line Sebois Dam Company (‘‘Sebois’’), which Agreement) or shares owned by BHE as connecting the Goldboro and Point is an inactive subsidiary; The Pleasant treasury shares, or by Emera, if any, will Tupper operations; and offshore River Gulf Improvement Company be converted into the right to receive production platforms and sub-sea (‘‘Pleasant River’’), which is an inactive $26.50 in cash (‘‘Per Share Amount’’),4 gathering pipelines. Applicants request subsidiary; Bangor Fiber Company, Inc. the amount may be adjusted in Commission authorization to acquire (‘‘Bangor Fiber’’), which owns and accordance with the Merger Agreement the SOEP assets, if they have not been leases fiber optic communications cable; (the ‘‘Merger Consideration’’). Holders acquired prior to Emera’s registrtion and Bangor Line Company (‘‘Bangor of BHE’s warrants outstanding at the under the Act, and to retain the SOEP Line’’), which constructs and maintains effective time of the Merger will be assets if they have already been transmission and distribution lines and entitled to receive, upon exercise of acquired when Emera registers. provides engineering services. BHE each warrant, the Merger Consideration For the twelve months ending wholly owns BE Energy Resale, Care less the exercise price. December 31, 2000, Emera had revenues Taker, Sebois, Pleasant River, Bangor The total value of consideration that of approximately $604.4 million and Fiber, and Bangor Line. BHE shareholders will receive in the NSPI had operating revenues of BHE also holds 7% of the outstanding Merger, based on the number of BHE approximately $548.2 million. As of common stock of Maine Yankee Atomic shares of BHE common stock December 31, 2000, Emera and NSPI Power Company (‘‘Maine Yankee’’), a outstanding on September 15, 2000 had assets approximately $1,989.0 company that owns and, prior to its (7,363,424), is approximately $195 million and $1,913.3 million, permanent closure in 1997, operated an million. If the closing of the Merger does respectively. 880 MW nuclear generating plant in not occur on or prior to June 29, 2001, B. BHE Wiscasset, Maine. Maine Yankee is then the Per Share Amount shall be increased by an amount equal to $0.003 BHE is a public utility and holding being decommissioned. BHE is obligated to negotiate in good for each day after June 29, 2001 up to company currently exempt by order faith to acquire a 50% interest in a joint and including the day which is one day dated October 25, 1999 (HCAR No. venture to develop a second 345 kV prior to the closing of the Merger. 27094) under section 3(a)(1) of the Act. transmission line to New Brunswick, To effect the Merger, Emera will hold BHE provides the transmission and Canada, under a Memorandum of its ownership interest in BHE through distribution system for the delivery of Understanding with Penobscot Hydro, one or more Intermediate HCs. The electricity to approximately 123,000 LLC. The transmission line would Intermediate HC will be wholly owned, Maine customers. The Maine Public connect with BHE’s existing directly or indirectly, by Emera and will Utility Commission (‘‘MPUC’’ regulates transmission facilities. BHE’s have no public or private institutional BHE. Under Maine’s electric investment in the joint venture has not equity or debt holders. The Intermediate restructuring laws, BHE exited the been determined at this time but could HC will be capitalized with equity and/ power supply aspect of traditional be approximately $25 million. In or debt, all of which will be held either utility function as of March 1, 2000. by Emera or an Intermediate HC. The BHE holds a 14.2% equity interest in addition, Applicants request that the Commission reserve jurisdiction over only utility holdings of the Intermediate MEPCO, a Maine utility that owns and HCs will be direct or indirect interests operates electric transmission facilities the acquisition of an interest in a joint venture until the record is complete. in BHE and its utility subsidiaries. from Wiscasset, Maine to the Maine- Applicants further request that the New Brunswick border. MEPCO is For the twelve months ending December 31, 2000, BHE had $212 Commission authorize Emera to owned jointly by Central Maine Power reorganize the Intermediate HC Company (‘‘CMP’’) (78.3%), BHE (14.2) million of utility operating revenues. As of December 31, 2000, BHE has structure without seeking prior and Maine Public Service Company Commission approval subject to the (7.5%). In addition, BHE owns a 50% approximately $532 million in utility assets. following conditions: (1) The companies general partnership interest in Chester in the intermediate structure would be SVC through BHE’s wholly-owned III. The Proposed Merger and Financing wholly owned directly or indirectly by subsidiary Bangor Var. Chester SVC is a the Merger Emera; (2) the companies in the single-purpose financing entity formed A. The Proposed Merger intermediate structure would not issue to own a static var compensator, debt or equity to any company outside Under the terms of the merger electrical equipment that supports the the Emera System and would not agreement entered into on June 29, 2000 New England Power Pool (NEPOOL)/ borrow from BHE or its subsidiaries; (3) (‘‘Merger Agreement’’ ), Merger Sub, a Hydro Quebec Phase II transmission the changes will not have a material line. to-be-formed Emera subsidiary BHE requests that the Commission incorporated in the U.S., will merge 4 The closing price of BHE’s common stock on find that all of BHE’s nonutility with and into BHE, with BHE surviving June 29, 2000, the day prior to the Merger subsidiaries, directly or indirectly held, (the ‘‘Surviving Corporation’’). Under announcement, was $15.13 per share.
VerDate 11
impact on the financial condition or Investment Grade Credit Rating— paper), convertible securities, operations of BHE or its subsidiaries or Emera commits that all long-term debt subordinated debt, bank borrowings and a material adverse effect on Emera; and issued by Emera to unaffiliated parties securities with call or put options. (4) the companies in the intermediate under the authority requested in the Emera may also issue guarantees and structure would be organized in the Application will, when issued, be rated enter into interest rate swaps and U.S., Canada, or a country in Europe. investment grade by a nationally hedges. Following the Merger, BHE will be recognized statistical rating 1. Common Stock. During the operated as a subsidiary of Emera. BHE organization. Authorization Period, Emera requests will retain its name and continue to Minimum Capitalization Ratio— authorization to issue and sell from time serve its customers under the terms of Emera, on a consolidated basis, and to time common stock, either: (a) its existing contracts and state and BHE, individually, will maintain Through underwritten public offerings; federal requirements. Emera expects common stock equity as a percentage of (b) in private placements; (c) under its that the President and CEO of BHE will total capitalization of at least 30%. dividend reinvestment, stock-based be a resident of Maine and a member of Effective Cost of Money on management incentive and employee BHE’s board. The Merger Agreement Borrowings—The effective cost of benefit plans; (d) in exchange for requires that when the Merger is money on debt financings by Emera securities or assets being acquired from consummated the Board of BHE post- under the authorizations requested in other companies; and (e) in connection merger must have at least nine the Application will not exceed the with redemptions of the Series C and members, with at least four carry-over competitive market rates available at the Series D shares. Emera also proposes to from the prior BHE Board of Directors. time of issuance to companies with issue and sell common stock or options, the merger Agreement provider that comparable credit ratings with respect warrants, or other stock purchase rights. BHE’s corporate headquarters will be to debt having similar maturities. The Emera may also buy back shares of located in Maine for not less than ten effective cost of money on BHE’s short- common stock during the Authorization years following the Merger. BHE will term debt will not at the time of Period in accordance with rule 42 under the Act. Common stock and securities also retain local facilities for customer issuance exceed 300 basis points over convertible into common stock will not service, maintenance and field work the comparable term LIBOR. Maturity of Debt—The maturity of exceed $2 billion. Common stock sales operations. debt will not exceed 50 years. will be at rates or prices and under B. Financing the Merger Effective Cost of Preferred Stock—The conditions negotiated or based upon, or dividend rate on preferred stock or other otherwise determined by, competitive Emera expects to use a combination of types of preferred or equity-linked capital markets. its available cash deposits and credit securities will not exceed at the time of Emera may seek to acquire securities facility entered into with one or more issuance the rate generally obtainable of companies engaged in energy-related banks in the amount of up to $225 for preferred securities having the same businesses as described in rule 58 under million to fund the Merger or reasonably similar terms and the Act (‘‘Rule 58 Companies’’), exempt consideration. The credit facility will conditions issued by utility holding telecommunications companies have a non-revolving term of 364 days companies of reasonably comparable (‘‘ETCs’’), EWGs and FUCOs. These and at the borrower’s option an interest credit quality, as determined by acquisitions may involve the exchange rate of (1) the greater of (a) the Agent’s competitive capital markets. of Emera stock for securities of the Base Rate Canada, and (b) the Federal Issuance Expenses—The underwriting company being acquired. The Emera Funds Effective Rate for overnight funds fees, commissions and other similar common stock to be exchanged may be (as published by the Federal Reserve in remuneration paid in connection with purchased on the open market under the U.S.) plus 50 basis points per the non-competitive issue, sale or rule 42, or may be original issue. annum, or (2) the London Interbank distribution of a security pursuant to Original issue stock may be registered or Offered Rate (‘‘LIBOR’’) plus 75 to 90 this Application would not exceed an qualified under applicable securities basis points. Emera expects that this amount or percentage of the principal or laws or unregistered and subject to credit facility will be replaced or total amount of the security being issued resale restrictions. Emera does not refinanced with longer-term debt, equity that would be charged to or paid by intend to engage in any transaction or preferred securities in the future. other companies with a similar credit where original issue stock is not Also, Emera intends to use a wholly rating and credit profile in a comparable registered or qualified while a public owned special purpose financing entity arm’s-length credit or financing offering is being made, other than a (‘‘ULC’’) to provide debt and non-voting transaction with an unaffiliated person. public offering under a compensation, preferred financing to Acq. Co. 1 for the Emera’s ‘‘aggregate investment’’ as dividend or stock purchase plan, or a purpose of partially funding the Merger defined in rule 53(a)(1)(i)—investment public offering of debt. consideration. Applicant’s request for in exempt wholesale generators For purposes of calculating financing authorization incorporates the (‘‘EWG’’) and FUCOs will not exceed compliance with the $3 billion external debt that will be issued to fund and $3.0 billion. financing limit, Emera’s common stock refinance the Merger. would be valued at market value based A. Emera’s External Financing IV. Post Merger Financing Request upon the closing price on the day before Emera proposes to issue long-term closing of the sale or based upon Applicants seek Commission equity and debt securities aggregating average high and low prices for a period authorization of the financing activities not more than $3 billion at any one time of 20 days prior to the closing of the of the Emera System for the period outstanding during the Authorization sale. through June 30, 2004 (‘‘Authorization Period, which includes the Merger 2. Preferred Stock. Emera may issue Period’’). Applicants propose that the related financing. Securities could preferred stock from time to time during following general terms and conditions include, but would not necessarily be the Authorization Period, which will (‘‘Financing Parameters’’) would apply, limited to, common stock, preferred not to exceed $500 million. Preferred where appropriate, to the requested stock, options, warrants, long- and stock or other types of preferred or financing authorizations: short-term debt (including commercial equity-linked securities may be issued
VerDate 11
in one or more series with such rights, rate or the coupon rate per annum traded U.S. or Canadian Treasury preferences, and priorities as may be prevailing at the date of issuance for futures contracts, U.S. or Canadian designated in the instrument creating commercial paper of comparable quality Treasury obligations and/or a forward the series, as determined by Emera’s and maturities sold to commercial paper swap (‘‘Forward Sale’’), (b) the purchase Board of Directors. All such securities dealers generally. It is expected that the of put options on U.S. or Canadian will be redeemed no later than 50 years dealers acquiring commercial paper Treasury obligations (‘‘Put Options after the issuance. The dividend rate on from Emera will reoffer the paper at a Purchase’’), (c) a Put Options Purchase any series of preferred stock or other discount to corporate, institutional and, in combination with the sale of call preferred securities will not exceed at with respect to European commercial options on U.S. or Canadian Treasury paper, individual investors. Institutional the time of issuance the rate generally obligations (‘‘Zero Cost Collar’’), (d) obtainable for preferred securities investors are expected to include transactions involving the purchase or having the same or reasonably similar commercial banks, insurance terms and conditions issued by utility companies, pension funds, investment sale, including short sales, of U.S. or holding companies of reasonably trusts, foundations, colleges and Canadian Treasury obligations, or (e) comparable credit quality, as universities and finance companies. some combination of a Forward Sale, determined by competitive capital Emera also proposes to establish bank Put Options Purchase, Zero Cost Collar markets. Dividends or distributions on liens of credit, directly or indirectly and/or other derivative or cash preferred stock or other preferred through one or more financing transactions, including, but not limited securities will be made periodically and subsidiaries. Loans under these liens to structured notes, caps and collars, to the extent funds are legally available will have maturities of less than one appropriate for the Anticipatory Hedges. for such purpose, but may be made year from the date of each borrowing. Hedging Instruments may be executed subject to terms that allow the issuer to Emera may engage in other types of on-exchange (‘‘On-Exchange Trades’’) defer dividend payments for specified short-term financing generally available with brokers through the opening of to borrowers with comparable credit periods. Preferred stock or other futures and/or options positions traded ratings as it may deem appropriate in preferred securities may be convertible on the Chicago Board of Trade, the or exchangeable into shares of common light of its needs and market conditions opening of over-the-counter positions stock. at the time of issuance. 3. Long-Term Debt. Emera proposes to 5. Hedges and Interest Rate Risk with one or more counterparties (‘‘Off issue long-term unsecured debt in Management. Emera requests authority Exchange Trades’’), or a combination of accordance with the conditions to enter into, perform, purchase and sell On-Exchange Trades and Off-Exchange described in the overall financing terms financial instruments intended to Trades. Emera will determine the and not to exceed $1.5 billion. Any manage the volatility of interest rates, optimal structure of each Hedging long-term debt security will have the including but not limited to interest rate Instrument transaction at the time of maturity, interest rates or methods of swaps, caps, floors, collars and forward execution. No gain or loss on hedging determining the same, terms of payment agreements or any other similar transaction entered into by Emera or of interest, redemption provisions, agreements (‘‘Hedging Instruments’’). Emera’s subsidiaries (except BHE and sinking fund terms and other terms and Emera would employ Hedging BHE’s subsidiaries) will be allocated to conditions as Emera may determine at Instruments as a means of managing the BHE or BHE’s subsidiaries, regardless of the time of issuance. Prior to issuing risk associated with any of its the accounting treatment accorded to debt, preferred securities or equity, outstanding debt issued under the the transaction. Emera will evaluate the relevant authority requested in this application financial implications of the issuance, or an applicable exemption by, in effect, To the extent such securities are not including without limit, the cost of synthetically (a) converting variable rate exempt under rule 52(a), BHE requests capital, and select the security that debt to fixed rate debt, (b) converting authorization to enter into Hedges on provides the most efficient capital fixed rate debt to variable rate debt, (c) the same terms as applicable to Emera. structure consistent with sound limiting the impact of changes in 6. Guarantees. Emera requests financial practices and the capital interest rates resulting from variable rate authorization to enter into guarantees, markets. debt and (d) providing an option to obtain letters of credit, enter into 4. Short-Term Debt. Emera requests enter into interest rate swap transactions expense agreements or otherwise authorization to issue short-term debt in future periods for planned issuances provide credit support (‘‘Guarantees’’) including, but not limited to, of debt securities. Emera, states it will with respect to the obligations of institutional borrowings, commercial not engage in ‘‘leveraged’’ or Emera’s subsidiaries in an aggregate paper and bid notes; all in accordance ‘‘speculative’’ transactions. Off- principal amount not to exceed $500 with the conditions described in the exchange Hedging Instruments will be million outstanding at any one time and overall financing terms. Short-term debt entered into only with counterparties not taking into account obligations will not exceed $1.5 billion. Proceeds of whose senior debt ratings are exempt under rule 45. All debt any short-term debt issuance may be investment grade (‘‘Approved used to refund pre-Merger short-term Counterparties’’). guaranteed will comply with the debt and Merger-related debt, and to In addition, Emera requests Financing Parameters. Included in this provide financing for general corporate authorization to enter into Hedging amount are Guarantees entered into by purposes, working capital requirements Instruments with respect to anticipated Emera that were previously issued in and Subsidiary capital expenditures debt offerings (‘‘Anticipatory Hedges’’), favor of Emera’s subsidiaries. The limit until long-term financing can be subject to certain limitations and on Guarantees is separate from the limit obtained. restrictions. Anticipatory Hedges will on Emera’s external financing. Emera Emera may sell commercial paper, only be entered into with Approved proposes to charge each Subsidiary a fee from time to time, in established Counterparties, and will be used to fix for each Guarantee provided on its domestic U.S. or European commercial and/or limit the interest rate risk behalf that is not greater than the cost, paper markets. The commercial paper associated with any new issuance if any, of obtaining the liquidity will be sold to dealers at the discount through (a) a forward sale of exchange- necessary to perform the guarantee.
VerDate 11
B. Subsidiary, Nonutility Subsidiary, liquidity necessary to perform the parent company during the and Intermediate HCs Financing guarantee. Authorization Period pursuant to rule Each of the Intermediate HC’s 52 and/or an order issued in this file is Emera requests authorization to lend requests authorization to issue and sell unknown at this time. The proposed funds to its Nonutility Subsidiaries at a securities to the other Intermediate HC’s sale of capital securities (i.e., common mark up to Emera’s cost of funds at any and Emera, and to acquire securities stock or preferred stock) may in some time during the Authorization Period from their respective Intermediate HC cases exceed the then authorized capital without prior Commission subsidiaries and BHE. Each of the stock of the Subsidiary. In addition, the authorization. The authorization request Intermediate HCs also seeks authority to Subsidiary may choose to use capital would not apply to BHE or any of BHE’s issue guarantees and other forms of stock with no par value. As needed to subsidiaries or to NSPI. Applicants state credit support to direct and indirect accommodate the proposed transactions this is desirable as a risk management Intermediate HCs and BHE. In no case and to provide for future issues, measure and it avoids cross would the Intermediate HC borrow, or Applicants request authority to change subsidization of higher risk Subsidiaries receive any extension of credit or the terms of any wholly owned from lower risk subsidiaries. The indemnity from any of their respective Subsidiary’s authorized capital stock Nonutility Subsidiaries that will be direct or indirect subsidiary companies. capitalization by an amount deemed financed in this manner will not pass Each of the Intermediate HCs intends to appropriate by Emera or other any increased costs on to BHE or BHE’s function as a financial conduit to intermediate parent company. subsidiaries because they will not sell facilitate Emera’s U.S. investments. The The requested authorization is limited goods or services or lend funds to BHE terms and conditions of any to Emera’s wholly owned Subsidiaries or BHE’s subsidiaries. Intermediate HC’s financings will be on and will not affect the aggregate limits Emera intends to finance BHE’s arm’s length basis, as noted for or other conditions noted. A Subsidiary capital needs at the lowest practical financings by BHE. The Intermediate would be able to change the par value, cost. BHE will either finance its capital HC’s proposed financings would be or change between par value and no-par needs through short, medium, and long- used to finance capital requirements of stock, without additional Commission term borrowings authorized by the BHE and any exempt or subsequently approval. Any action by BHE or any MPUC and exempt under rule 52(a) or authorized activity that is acquired in other public utility company will be through borrowings from Emera, the future. The Intermediate HC subject to and will only be taken upon directly or indirectly, through the financing will not be used by the the receipt of any necessary approvals Intermediate HC. BHE may also borrow Intermediate HCs to carry on business or by the MPUC or other public utility funds from NSPI,5 if NSPI has surplus investment activities within the commission with jurisdiction over the funds and the interest rate on the loan Intermediate HCs. transaction. BHE will maintain, during would result in a lower cost of the Authorization Period, a common borrowing for BHE. All borrowings by C. Use of Proceeds equity capitalization of at least 30%. BHE from an associate company would The proceeds from the financings 2. Payment of Dividends Out of be at the lower of Emera’s effective cost authorized by the Commission under Capital or Unearned Surplus. To allow of capital, NSPI’s effective cost of this Application will be used for general BHE to pay dividends after the Merger, capital (if NSPI is the lender) or BHE’s corporate purposes, including (1) BHE requests authorization to pay effective cost of capital incurred in a refinancing the Merger-related debt, (2) dividends out of additional paid-in- direct borrowing at that time from financing, in part, investments by and capital and to redeem its common stock nonassociates for a comparable term capital expenditures of Emera and its held by its associate company parent in loan. In addition, borrowings by BHE Subsidiaries, (3) funding future lieu of the payment of dividends to the from an associate company would be investments in EWGs, FUCOs and Rule extent permitted by state law, provided unsecured (i.e., not backed by the 58 Companies, (4) repaying, redeeming, that in each case, BHE maintains the pledge of specific BHE assets as refunding or purchasing any securities required minimum 30% common equity collateral). issued by Emera or any Subsidiary, and capitalization. In no case will dividends BHE requests Commission (5) financing the working capital be paid if BHE’s common stock equity authorization to issue and sell securities requirements of Emera and its as a percentage of its total capitalization with maturities of less than one year.6 Subsidiaries. is below 30%. Applicants anticipate The short-term debt will not exceed an Applicants represent that no that BHE’s cash flow from operations aggregate amount of $60 million financing proceeds will be used to after the Merger will improve, because outstanding at any time during the acquire the equity securities of any BHE’s future earnings projections Authorization Period. BHE also requests company unless such acquisition has include amortization of ‘‘legacy’’ assets authorization to guarantee the been approved by the Commission in associated with its restructuring into a obligations of BHE’s subsidiaries in an this proceeding, in a separate pure ‘‘wires’’ company. Applicants aggregate amount not to exceed $30 proceeding, or in accordance with an explain that when BHE collects the million. BHE may charge each of BHE’s available exemption under the Act or revenue associated with these ‘‘legacy’’ subsidiaries a fee for each guarantee rules, including sections 32 and 33 and assets, cash flows from operations provided on its behalf that is not greater rule 58. The proceeds of financing and improve, generating operating cash in than the cost, if any, of obtaining the guarantees used to fund investments in excess of earnings. Applicants further Rule 58 Companies will be subject to state, the legacy revenues produce cash that is free and available for dividend 5 Applicants note that as a FUCO, NSPI’s the limitations of rule 58 under the Act. payments because it is derived from financing would be exempt under section 33 and D. Other Intrasystem Transactions because NSPI can offer creditors a direct claim on BHE’s former role as a provider of its assets rather than the indirect claim that Emera’s 1. Changes in Capital Stock of wholly generation. BHE states that because it no creditors are offered, NSPI generally finances its Owned Subsidiaries. The portion of an longer is in the generation business, it capital needs independently of Emera. 6 The MPUC exercises jurisdiction over the individual Subsidiary’s aggregate does not need to reinvest these revenues securities issued by BHE with maturities of one year financing to be effected through the sale in generation activities to continue to or longer. of stock to Emera or other immediate provide adequate services to customers.
VerDate 11
Applicants predict that without removal Employee Benefit Plans. Emera In accordance with the services of the cash in the form of a dividend, proposes, from time to time during the agreement, services provided by Emera BHE’s common equity component of its Authorization Period to issue and/or Services will be directly assigned if capital structure will grow. Therefore, acquire in open market transactions or possible or allocated as necessary by Applicants request that they merely use by some other method that complies activity, project, program, work order or dividends or common stock with applicable law and Commission other appropriate basis. It is anticipated redemptions to maintain BHE’s equity interpretations, then in effect, up to 5 that Emera Services will be staffed level in the 30% to 40%7 total million shares of Emera common stock primarily by transferring personnel from capitalization band. under Emera’s dividend reinvestment Emera and, to a certain extent, with 3. Financing Entities. Emera and the plan, certain incentive compensation personnel transferred from NSPI and Subsidiaries seek authorization to plans and certain other employee BHE. Emera Services’ accounting and organize new corporations, trusts, benefit plans currently existing or that cost allocation methods and procedures partnerships or other entities that will may be adopted in the future. Emera would be structured to comply with the facilitate financings by issuing income currently maintains the flowing stock Commission’s standards for service preferred securities or other securities to based benefit plans for employees: (a) companies in a registered holding third parties. To the extent not exempt Emera Senior Management Stock Option company system.8 under rule 52, the financing entities also Plan, which currently has 1,706,109 As compensation for services, the request authorization to issue the treasury shares reserved; (b) Emera services agreement will provide for securities to third parties. In connection Common Share Purchase Plan, which client companies to pay to Emera with this method of financing, Emera currently has 2,000,000 treasury shares Services the cost of such services, and the Subsidiaries may: (a) Issue reserved; and (c) Emera Dividend computed in accordance with the debentures or other evidences of Reinvestment Plan. The plans will applicable rules and regulations indebtedness to a financing entity in remain in effect following (including, but not limited to rules 90 return for the proceeds of the financing; consummation of the Merger. and 91) under the Act and appropriate (b) acquire voting interests or equity accounting standards. Where more than V. Intra-System Service Arrangements securities issued by the financing entity one company is involved in or has to establish ownership of the financing Emera requests authorization to form received benefits from a service entity (the equity portion of the entity a service company, Emera Services, to performed, the services agreement will generally being created through a capital provide a variety of services to the provide that client companies will pay contribution or the purchase of equity companies in the Emera System. The their fairly allocated pro rata share in securities, ranging from one to three individual system companies will accordance with the methods set out in percent of the capitalization of the continue to perform certain functions a schedule to the services agreement. financing entity); and (c) guarantee a independently that are most efficiently Charges for all services provided by financing entity’s obligations in and effectively provided internally by Emera Services to associate utility connection with a financing transaction. each company. Emera Services will offer companies, Nonutility Subsidiaries, and Emera and the Subsidiaries also request system-wide coordination and strategy Emera will be on an ‘‘at cost’’ basis as authorization to enter into expense services, oversight services and other determined under rules 90 and 91 of the agreements with financing entities to services where economies can be Act. pay the expenses of any such entity. captured by centralization of personnel, Emera proposes that, for a limited Applicants represent that any amounts equipment, practice and procedures in period of time ending on March 31, issued by a financing entity to a third one organization. Emera Services will 2002 (‘‘Transition Period’’), Emera will party under this authorization will be also ensure adequate oversight and continue to provide services and sell included in a overall external financing realize economies of scale by goods to Emera System companies. limitation authorized for the immediate consolidating certain administrative and Emera will comply with the provisions parent of the financing entity; however, service functions for the Emera System. of rule 90 with respect to the the underlying intra-system mirror debt Applicants anticipate that the performance of services or construction and parent guarantee shall not be following services may be offered by for associate companies on the basis of included. Emera Services to system companies: cost and with the provisions of rule 92 4. Tax Allocation Agreement. Rates and regulatory services; internal with respect to the sale of goods Applicant ask the Commission to auditing; strategic planning; external produced by the seller. Applicants state approve an agreement among certain relations; transmission and distribution the Transition Period will allow the Emera System companies to file a system management; legal services and Emera holding company system to consolidated tax return (‘‘Tax Allocation general legal oversight, as well as implement the transition to Emera Agreement’’). Applicants state the corporate secretarial functions; Services as the principal provider of Intermediate HCs are seeking to retain marketing; financial services; services to the Emera System. the benefit of tax losses that have been information systems and technology; generated by it in connection with VI. Request for Authority To Reorganize executive services such as formulating Merger-related debt only. Applicants the Nonutility Subsidiaries and executing general plans and state the Tax Allocation Agreement will policies, including operations, issuances Applicants propose to restructure not give rise to the types of problems of securities, appointment of executive Nonutility Subsidiaries. To do this, (e.g., upstream loans) that the Act was personnel, budgets and financing plans, Emera requests authorization to acquire, intended to address. expansion of services, acquisitions and directly or indirectly, the equity 5. Direct Stock Purchase and dispositions of property, and public securities of one or more intermediate Dividend Reinvestment Plan, Incentive relationships; investor relations; subsidiaries (‘‘Intermediate Compensation Plans and Other customer services; employee services; 8 Applicants represent that the regulatory agency, 7 The MPUC, which regulates BHE, has engineering; business support; power Nova Scotia Utility and Review Board UARB, will prescribed a target common equity component not procurement; purchasing; and facilities not regulate the conduct of business by Emera exceeding 40% of total capitalization. management. Services.
VerDate 11
Subsidiaries’’) organized exclusively for VII. Request To Invest in Rule 58 period, of a 2% bonus payment credited the purpose of acquiring, financing, and Companies After the Merger on amounts transferred to the New holding the securities of one or more Applicants state Emera’s post-merger Contract under the proposed offer of existing or future Nonutility investment in Canadian energy-related exchange. Subsidiaries. The Intermediate and gas related companies will be Filing Date: The application was filed Subsidiaries would be organized for the aggregated with its post-merger on August 16, 2000, and Amendment purpose of acquiring, holding and/or investment in Rule 58 Companies for No. 1 was filed on May 30, 2001. financing the acquisition of the purposes of calculating the 15% limit of Hearing or Notification of Hearing: An securities of or other interest in one or consolidated capitalization limit under order granting the application will be more EWGs, FUCOs, and Rule 58 rule 58(a)(1)(ii).9 issued unless the Commission orders a Companies. Intermediate Subsidiaries hearing. Interested persons may request may also provide management, For the Commission, by the Division of a hearing by writing to the Secretary of administrative, project development, Investment Management, pursuant to delegated authority. the Commission and serving Applicants and operating services to Nonutility with a copy of the request, personally or Margaret H. McFarland, Subsidiaries. by mail. Hearing requests must be Intermediate Subsidiaries may engage Deputy Secretary. received by the Commission by 5:30 in development activities [FR Doc. 01–14025 Filed 6–4–01; 8:45 am] p.m. on June 25, 2001, and should be (‘‘Development Activities’’) and BILLING CODE 8010–01–M accompanied by proof of service on administrative activities Applicants in the form of an affidavit or, (‘‘Administrative Activities’’) relating to for lawyers, a certificate of service. the permitted businesses of the SECURITIES AND EXCHANGE Hearing requests should state the nature Nonutility Subsidiaries. Development COMMISSION of the requester’s interest, the reason for Activities will be limited to due [Rel. No. IC–24995; File No. 812–12226] the request, and the issues contested. diligence and design review; market Persons may request notification of a studies; preliminary engineering; site Sun Life Assurance Company of hearing by writing to the Secretary of inspection; preparation of bid proposals, Canada (U.S.), et al. the Commission. including, in connection with, posting of bid bonds; application for required May 30, 2001. ADDRESSES: Secretary, Securities and permits and/or regulatory approvals; AGENCY: Securities and Exchange Exchange Commission, 450 Fifth Street, acquisition of site options and options Commission (the ‘‘Commission’’). NW., Washington, DC 20549–0609. Applicants: Sun Life Assurance on other necessary rights; negotiation ACTION: Notice of application for an Company of Canada (U.S.), One Copley and execution of contractual order pursuant to section 11(a) of the Place, Boston, Massachusetts 02116. commitments with owners of existing Investment Company Act of 1940 (the facilities, equipment vendors, ‘‘Act’’) approving the terms of an offer FOR FURTHER INFORMATION CONTACT: construction firms, power purchasers, of exchange and for an order pursuant Kenneth C. Fang, Attorney, or Keith E. thermal ‘‘hosts,’’ fuel suppliers and to section 6(c) of the Act granting Carpenter, Branch Chief, at (202) 942– other project contractors; negotiation of exemptions from sections 2(a)(32), 22(c) 0670, Office of Insurance Products, financing commitments with lenders and 27(i)(2)(A) of the Act and Rule 22c– Division of Investment Management. and other third-party investors; and 1 thereunder to permit the recapture of SUPPLEMENTARY INFORMATION: The such other preliminary activities as may certain bonus credits. following is a summary of the be required in connection with the application. The complete application is purchase, acquisition, financing or Applicants: Sun Life Assurance available for a fee from the construction of facilities or the Company of Canada (U.S.)(‘‘Sun Life’’), Commission’s Public Reference Branch, acquisition of securities of or interests Sun Life Assurance Company of Canada 450 Fifth Street, NW., Washington, DC in new businesses. Administrative (U.S.) Variable Account F (‘‘Variable 20549–0102 (tel. (202) 942–8090). Activities will include ongoing Account’’), and Clarendon Insurance personnel, accounting, engineering, Agency, Inc. (‘‘Clarendon’’). Applicants’ Representations legal, financial, and other support Summary of Application: Applicants Applicants activities necessary to manage Emera’s seek an order approving the terms of a investments in Nonutility Subsidiaries. proposed offer of exchange of MFS 1. Sun Life is a stock life insurance Applicants state restructuring could Regatta Choice, a new variable annuity company incorporated under the laws of also involve the acquisition of one or contract issued by Sun Life and made Delaware on January 12, 1970. Sun Life more new special-purpose subsidiaries available through the Variable Account does business in 49 states of the United (‘‘SPSs’’). The SPS would acquire and (the ‘‘New Contract’’), for MFS Regatta States, the District of Columbia and hold direct or indirect interests in any Gold, an outstanding annuity contract Puerto Rico. Sun Life is an indirect or all of the Emera System’s existing or issued by Sun Life and made available wholly-owned subsidiary of Sun Life future authorized nonutility businesses. through the Variable Account (the ‘‘Old Assurance Company of Canada (‘‘Sun Applicants may transfer existing Contract,’’ collectively with the New Life (Canada)’’). Sun Life (Canada) Subsidiaries, or portions of existing Contract, the ‘‘Contracts’’). Applicants completed its demutualization on businesses, among the Emera associates also seek an order to permit the March 22, 2000. As a result of the and/or the reincorporation of existing recapture, from any New Contract demutualization, a new holding Subsidiaries in a different jurisdiction. returned to Sun Life during the free look company, Sun Life Financial Services of Emera does not seek authorization to Canada Inc. (‘‘Sun Life Financial’’), is acquire an interest in any nonassociate 9 Emera conducts various businesses in Canada now the ultimate parent of Sun Life company as part of the authority that would qualify as ‘‘energy-related’’ or ‘‘gas- (Canada) and Sun Life. Sun Life requested and states that the related’’ companies under rule 58, but for the fact Financial, a corporation organized in that the revenues from these companies are from reorganization will not result in the Canada. Emera requests that investment in these Canada, is a reporting company under entry by the Emera System into a new, companies be excluded from the investment limit the Securities Exchange Act of 1934 unauthorized line of business. under rule 58 of the Act. with common shares listed on the
VerDate 11
Toronto, New York, London and Manila Life would be able to offer a bonus minimum initial purchase payment of stock exchanges. program to its existing Old Contract $10,000. The Variable Account is the separate owners that is similar to its competitors’ 9. Account Values of the New contract account in which Sun Life sets aside programs. However, unlike its currently may be allocated to sub- and invests assets attributable to the competitors who may make bonus offers accounts of the Variable Account that Contracts. The Variable Account is to Old Contract owners, Sun Life is each invest in one of 29 different organized and registered under the Act constrained from making a similar offer investment company portfolios as a unit investment trust (File No. 811– without first obtaining Commission (‘‘Underlying Funds’’)—29 mutual 05846). approval of the terms of the exchange. funds sponsored by MFS/Sun Life 3. Clarendon is registered with the 7. Applicants state that, in response to Series Trust. Commission as a broker-dealer and is a this competitive situation, Sun Life has 10. Values may also be accumulated member of the National Association of developed an attractive offer (‘‘Exchange on a guaranteed basis by allocation to Securities Dealers, Inc. Clarendon is the Offer’’) that would give eligible owners Sun Life’s general account (the ‘‘Fixed principal underwriter for the Contracts of the Old Contract the opportunity to Account’’). Contract owners may select and acts as general distributor of certain exchange their contracts for a New one or more ‘‘Guarantee Periods’’ from other of Sun Life’s variable insurance Contract. On the day the exchange is those available guaranteed interest rates products. Clarendon is a wholly-owned effected (the ‘‘Exchange Date’’), eligible for the duration of the particular subsidiary of Sun Life. owners would also receive a 2% bonus Guarantee Period(s) selected by the Contract owner. Sun Life guarantees Reasons for Exchange Offer based on the total accumulation value (‘‘Account Value’’) of each Old Contract that it will credit interest at a minimum 4. Applicants assert that, during surrendered in exchange for a New rate of 3% per year, compounded recent years, the variable annuity Contract (‘‘2% Bonus’’). Withdrawals annually, to amounts allocated to the marketplace has become increasingly made after the free look period under Fixed Account. Sun Life may credit competitive. Many of the purchasers of the New Contract has expired would be interest at a rate in excess of the variable annuity contracts in the 1980s governed by the terms of the New minimum rate; however, it is not and early 1990s are at, or close to, the Contract, including application of the obligated to do so. The Guarantee expiration of their deferred sales charge withdrawal charge (referred to in this Periods are offered pursuant to a period, and the contract values of many application as the ‘‘contingent deferred registration statement under the 1933 contracts are no longer subject to a sales charge’’ or ‘‘CDSC’’). If a Contract Act filed on June 12, 2000 (File No. deferred sales charge. Holders of such owner exercises his or her right to 333–39034). contracts have become ‘‘prime targets’’ cancel the New Contract during the free 11. All cash withdrawals of any for competitors’ variable annuity sales look period, the 2% Bonus will be guarantee amount from the Fixed efforts. In response to these forces, the returned to Sun Life and the Old Account, except those effective within market has seen the continuous Contract will be reinstated with an 30 days prior to the expiration date of introduction of innovative products Account Value that reflects the the Applicable guarantee Period or the with attractive features to catch the eye investment experience while the New withdrawal of interest credited during of existing and prospective variable Contract was held. Applicants state that the current Contract year, are subject to annuity purchasers. Sun Life has the terms of the Exchange Offer, which a market value adjustment (‘‘MVA’’). experienced the effects of its will be communicated to eligible The MVA reflects the relationship competitors’ offers, which often include Contract owners in a notification of the between the current rate for the ‘‘bonus offers,’’ through the loss of a Exchange Offer (the ‘‘Offering Letter’’), guarantee amount being withdrawn and substantial portion of its Old Contract are designed to respond to the business the guaranteed interest rate applicable business. practicalities of Sun Life’s competitive to the amount being withdrawn. It also 5. Applicants state that Sun Life’s situation and to assure that persisting reflects the time remaining in the competitors are permitted to make Contract owners who accept the applicable Guarantee Period. Generally, attractive offers to Sun Life’s Old Exchange Offer receive an immediate if the guaranteed interest rate is lower Contract owners because, among other and enduring economic benefit. than the applicable current rate, then reasons, offers of exchange to contract application of the MVA will result in a owners of unaffiliated insurance The New Contract lower payment upon withdrawal. companies are not prohibited by Section 8. The MFS Regatta Choice Contract is Conversely, if the guaranteed interest 11 of the Act (nor subject to the offered pursuant to a registration rate is higher than the applicable requirements of Rule 11a–2 thereunder) statement under the Securities Act of current rate, the application of the MVA by virtue of a Commission staff no- 1933 (the ‘‘1933 Act’’) filed on February will result in a higher payment upon action position granted to Alexander 22, 2000, and last amended on April 23, withdrawal. Hamilton Funds (pub. avail. July 20, 2001 (File No. 333–30844). Applicants 12. Account Value may be transferred 1994). Applicants state that the state that the MFS Regatta Choice among the sub-accounts of the Variable Alexander Hamilton letter stands for the Contract was designed to enhance the Account without charge, although Sun proposition that, except for limited MFS Regatta Gold Contract, adding four Life reserves the right to limit the exceptions, exchange offers between new optional enhanced death benefit number of transfers to 12 in a Contract unaffiliated investment companies are features incorporated in 10 optional year and to charge up to $15 per not prohibited under Section 11. riders and other enhancements. The transfer. Transfers to and from the Fixed Consistent with Section 11(a), therefore, MFS Regatta Choice Contract is offered Account are permitted, subject to a fund may impose a contingent as individual and group flexible certain restrictions described in the deferred sales charge on shares payment variable annuity contracts for prospectus for the New Contract. purchased by investors with proceeds of use in connection with retirement and 13. Contract owners may enroll in an shares exchanged from an unaffiliated deferred compensation plans. It permits optional Dollar Cost Averaging program fund. Account Value to be accumulated on a (the ‘‘DCA Program’’) by allocating a 6. Applicants assert that, but for the variable, fixed, or combination of minimum of $1,000 of their purchase affiliated nature of the exchange, Sun variable and fixed basis. It requires a payment into the DCA Program and pre-
VerDate 11
authorizing transfers to any of the sub- of purchase payments made during that greatest of any of the basic death benefit accounts at regular time intervals. Contract year. After the first Contract amounts, plus (b) 25% of the difference 14. Contract owners may also enroll anniversary, the free withdrawal between Account Value and net in one of three asset allocation models, amount is equal to the amount of all purchase payments, capped at 25% of each of which represents a combination purchase payments made before the last net purchase payments made prior to of sub-accounts with a different level of seven years that have not been death, calculated as of the death benefit risk. Contract owners who elect an asset withdrawn, plus the greater of: (a) All date. Net purchase payments under the allocation model will have their earnings minus any previous EEB Rider will be adjusted for all partial investment options automatically withdrawals taken during the life of the withdrawals. The ‘‘Earnings reallocated on a quarterly basis, or as Contract, or (b) 15% of the amount of all Enhancement Plus (‘‘EEB Plus’’) Rider’’ determined by the terms of the asset purchase payments made during the last enhances the death benefit in one of two allocation program. The former MFS seven years, including the current ways depending on the Contract asset allocation model, which was Contract year, minus any free owner’s age on the Contract Date. If the available under the Old Contract but withdrawals taken during the current Contract owner was 69 or younger on discontinued in May 1998, will be made Account year. Any unused ‘‘free the Contract Date, the enhanced death available under New Contracts to withdrawal amount’’ is not cumulative benefit is (a) the greatest of any of the owners of Old Contracts who are if it was based upon 15% of all purchase basic death benefit amounts, plus (b) currently participating in that model. payments made during the last seven 40% of the difference between Account 15. Contract owners with an Account Contract years, but is cumulative if it Value and net purchase payments, up to Value of $10,000 or more may was based on all earnings minus a cap of 100% of net purchase payments participate in the Systematic previous withdrawals. made prior to death, calculated as of the Withdrawal Program. Under the death benefit date. After the 7th Systematic Withdrawal Program, a 19. The New Contract provides for a basic death benefit and 10 optional Contract year, the cap is 100% of the Contract owner may elect to receive difference between net purchase automatic withdrawals from his or her death benefit riders, each of which provides an enhanced death benefit. An payments and any purchase payments Account Value, the amount and made within the 12 months prior to frequency of which is determined by the optional death benefit election must be made, if at all, before the date Sun Life death. If the Contract owner was Contract owner. An MVA may apply to between 70 and 79 on the Contract Date, withdrawals under the Systematic accepted the Contract owner’s first purchase payment (the ‘‘Contract Date’’) the enhanced death benefit is (a) the Withdrawal Program. greatest of any of the basic death benefit 16. Contract owners may enroll in the and the Contract owner’s 80th birthday amounts, plus (b) 25% of the difference Portfolio Rebalancing Program, whereby and may not be changed after the New between Account Value and net funds are transferred among the sub- Contract is issued. Contract owners pay purchase payments, up to a cap of 40% accounts in order to maintain the an additional charge during the of net purchase payments made prior to percentage allocation the Contract accumulation phase for each optional owner has selected. The transfers may death benefit rider elected. The death, calculated as of the death benefit occur on a quarterly, semi-annual or ‘‘Maximum Anniversary Account Value date. After the 7th Contract year, the cap annual basis. (‘‘MAV’’) Rider’’ enhances the death is 40% of the difference between net 17. Contract owners may enroll in the benefit by providing the greater of (a) purchase payments and any purchase Secured Future Program, under which any of the basic death benefits, or (b) the payments made within the 12 months purchase payments are divided between highest Account Value on any Account prior to death. The MAV Rider, the 5% the Fixed Account and the sub- anniversary before the Contract owner’s Roll-Up Rider and the EEB Rider may be accounts. For the Fixed Account 81st birthday, adjusted for subsequent combined. The EEB Plus, EEB Plus portion, a portion of the purchase purchase payments, partial withdrawals MAV and EEB Plus 5% Roll-Up Riders payment is allocated to a Guarantee and charges between that Account are designed to be ‘‘comprehensive’’ Period of the Contract owner’s choosing, anniversary and the death benefit date. riders and may not be combined with so that at the end of the Guarantee The ‘‘5% Premium Roll-Up (‘‘5% Roll- each other or with any of the other Period, the Fixed Account allocation Up’’) Rider’’ enhances the death benefit death benefit riders. The New Contract (including interest) will equal the entire by providing the greater of (a) any of the prospectus describes how the death amount of the original purchase basic death benefits, or (b) total benefit will be calculated if a Contract payment. The remainder of the original purchase payments plus interest owner elects more than one optional purchase payment will be invested in accruals, adjusted for partial death benefit rider. the sub-accounts of the Contract owner’s withdrawals. The ‘‘Earnings 20. The New Contract contains four choosing. At the end of the Guarantee Enhancement (‘‘EEB’’) Rider’’ enhances annuity payment options. Annuity Period, the Contract owner will be the death benefit in one of two ways options are available on a fixed or guaranteed the amount of the original depending on the Contract owner’s age variable basis, or a combination thereof. purchase payment, in addition to the on the Contract Date. If the Contract 21. The New Contract assesses a investment performance of the owner was 69 or younger on the CDSC against partial or full surrenders subaccounts. Contract Date, the enhanced death in excess of the free withdrawal amount. 18. Account Value under the New benefit is (a) the greatest of any of the The length of time from receipt of a Contract may be accessed at any time basic death benefit amounts, plus (b) purchase payment to the time of prior to the annuity commencement 40% of the difference between Account surrender determines the percentage of date by means of partial surrenders or Value and net purchase payments, the CDSC. During the first seven years full surrender. The annual withdrawal capped at 40% of net purchase from each purchase payment, a CDSC amount, which is not subject to the payments made prior to death, will be assessed against the surrender of CDSC, is referred to herein as the ‘‘free calculated as of the death benefit date. purchase payments that is a percentage withdrawal amount.’’ During the first If the Contract owner was between 70 of the amount surrendered (not to Contract year, the New Contract permits and 79 on the Contract Date, the exceed the aggregate amount of the a free withdrawal amount of up to 15% enhanced death benefit is (a) the purchase payments made). The CDSC
VerDate 11
ranges from 7% in year 1 to 0% in year MAV and 5% Roll-Up Riders; and registration statement under the 1933 7 and after. 0.40% for the combination EEB and Act filed on April 26, 1999 (File No. 22. In certain states, the New Contract MAV and 5% Roll-Up, EEB Plus MAV, 333–77041) and will be carried forward provides for a waiver of the CDSC if the and EEB Plus 5% Roll-Up Riders. upon exchange to the New Contract. Contract owner is confined to an eligible 27. Charges are deducted from 32. Account Value of an Old Contract nursing home and has been there for at purchase payments under the New may be accessed by means of partial least the preceding 180 days, or shorter Contract for premium tax, if applicable, surrenders or full surrender. The CDSC period in some states, and at least one imposed by a state or other is not applied to the annual free year has passed since the Contract Date. governmental entity. Certain states withdrawal amount equal to 10% of Additionally, Sun Life does not impose impose a premium tax, currently purchase payments made during the last the CDSC on amounts applied to ranging up to 3.5%. Sun Life pays seven Contract years, including the provide an annuity, amounts Sun Life premium taxes at the time imposed current Contract year, plus all purchase pays as a death benefit, except under the under applicable state law and recovers payments made before the last seven cash surrender method, or amounts premium taxes upon full surrender, Contract years that have not been transferred among the sub-accounts, when a death benefit is paid or at previously withdrawn. For Old between the sub-accounts and the Fixed annuitization. Contracts issued after November 1994, Account, or within the Fixed Account. the annual withdrawal allowance may The Old Contract 23. During the life of the New be carried forward and available for use Contract, Sun Life deducts a mortality 28. The MFS Regatta Gold Contract is in future years on a cumulative basis. and expense risk charge from the value offered pursuant to a registration 33. The Old Contract offers a basic of the assets of the Variable Account at statement under the 1933 Act (File No. death benefit determined as of the death an effective annual rate of 1.00% (if 33–41628). The Old Contract is offered benefit date. The Old Contract offers a initial purchase payment was less than as a flexible payment group and choice of five annuity options. Each $1 million) and 0.85% (if initial individual tax-deferred variable annuity annuity option is available on a variable purchase payment was $1 million or contract. It permits Account Value to be or fixed basis or combination thereof. more). If a Contract owner annuitizes accumulated on a variable, fixed or 34. For maintenance of the Old his New Contract prior to the eighth combination variable and fixed basis. Contract, an account fee equal to the Contract year, Sun Life will deduct an The minimum initial purchase payment lesser of $30 or 2% of the value of the additional 0.25% during the income is $5,000 ($10,000 in California, Texas Old Contract is deducted from the phase. and Maryland since October 1999). Account Value of each Old Contract 24. During the accumulation phase, 29. Account Values of the New annually for the first five years of a Sun Life deducts an account fee on each Contract currently may be allocated to Contract. After the fifth year, Sun Life Contract anniversary. During Contract the same 29 sub-accounts of the may change this fee annually, but it will years one through five, the account fee Variable Account available under the never exceed the lesser of $50 or 2% of is $35. After Contract year five, Sun Life New Contract, each of which invests in Account Value. may change the account fee each year, an Underlying Fund of the MFS/Sun 35. A mortality and expense risk but it will never exceed $50. Sun Life Life Series Trust. charge at an annual rate of 1.25% of deducts the account fee pro rata from 30. Contract owners may participate daily sub-account value and an each sub-account and each Guarantee in the DCA Program, Asset Allocation administrative expense charge at an Period based on the allocation of Program, Systematic Withdrawal annual rate of 0.15% of daily sub- Account Value on a Contract owner’s Program, Interest Out Program, Portfolio account value are deducted from Contract anniversary. Sun Life will not Rebalancing Program and Secured Account Value. charge the account fee if a Contract Future Program. Under the Interest Out 36. Currently, no fee is imposed on owner’s Account Value has been Program, the Contract owner may opt to the twelve transfers allowed per allocated only to the Fixed Account be paid or reinvest the interest credited Contract year; however, Sun Life during the applicable Contract year or if to all Guarantee Periods that the reserves the right to impose a transfer Account Value is $75,000 or more on a Contract owner has chosen. The fee of up to $15 per transfer. In addition, Contract anniversary. During the income withdrawals under both the Systematic an MVA may be calculated on amounts phase, Sun Life deducts an annual Withdrawal Program and the Interest transferred from or within the Fixed account fee of $35 in equal amounts Out Program are subject to surrender Account. from each variable annuity payment charges. 37. Charges for premium taxes, if any, made during the year. No fee is 31. Account Values may also be imposed by a state or other deducted from fixed annuity payments. allocated to the one or more Fixed governmental entity are deducted from 25. Sun Life deducts from the assets Account Guarantee Periods made purchase payments under the Old of the Variable Account an available from time to time. Sun Life Contract. Certain states impose a administrative expense charge at an may change the guaranteed interest rates premium tax, currently ranging up to annual effective rate equal to 0.15% it offers from time to time, but no 3.5%. Sun Life pays premium taxes at during both the accumulation phase and guaranteed interest rate will ever be less the time imposed under applicable state the income phase. than 3% per year (4% per year for law and recovers the premium taxes 26. Charges for the optional death Contracts issued before November upon full surrender, death or benefit riders under the New Contract 1993), compounded annually. Early annuitization. will vary based on the particular death withdrawals from an allocation to a 38. Applicants represent that the benefit rider elected. The charge (as a Guarantee Period, including cash features and benefits of the New percentage of daily Account Value) for withdrawals, transfers, and Contract will be no less favorable than various death benefit riders are as commencement of an annuity, may be under the Old Contract, except for follows: 0.15% for the MAV, 5% Roll- subject to an MVA, which could differences in the annuitization options, Up and EEB Riders; 0.25% for the EEB increase or decrease Account Value. free withdrawal amount and the Fixed Plus Rider and the combination EEB Guarantee Periods under the Old Account Interest Out Program. and MAV, EEB and 5% Roll-Up, and Contract are offered pursuant to a Applicants also represent that the fees
VerDate 11
and charges of the New Contract will be and anniversaries after the Exchange form seek owner acknowledgment that no higher than those of the Old Date. the Exchange Offer is suitable only for Contract, with the exception of the 42. Sun Life will send the Offering a Contract owner if he or she expects to annual account fee and the CDSC. Letter to eligible Contract owners and hold the New Contract as a long-term their brokers that will explain the terms investment and the Contract owner may Terms of the Exchange Offer of the Exchange Offer and instruct be better off rejecting the Exchange Offer 39. Applicants propose to offer eligible owners of Old Contracts to if he or she plans to surrender the New eligible owners of Old Contracts the contact their brokers for assistance with Contract during the CDSC period. All opportunity to exchange their Old completing the offer. Contract owners boxes on the form must be checked off Contract for a New Contract by means will be provided with a prospectus for with affirmative responses before Sun of the Exchange Offer. Eligible MFS the New Contract, the Offering Letter Life will process the exchange. After Regatta Gold Contract owners will be that compares the applicable Contracts making a suitability determination, permitted to exchange their entire MFS and an Internal Exchange Application broker-dealers will be required to Regatta Gold Contract for an MFS Form. forward completed forms to Sun Life for Regatta Choice Contract. To be eligible 43. The Offering Letter will advise processing. In the event Sun Life for the Exchange offer, Contract owners owners of an Old Contract that the receives an incomplete form (i.e., a form must (a) Have completed seven or more Exchange Offer is specifically designed with one or more acknowledgment Contract years under their Old Contract, for those Contract owners who intend to boxes not checked off), Sun Life will not (b) not have made total purchase continue to hold their Contracts as long- process the exchange, treating the payments during the most recent five term investment vehicles. The Offering transaction as ‘‘not in good order.’’ Sun Contract years that are greater than 25% Letter will state that the offer is not Life intends to contact any broker-dealer of the purchase payments made prior to intended for all Contract owners, and who submits a form not in good order, the most recent seven Contract years, that it is especially not appropriate for however, in no event will Sun Life and (c) meet eligibility requirements of any Contract owner who anticipates process exchange transactions based on MFS Regatta Choice. surrendering all or a significant part incomplete forms. (i.e., more than the ‘‘free withdrawal 40. Sun Life, from its general account, 45. The Account Value of an Old amount’’ on an annual basis) of his or will provide a 2% Bonus to each owner Contract (‘‘Exchange Value’’) together her Contract before seven years. The of an Old Contract who accepts the with the 2% Bonus and any additional Offering Letter will also state that purchase payments submitted with an offer, which is based on the Account Contract owners with amounts allocated Internal Exchange Application Form for Value of each Old Contract surrendered to Old Contract Guarantee Periods will the New Contract will be applied to the in exchange for a New Contract. The experience no change in Guarantee New Contract as of the Exchange Date. Exchange Offer will provide that, upon Period upon acceptance of the Exchange No CDSC will be deducted upon the acceptance of the offer, a New Contract Offer. The Offering Letter will surrender of an Old Contract if received will be issued with an Account Value encourage Contract owners to carefully in connection with the Exchange Offer. equal to 2% greater than the Account evaluate their personal financial If a Contract owner surrenders his New Value of the Old Contract surrendered situation when deciding whether to Contract after the free look period but in the exchange. The Account Value of accept or reject the Exchange Offer. In prior to the completion of the CDSC an Old contract (‘‘Exchange Value’’), addition, the Offering Letter will period, Sun Life will apply the CDSC together with the 2% Bonus and any explain how an owner of an Old based on the number of Contract years additional purchase payments Contract contemplating an exchange payment has been in a New Contract: submitted with an Internal Exchange may avoid the applicable CDSC on the 7% for Contract years 0–1, 7% for Application Form for the New Contact, New Contract if no more than the Contract years 1–2, 6% for Contract will be applied to the New Contract as annual ‘‘free withdrawal amount’’ is years 2–3, 6% for Contract years 3–4, of the Exchange Date. No CDSC will be surrendered and any subsequent 5% for Contract years 4–5, 4% for deducted upon the surrender of an Old deposits are held until expiration of the Contract years 5–6, 3% for Contract Contract if received in connection with CDSC period. In this regard, the Offering years 6–7, and 0% for Contract years 7 the Exchange Offer. Letter will state in concise, plain or more. If a Contract owner exercises 41. If a Contract owner exercises his English that if the New Contract is his or her right to cancel the New or her right to cancel the New Contract surrendered during the initial CDSC Contract during the free look period, the during the free look period, the 2% period, (a) the 2% Bonus may be more 2% Bonus will be returned to Sun Life Bonus will be returned to Sun Life and than offset by the CDSC, and (b) a and the Old Contract (including the Old Contract (including amounts Contract owner may be worse off then amounts allocated to Guarantee Periods) allocated to Guarantee Periods) will be if he or she had rejected the Exchange will be reinstated with an Account reinstated with an Account Value that Offer. Value that reflects the investment reflects the investment experience while 44. The Internal Exchange experience while the New Contract was the New Contract was held. After Application Form, which will held. The Exchange Date will be the expiration of the New Contract’s free accompany the Offering Letter, will issue date of the New Contract for look period, withdrawals will be include an owner acknowledgment purposes of determining Contract years governed by the terms of the New section with check-off boxes setting and anniversaries after the Exchange Contract for purposes of calculating any forth specific questions designed, Date. CDSC. If a Contract owner surrenders among other things, to determine a 46. To accept the Exchange Offer, an his New Contract prior to the Contract owner’s suitability for the owner of an Old Contract must complete completion of the CDSC period, Sun Exchange Offer. In particular, the form an Internal Exchange Application Form. Life will apply the applicable CDSC will seek affirmative confirmation that Account Values will be allocated to the according to the New Contract’s seven- an owner does not anticipate a need to same Vairable Account investment year schedule. The Exchange Date will withdraw more than 15% per year (plus options and the same Guarantee Periods be the issue date of the New Contract for earnings) from the New Contract during under the New Contract on the purposes of determining Contract years the CDSC period. Other questions on the Exchange Date. Account Values may
VerDate 11
subsequently be reallocated under the 2. The Offering Letter will disclose in exchange. The logs will include the date new Contract (including to new concise, plain English each aspect of the of complaint or commencement of Guarantee Periods of the Fixed Account) New Contract that will be less favorable proceeding; name and address of the pursuant to Contract owner instructions. than the Old Contract. person making the complaint or Payments submitted with the Internal 3. Sun Life will send the Offering commencing the proceeding; nature of Exchange Application Form will be Letter directly to eligible contract the complaint or proceeding; and assumed to be payments under the New owners. A Contract owner choosing to persons named or involved in the Contract as of the date of issue of the exchange will then complete and sign complaint or proceeding. Applicants New Contract. Applicants state that no an Internal Exchange Application Form, will retain records specified in (a) and adverse tax consequences will be which will prominently restate in (d) for six years after the date the incurred by those Contract owners who concise, plain English the statements records are created, records specified in accept the Exchange Offer. As to non- required in Condition No. 1, and return (b) for a period of six years after the date qualified Contracts, the exchanges will it to Sun Life. If the Internal Exchange of last issue, and records specified in (c) constitute tax-free exchanges pursuant Application Form is more than two for a period of two years after the date to Section 1035 of the Internal Revenue pages long, Sun Life will use a separate that the initial CDSC period of the New Code. Any exchange with respect to IRA document to obtain Contract owner Contract ends. Contracts will be a direct transfer and acknowledgment of the statements Applicants’ Legal Analysis not taxable distributions to Contract required in Condition No. 1. owners. 4. Sun Life will maintain the Section 11 47. Applicants state that the Exchange following separately identifiable records 1. Section 11(a) of the Act makes it Offer is meant to encourage existing in an easily accessible place for the time periods specified below in this unlawful for any registered open-end Contract owners to remain with Sun Condition No. 4, for review by the company, or any principal underwriter Life rather than surrender their Commission upon request: (a) Records for such a company, to make or cause Contracts in exchange for a competitor’s showing the level of exchange activity to be made an offer to the holder of a product offering a similar bonus. If the and how it relates to the total number security of such company, or of any New Contract CDSC is not permitted on of Contract owners eligible to exchange other open-end investment company, to the Exchange Value, Applicants believe (quarterly as a percentage of the number exchange his security for a security in that some Contract owners might eligible); (b) copies of any form of the same or another such company on exchange their New Contract intending Offering Letter and other written any basis other than the relative net to take advantage of the 2% Bonus and materials or scripts for presentations by asset values of the respective securities, then surrender the New Contract representatives regarding the Exchange unless the terms of the offer have first intending to take advantage of the 2% Offer that Sun Life prepares or been submitted to and approved by the Bonus and then surrender the New approves, including the dates that such Commission or are in accordance with Contract without a CDSC. Without the materials were used; (c) records Commission rules adopted under CDSC, Sun Life would have no containing information about each section 11. assurance that a Contract owner who exchange transaction that occurs, 2. Section 11(c) of the Act, in accepted the Exchange Offer would including the name of the Contract persist for long enough for the 2% pertinent part, requires, in effect, that owner; Old and New Contract numbers; any offer of exchange of the securities of Bonus and payments to registered the amount of the CDSC waived on representatives to be recouped through a registered unit investment trust for the surrender of the Old Contract; securities of any other investment standard fees from the ongoing Guarantee Periods carried forward; operation of the New Contract. company be approved by the optional death benefits selected; Bonus Commission or satisfy applicable rules Applicants state that registered paid; the name and C.R.D. number of representatives will be paid adopted under section 11, regardless of the registered representative soliciting the basis of the exchange. commissions for soliciting exchanges the exchange, firm affiliation, branch 3. The purpose of section 11 of the that are less than they normally are paid office address, telephone number, and Act is to prevent ‘‘switching,’’ the for soliciting sales of the New Contract. name of the registered representative’s practice of inducing security holders of Applicants state that compensating broker-dealer; commission paid; the one investment company to exchange registered representatives for these Internal Exchange Application Form their securities for those of a different exchanges is necessary in order to (and separate document, if any, used to investment company, ‘‘solely for the provide sufficient incentive for them to obtain the Contract owner’s purpose of exacting additional selling compete with competitors’ registered acknowledgment of the statements charges.’’ That type of practice was representatives. required in Condition No. 1) showing found by Congress to be widespread in Applicants’ Conditions the name, date of birth, address and telephone number of the Contract the 1930s prior to adoption of the Act. Applicants agree to the following owner, and the date the Internal 4. Section 11(c) of the Act requires conditions: Exchange Application Form (or separate Commission approval (by order or by 1. The Offering Letter will contain document) was signed; amount of rule) of any exchange, regardless of its concise, plain English statements that Account Value exchanged; and basis, involving securities issued by a (a) The Exchange Offer is suitable only persistency information relating to the unit investment trust, because investors for Contract owners who expect to hold New Contract including the date of any in unit investment trusts were found by their Contracts as long-term investments subsequent surrender and the amount of Congress to be particularly vulnerable to and (b) if the New Contract is CDSC paid on surrender; and (d) logs switching operations. surrendered during the initial CDSC showing a record of any Contract owner 5. Applicants assert that the potential period, the 2% Bonus may be more than complaint about the exchange; state for harm to investors perceived in offset by the CDSC and a Contract owner insurance department inquiries about switching was its use to extract may be worse off than if he or she had the exchange; or litigation, arbitration or additional sales charges from those rejected the Exchange Offer. other proceedings regarding any investors.
VerDate 11
6. Applicants assert that the terms of thing to multiple deduction of sales Contract owner returns a New Contract the proposed Exchange Offer do not loads that is possible in a CDSC to Sun Life for a refund during the free present the abuses against which section context—multiple exposure to sales look period. 11 was intended to protect. The loads upon surrender or redemption. If 13. Applicants assert that with respect Exchange Offer was designed to allow tacking and other safeguards of Rule to refunds paid upon the return of the Sun Life to compete on a level playing 11a–2 are present, there is no need for New Contract within the free look field with its competitors who are the Commission or its staff to evaluate period, the amount payable by Sun Life making bonus offers to its Contract the terms of the offer. The absence of must be reduced by the 2% Bonus owners. No addition sales load or other tacking in this fully scrutinized Section amount. Otherwise, purchasers could fee will be imposed at the time of 11 application will have no impact on apply for the New Contract for the sole exercise of the Exchange Offer. offers made pursuant to the rule on a purpose of exercising the free look 7. Rule 11a–2, by its express terms, ‘‘sight unseen’’ basis. provision and making a quick profit. provides Commission approval of 10. Applicants assert that the terms of Applicants represent that it is not certain types of offers of exchange of the Exchange Offer are better than those administratively feasible to track the 2% one variable annuity contract for of its competitors. No tacking is Bonus amount in the Variable Account another. Applicants assert that other required when Sun Life’s competitors after the 2% Bonus is applied. than the relative net asset value offer than variable annuity contracts to Accordingly, the asset-based charges requirement (which is not satisfied owners of Old Contracts or when Sun applicable to the Variable Account will solely because Contract owners Life makes such an offer to competitor’s be assessed against the entire amounts accepting the offer will be a given a 2% contract owners. In those exchanges, held in the Variable Account, including Bonus) the only part of Rule 11a–2 that unlike the ones proposed here, the the 2% Bonus amount, during the free would not be satisfied by the proposed exchanging Contract owners actually look period. As a result, during such Exchange Offer is the requirement that must pay any remaining CDSC on the period, the aggregate asset-based charges payments under the exchanged contract exchanged Contract at the time of the assessed against a Contract owner’s (the Old Contract) be treated as if they exchange. Account Value will be higher than those had been made under the acquired 11. To the extent there are differences that would be charged if the Contract contract (the New Contract) on the dates in the Contracts, those differences relate owner’s Account Value did not include actually made. This provision of Rule to enhanced contractual features and the 2% Bonus. 11a–2 is often referred to as a ‘‘tacking’’ charges that are fully described in 14. Subsection (i) of Section 27 of the requirement because it has the effect of prospectuses for the New Contracts. Act provides that Section 27 does not ‘‘tacking together’’ the CFSC expiration Furthermore, the Offering Letter will apply to any registered separate account periods of the exchanged and acquired contain concise, plain English funding variable insurance contracts, or contracts. statements that (a) the Exchange Offer is to the sponsoring insurance company 8. Applicants assert that the absence suitable only for Contract owners who and principal underwriter of such of tacking does not mean that an expect to hold their Contracts as long- account, except as provided in exchange offer cannot be very attractive term investments and (b) if the New paragraph (2) of the subsection. and beneficial to investors. Applicants Contract is surrendered during the Paragraph (2) provides that it shall be state that the proposed Exchange Offer initial CDSC period, the 2% Bonus may unlawful for such a separate account or would assure an immediate and be more than offset by the CDSC and a sponsoring insurance company to sell a enduring economic benefit to investors. Contract owner may be worse off than contract funded by the registered The 2% Bonus would be applied if or she had rejected the Exchange separate account unless such contract is immediately and the fact that asset- Offer. Applicants assert that Contract a redeemable security. Section 2(a)(32) based charges would be decreased by owners should have the opportunity to defines ‘‘redeemable security’’ as any the exchange (except for those who decide, on the basis of full and fair security, other than short-term paper, select two or three additional optional disclosure, whether the enhancements under the terms of the which the holder, death benefit riders) would assure that of the New Contracts and the 2% Bonus upon presentation to the issuer, is the benefit would endure. An owner of justify accepting the offer. entitled to receive approximately his an Old Contract who intends to Sections 2(a)(32), 22(c), 27(i)(2)(A) proportionate share of the issuer’s continue to hold the Contract as a long- and Rule 22c–1 current net assets, or the cash equivalent term retirement planning vehicle will be 12. Section 6(c) of the Act authorizes thereof. significantly advantaged by the the Commission to exempt any person, 15. Applicants submit that the Exchange Offer because this 2% Bonus security or transaction, or any class or recapture of the 2% Bonus upon return will automatically be added to his or her classes of persons, securities or of a New Contract during the free look Account Value upon receipt of an transactions from the provisions of the period would not deprive the owner of enhanced New Contract. No sales charge Act and the rules promulgated his or her proportionate share of the will ever be paid on the amounts rolled thereunder, if and to the extent that issuer’s current net assets. Applicants over in the exchange unless the New such exemption is necessary or assert that a Contract owner’s interest in Contract is surrendered before appropriate in the public interest and the 2% Bonus allocated to his or her expiration of the New Contract’s CDSC consistent with the protection of Account Value upon exchange is not period. investors and the purposes fairly vested until the applicable free look 9. Applicants assert that tacking intended by the policy and provisions of period has expired without return of the should be viewed as a useful way to the Act. Applicants seek exemption Contract. Until the right to recapture has avoid the need to scrutinize the terms of pursuant to section 6(c) from sections expired and 2% Bonus is vested. an offer of exchange to make sure that 2(a)(32), 22(c), and 27(i)(2)(A) of the Act Applicants assert that Sun Life retains there is not abuse. Tacking is not a and Rule 22c–1 thereunder to the extent the right and interest in the 2% Bonus, requirement of Section 11. Rather, it is deemed necessary to permit Sun Life to although not in the earnings attributable a creation of a rule designed to approve issue New Contracts that provide for a to that amount. Applicants assert that the terms of offers of exchange ‘‘sight 2% Bonus upon exchange and to when Sun Life recaptures the 2% unseen.’’ Tacking focuses on the closest recapture the 2% Bonus when a Bonus, it is merely retrieving its own
VerDate 11
assets, and the Contract owner has not and Rule 22c–1. Applicants argue that For the Commission, by the Division of been deprived of a proportionate share the recapture of the 2% Bonus does not Investment Management, pursuant to of the Variable Account’s assets because involve either of the evils that Rule 22c– delegated authority. his or her interest in the Bonus amount 1 was intended to eliminate or reduce Margaret H. McFarland, has not vested. as far as reasonably practicable, namely: Deputy Secretary. 16. In addition, Applicants assert that (a) The dilution of the value of [FR Doc. 01–14076 Filed 6–4–01; 8:45 am] permitting a Contract owner to retain a outstanding redeemable securities of BILLING CODE 8010–01–M 2% Bonus under a New Contract upon registered investment companies the exercise of the right to cancel during through their sale at a price below net the free look period would not only be asset value or repurchase at a price SECURITIES AND EXCHANGE unfair, but would also encourage above it, and (b) other unfair results, COMMISSION individuals to exchange into a New including speculative trading practices. Contract with no intention of keeping it The proposed recapture of the 2% [Release No. 34–443553; File No. SR– and returning it for a quick profit. The Bonus does not pose such a threat of CBOE–2001–18] amounts recaptured equal the 2% Bonus dilution. To effect a recapture of the 2% provided by Sun Life from its general Bonus, Sun Life will redeem interests in Self-Regulatory Organizations; Notice account assets, and any gain would a Contract owner’s Contract at a price of Filing and Immediate Effectiveness remain a part of the Contract owner’s determined on the basis of the current of Proposed Rule Change by the Account Value. In addition, the amount net asset value of that Contract. The Chicago Board Options Exchange, the Contract owner receives in the amount recaptured will equal the Incorporated To Exempt Certain Deep- circumstances where the 2% Bonus is amount of the 2% Bonus that Sun Life in-the-Money Options Transactions recaptured will always equal or exceed paid out of its general account assets. From the Exchange Marketing Fee the surrender value of the New Contract. Although the Contract owner will be May 25, 2001. 17. Applicants submit that the entitled to retain any investment gain provisions for recapture of the 2% attributable to the 2% Bonus, the Pursuant to Section 19(b)(1) of the Bonus under the New Contract does not amount of that gain will be determined Securities Exchange Act of 1934 violate sections 2(a)(32) and 27(i)(2)(A) on the basis of the current net asset (‘‘Act’’) 1 and Rule 19b-4 thereunder,2 of the Act. However, to avoid any value of the Contract. Thus, Applicants notice is hereby given that on April 10, uncertainty as to full compliance with state that no dilution will occur upon 2001, the Chicago Board Options the Act, Applicants request an the recapture of the 2% Bonus. Exchange, Incorporated (‘‘CBOE’’ or exemption from sections 2(a)(32) and Applicants also submit that the second ‘‘Exchange’’) filed with the Securities 27(i)(2)(A), to the extent deemed harm that Rule 22c–1 was designed to and Exchange Commission (‘‘SEC’’ or necessary, to permit the recapture of the address, namely speculative trading ‘‘Commission’’) the proposed rule 2% Bonus under the circumstance practices calculated to take advantage of change as described in Items, I, II, and described in the Application with backward pricing, will not occur as a III below, which Items have been respect to the New Contract, without the result of the recapture of the 2% Bonus. prepared by the CBOE. The Commission loss of relief from section 27 provided is publishing this notice to solicit by section 27(i). 20. Applicants argue that Section 22(c) and Rule 22c–1 should not apply comments on the proposed rule change 18. Section 22(c) of the Act authorizes from interested persons. the Commission to make rules and because neither of the harms that Rule regulations applicable to registered 22c–1 was meant to address are found I. Self-Regulatory Organization’s investment companies and to principal in the recapture of the 2% Bonus. Statement of the Terms of Substance of underwriters of, and dealers in, the However, to avoid any uncertainty as to the Proposed Rule Change redeemable securities of any registered full compliance with the Act, investment company to accomplish the Applicants request an exemption from The CBOE proposes to make a change same purposes as contemplated by the provisions of Section 22(c) and Rule to its marketing fee to exempt call/put section 22(a). Rule 22c–1 thereunder 22c–1 to the extent deemed necessary to ‘‘combo’’ transactions from the fee. The prohibits a registered investment permit them to recapture the 2% Bonus text of the proposed rule change is company issuing any redeemable under the New Contract. available at the CBOE and at the Commission. security, a person designated in such Conclusion issuer’s prospectus as authorized to II. Self-Regulatory Organization’s consummate transactions in any such For the reasons summarized above, Statement of the Purpose of, and security, and a principal underwriter of, Applicants submit that the Exchange Statutory Basis for, the Proposed Rule or dealer in, such security, from selling, Offer is consistent with the protections Change redeeming, or repurchasing any such provided by Section 11 of the Act and security except at a price based on the that approval of the terms of the In its filing with the Commission, the current net asset value of such security Exchange Offer is necessary or CBOE included statements concerning which is next computed after receipt of appropriate in the public interest and the purpose of and basis for the a tender of such security for redemption consistent with the protection of proposed rule change and discussed any or of an order to purchase or sell such investors and the purposes fairly comments it received on the proposed security. intended by the policies and provisions rule change. The text of these statements 19. Sun Life’s recapture of the 2% of the Act. Applicants further submit may be examined at the places specified Bonus might arguably be viewed as that their request for exemptions from in Item IV below. The CBOE has resulting in the redemption of Sections 2(a)(32), 22(c) and 27(i)(2)(A) prepared summaries, set forth in redeemable securities for a price other of the Act and Rule 22c–1 thereunder Sections A, B, and C below, of the most than one based on the current net asset meet the standards set out in Section significant aspects of such statements. value of the Account. Applicants 6(c) of the Act. Applicants submit that contend, however, that the recapture of the requested order should therefore be 1 15 U.S.C. 78s(b)(1). the Bonus does not violate section 22(c) granted. 2 17 CFR 240.19b-4.
VerDate 11
A. Self-Regulatory Organization’s transactions, the trades may become IV. Solicitation of Comments Statement of the Purpose of, and unprofitable. Interested persons are invited to Statutory Basis for, the Proposed Rule Consequently, the Exchange has submit written data, views and Change decided to exempt from the marketing arguments concerning the foregoing, 1. Purpose fee all buy-write and synthetic including whether the proposal is transactions involving at least 200 deep- consistent with the Act. Persons making Last year CBOE imposed a $.40 per in-the-money options contracts for a written submissions should file six contract marketing fee to collect funds particular class, as well as spread copies thereof with the Secretary, that the appropriate Designated Primary transaction involving a total of at least Securities and Exchange Commission, Market Maker (‘‘DPM’’) may use for 400 deep-in-the-money option contracts 450 Fifth Street, NW., Washington, DC marketing its services and attracting for a particular class. The Exchange will 20549–0609. Copies of the submission, order flow to the CBOE.3 Initially, this use trade data to determine qualifying all subsequent amendments, all written fee was applicable to all market-maker transactions, and may require market statements with respect to the proposed to market-maker options transactions. makers to submit documentation rule change that are filed with the Thereafter, the Exchange determined showing that specific trades qualify for Commission, and all written that the fee was making it unprofitable the exemption. communications relating to the proposed rule change between the for market makers to do reversal and 2. Statutory Basis conversion transactions, in which a Commission and any person, other than market maker trades a given amount of The CBOE believes the proposed rule those that may be withheld from the an underlying security against an change is consistent with Section 6(b) of public in accordance with the equivalent number of call/put ‘‘combos’’ the Act 8 in general, and furthers the provisions of 5 U.S.C. 552, will be through buying the call and selling the objectives of Section 6(b)(4) 9 in available for inspection and copying in put (or vice versa) in equal quantities particular, in that it is designed to the Commission’s Public Reference with the same strike price in the same provide for the equitable allocation of room. Copies of such filing will also be expiration month. The Exchange reasonable dues, fees, and other changes available for inspection and copying at therefore amended its marketing fee to among CBOE members. the principal office of the CBOE. All submissions should refer to file number waive the fee in the case of call/put B. Self-Regulatory Organization’s combo transactions used in reversals SR–CBOE–2001–18 and should be Statement on Burden on Competition submitted by June 26, 2001. and conversions.4 For the Commission, by the Division of The Exchange is now filing this rule The CBOE does not believe that the proposed rule change will impose any Market Regulation, pursuant to delegated change proposal to exempt certain authority.12 5 burden on competition that is not ‘‘spreads’’ as well as ‘‘by write’’ and Margaret H. McFarland, ‘‘synthetic’’ transactions 6 involving necessary or appropriate in furtherance Deputy Secretary. ‘‘deep in the money’’ 7 options. In the of the purposes of the Act. [FR Doc. 01–14026 Filed 6–4–01; 8:45 am] CBOE’s view, these transactions, like C. Self-Regulatory Organization’s BILLING CODE 8010–01–M reversals and conversions, enable Statement on Comments on the popular trading strategies that Proposed Rule Change Received From contribute to market liquidity, but they Members, Participants, or Others SECURITIES AND EXCHANGE usually have smaller profit margins than COMMISSION other types of trades. The CBOE believes The CBOE neither solicited nor that, when the $.40 marketing fee is received written comments with respect [Release No. 34–44365; File No. SR–NASD– imposed upon the call/put combo to the proposed rule change. 2001–35] III. Date of Effectiveness of the Self-Regulatory Organizations; Notice 3 See Securities Exchange Act Release No. 43112 Proposed Rule Change and Timing for of Filing of Proposed Rule Change and (August 3, 2000), 65 FR 49040 (August 10, 2000) (SR–CBOE–2000–28). Commission Action Amendment No. 1 Thereto by the 4 See Securities Exchange Act Release No. 44095 National Association of Securities (March 23, 2001), 66 FR 17459 (March 30, 2001) The proposed rule change has become Dealers, Inc. Relating to the (SR–CBOE–2001–09). effective pursuant to Section Elimination of the Interval Delay 10 5 For purposes of this filing, the term 19(b)(3)(A)(ii) of the Act and Between Executions in the Nasdaq ‘‘spread’’means an options transaction involving the subparagraph (f)(2) of Rule 19b–4 National Market Execution System and simultaneous purchase and/or sale of one or more thereunder 11 because it establishes or contracts of at least two different series of the same the Effect of Odd-Lot Orders on Market class of options (i.e., options covering the same changes a due, fee, or other charge Makers’ Displayed Quotations in the underlying security), which transaction is executed imposed by the Exchange. At any time Nasdaq National Market Execution at limit or market prices on the floor of the within 60 days of the filing of the Exchange. E-mail from Chris Hill, Attorney, CBOE, System to Cyndi Nguyen, Attorney, SEC, dated May 18, proposed rule change, the Commission 2001. may summarily abrogate such rule May 29, 2001. 6 In a ‘‘buy write,’’ a market maker buys stock and change if it appears to the Commission Pursuant to Section 19(b)(1) of the sells calls of a given series in a 1-to-1 ratio, creating that such action is necessary or Securities Exchange Act of 1934 the equivalent of a sale of puts of the same series. appropriate in the public interest, for (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 A ‘‘synthetic’’ is the opposite: The market maker sells stock and buys calls in a 1-to-1 ratio, creating the protection of investors, or otherwise notice is hereby given that on May 10, the equivalent of a purchase of puts of the same in furtherance of the purposes of the 2001, the National Association of series. Act. Securities Dealers, Inc. (‘‘NASD’’ or 7 For purposes of marketing fee waivers, the ‘‘Association’’), through its subsidiary, CBOE defines ‘‘deep in the money’’ options as 8 options that are ‘‘in the money’’ by a minimum of 15 U.S.C. 78f(b). both $10 and 20% of the closing value of the 9 15 U.S.C. 78f(b)(4). 12 17 CFR 200.30–3(a)(12). underlying security on either the trade date or the 10 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). date immediately prior to the trade date. 11 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4.
VerDate 11
the Nasdaq Stock Market, Inc. (ii) The size of the displayed maker’s quote at the same price level in (‘‘Nasdaq’’), filed with the Securities quotation will also be decremented by such securities shall be processed and Exchange Commission (‘‘SEC’’ or the number of shares represented by one pursuant to subparagraph (D)(1) of this ‘‘Commission’’) the proposed rule normal unit of trading when the number rule.] change as described in Items I, II, and of shares executed against a displayed * * * * * III below, which Items have been quotation as the result of: prepared by Nasdaq. On May 24, 2001, a. orders in an amount less than a (c) Through (e)—No Change the NASD, through Nasdaq, filed round lot, and * * * * * Amendment No. 1 to the proposed rule b. the portion of an order for a mixed change.3 The Commission is publishing lot (i.e., an order that is for more than II. Self-Regulatory Organization’s this notice to solicit comments on the a normal unit of trading but not a Statement of the Purpose of, and proposed rule change and Amendment multiple thereof) that is in excess of the Statutory Basis for, the Proposed Rule No. 1 from interested persons. number of shares represented by the Change number of round lots contained in such I. Self-Regulatory Organization’s mixed-lot order, equals one normal unit In its filing with the Commission, Statement of the Terms of Substance of of trading. Nasdaq included statements concerning the Proposed Rule Change (D) [(1) Except as provided in the purpose of and basis for the Nasdaq proposes to amend NASD subparagraphs (2) and (3) below, after proposed rule change and discussed any Rule 4710, ‘‘Participant Obligations in the NNMS system has executed an order comments it received on the proposed NNMS,’’ to: (1) Eliminate the interval against a market maker’s displayed rule change. The text of these statements quote and reserve size (if applicable), delay between executions against the may be examined at the places specified that market maker shall not be required same market maker at the same price in Item IV below. Nasdaq has prepared level in the Nasdaq National Market to execute another order at its bid or offer in the same security until 5 summaries, set forth in Sections A, B, Execution System (‘‘NNMS’’ or and C below, of the most significant ‘‘SuperSOES’’),4 and (2) establish rules seconds has elapsed from the time the aspects of such statements. governing the decrementation of market order was executed, as measured by the makers’ displayed quotations by odd-lot time of execution in the Nasdaq system.] A. Self-Regulatory Organization’s orders in the NNMS. [(2) For securities included in the Statement of the Purpose of, and Proposed new language is italicized; Nasdaq 100 Index, after the NNMS Statutory Basis for, the Proposed Rule proposed deletions are in brackets. system has executed an order against a Change * * * * * market maker’s displayed quote and reserve size (if applicable), that market 1. Purpose 4710. Participant Obligations in NNMS maker shall not be required to execute Elimination of Interval Delays. (a) No Change another order at its bid or offer in the same security until 2 seconds has Currently, the rules governing the (b) Market Makers elapsed from the time the order was Nasdaq Small Order Execution System (1) An NNMS Market Maker in an executed, as measured by the time of establish a delay of 17 seconds (15 NNM[S] [S]security 5 shall be subject to execution in the Nasdaq system.] seconds for quote management and two the following requirements. [(3) For both the first day of trading seconds for system processing) between (A) No change. of the securities of initial public executions against the same market (B) No change. offerings and the first day of trading of maker in the same security at the same (C) (i) The size of the displayed the securities of secondary offerings,6 price level. It was originally anticipated quotation will be decremented upon the a]After the NNMS system has executed that with the launch of SuperSOES 7 execution of an NNMS order in an an order against a market maker’s this delay would be reduced to five amount equal to or greater than one displayed quote and reserve size (if seconds (plus two seconds system normal unit of trading[; provided, applicable), that market maker shall be processing time) for the vast majority of however that the execution of an NNMS required to execute another order at its NNM securities. Nasdaq market order that is a mixed lot (i.e., an order posted bid or offer in that same security participants, however, raised concerns that is for more than a normal unit of as soon as the NNMS system delivers that significant order flow could trading but not a multiple thereof) will another order to that market maker’s potentially produce queuing within the only decrement a displayed quotation’s quote. [After the first day of trading, system, especially for Nasdaq 100 size] by the member of shares subsequent multiple executions against securities and securities that have represented by the number of round lots the same market maker’s quote at the recently been the subject of initial contained in the [mixed lot] order. same price level in such securities shall public offerings or secondary offerings. be processed pursuant to subparagraph Accordingly, Nasdaq filed proposals 3 See Letter from John M. Yetter, Assistant (D)(2) of this rule if the security is General Counsel, Nasdaq, to Katherine A. England, included in the Nasdaq 100 Index, or if with the Commission to: (i) Reduce the Division of Market Regulation, Commission, dated not included in that index, multiple interval delay between executions in May 22, 2001 (‘‘Amendment No. 1). In Amendment Nasdaq 100 securities to two seconds,8 No. 1, the Nasdaq made a minor technical executions against the same market correction to the rule text of NASD Rule 4710(b)(1). and (ii) reduce the interval delay See infra note 5. [6 In order to obtain immediate processing of between round-lot executions for the 4 The Commission approved the NNMS, a new executions in secondary offerings, the lead first day of trading of all SuperSOES- platform for trading Nasdaq National Market underwriter of the secondary offering shall eligible initial public offerings and (‘‘NNM’’) securities, on January 14, 2000. See communicate its request in writing to the Nasdaq Securities Exchange Act Release No. 42344 (January Market Operations Department no later than the 14, 2000), 65 FR 3897 (January 25, 2000), (order business day immediately prior to the start of the 7 The implementation of SuperSOES is currently approving File No. SR–NASD–99–11). trading in the secondary offering. Failure to do so scheduled for July 9, 2001. 5 Nasdaq revised the rule text of NASD Rule may result in the secondary offering being 8 See Securities Exchange Act Release No. 43720 4710(b)(1) to replace the phrase ‘‘NNM security’’ processed pursuant to the interval delay time (December 13, 2000), 65 FR 79909 (December 20, with the phrase ‘‘NNMS Security.’’ See Amendment frames applicable to the currently trading shares of 2000) (notice of filing and immediate effectiveness No. 1, supra note 3. the issuer.] of File No. SR–NASD–00–67).
VerDate 11
secondary offerings to zero seconds the size of the displayed quotation being B. Institute proceedings to determine (plus system processing time).9 decremented. whether the proposed rule change should be disapproved. Nasdaq has now determined that it is 2. Statutory Basis technically feasible to reduce the IV. Solicitation of Comments interval delay to zero seconds (plus Nasdaq believes that the proposed system processing time) for all rule change is consistent with Section Interested persons are invited to transactions on SuperSOES. This would 15A(b)(6) 10 of the Act, in that the submit written data, views, and mean that a market maker would be proposed rule change is designed to arguments concerning the foregoing, available for executions as quickly as promote just and equitable principles of including whether the proposed rule the system an transmit instructions trade, foster cooperation and change, as amended, is consistent with between the execution and quote-update coordination with persons engaged in the Act. Persons making written submissions should file six copies engines, an operation that generally processing information with respect to thereof with the Secretary, Securities requires from one to one an one-half and facilitating transactions in and Exchange Commission, 450 Fifth seconds. Nasdaq market participants securities, as well as to remove Street, NW., Washington, DC 20549– have indicated to Nasdaq that they impediments to and perfect the 0609. Copies of the submission, all would support elimination of the mechanism of a free and open market, subsequent amendments, all written interval delay for all transactions on and, in general, to protect investors and statements with respect to the proposed SuperSOES because this would further the public interest. rule change that are filed with the minimize the risk of queuing within the Nasdaq believes that eliminating the Commission, and all written system. Accordingly, the proposed rule interval delay between executions on communications relating to the change would provide that market the NNMS will ensure that customer proposed rule change between the makers will be required to execute orders are processed in the most Commission and any person, other than orders against their displayed quotes expeditious manner possible. Similarly, those that may be withheld from the whenever the SuperSOES system providing a mechanism for public in accordance with the delivers such orders. decrementing market makers’ displayed provisions of 5 U.S.C. 552, will be Decrementation of Market Makers’ quotations for all orders executed available for inspection and copying in Quotations. The rules governing the against such quotations will allow the the Commission’s Public Reference NNMS currently provide that an NNMS NNMS to provide more up-to-date Room. Copies of such filing will also be market maker’s displayed quotation will information about the size of displayed available for inspection and copying at be decremented upon the execution of quotations. In turn, these improvements the principal office of the NASD. All an NNMS order in an amount equal to in order processing and display will submissions should refer to File No. or greater than a round lot, and that in improve market function and aid in the SR–NASD–2001–35 and should be the event of the execution of an NNMS crucial price discovery process. submitted by June 26, 2001. order for a mixed lot (i.e., an order that For the Commission, by the Division of is for more than a round lot but not a B. Self-Regulatory Organization’s Statement on Burden on Competition Market Regulation, pursuant to delegated multiple thereof), the displayed authority.11 quotation size will be decremented only Nasdaq does not believe that the Margaret H. McFarland, by the number of shares represented by proposed rule change will result in any Deputy Secretary. the number of round lots contained in burden on competition that is not [FR Doc. 01–14029 Filed 6–4–01; 8:45 am] the mixed-lot order. necessary or appropriate in furtherance BILLING CODE 8010–01–M The proposed rule change would of the purposes of the Act. establish a mechanism for decrementing the displayed quotation size to take C. Self-Regulatory Organization’s Statement on Comments on the SECURITIES AND EXCHANGE account of odd-lot orders and the COMMISSION portion of mixed-lot orders that is not Proposed Rule Change Received From covered by the current rule. Nasdaq has Members, participants or Others [Release No. 34–44363; File No. SR–NASD– 2001–32] determined that it is technically feasible No written comments were solicited for SuperSOES to track the number of or received with respect to the proposed Self-Regulatory Organizations; Notice shares executed against a displayed rule change. of Filing and Order Granting quotation as the result of: (i) Orders in III. Date of Effectiveness of the Accelerated Approval of Proposed an amount less than a round lot, and (ii) Rule Change by the National the portion of an order for a mixed lot Proposed Rule Change and Timing for Commission Action Association of Securities Dealers, Inc. that is in excess of the number of shares Relating to Level 1 Market Data Fees represented by the number of round lots Within 35 days of the date of contained in the mixed-lot order. When publication of this notice in the Federal May 29, 2001. the total quantity of such shares equals Register or within such longer period (i) Pursuant to Section 19(b)(1) of the a round lot, the size of the displayed Securities Exchange Act of 1934 as the Commission may designate up to 1 2 quotation would then be decremented 90 days of such date if it finds such (‘‘Act’’) and Rule 19b–4 thereunder, accordingly. Nasdaq market participants longer period to be appropriate and notice is hereby given that on May 4, have indicated that they would support publishes its reasons for so finding or 2001, the Nasdaq Stock Market, Inc. this change because it will guard against (ii) as to which the self-regulatory (‘‘Nasdaq’’) filed with the Securities and the possibility that a market participant organization consents, the Commission Exchange Commission (‘‘SEC’’ or could execute multiple odd-lot orders will: ‘‘Commission’’) the proposed rule against a market maker’s quote without changes as described in Items I and II A. By order approve such proposed
rule change, or 11 9 See Securities Exchange Act Release No. 44142 17 CFR 200.30–30–3(a)(12). (April 2, 2001), 66 FR 18331 (April 6, 2001) (order 1 15 U.S.C. 78s(b)(1). approving File No. SR–NASD–01–03.) 10 15 U.S.C. 78o–3(b)(6). 2 17 CFR 240.19b–4.
VerDate 11
below, which Items have been prepared non-professional users on a per query amendments, all written statements by Nasdaq.3 The Commission is basis (from $.01 to $.005).5 with respect to the proposed rule publishing this notice to solicit In April of 2000, Nasdaq further change that are filed with the comments on the proposed rule change reduced by 50% the user fees for Level Commission, and all written from interested persons. For the reasons 1 market data delivered to non- communications relating to the discussed below, the Commission is professional users on a monthly basis, proposed rule change between the granting accelerated approval of the but maintained the current fees for Commission and any person, other than proposed rule change. Level 1 market data delivered to non- those that may be withheld from the professional users on a per query basis. public in accordance with the I. Self-Regulatory Organization’s Under the current pilot, the non- provisions of 5 U.S.C. 552, will be Statement of the Terms of Substance of professional per user fee was reduced available for inspection and copying in the Proposed Rule Change from $2 to $1 per month (equating to a the Commission’s Public Reference Nasdaq filed a proposed rule change 75% reduction in fees in two years), and Room. Copies of such filing will also be to amend NASD Rule 7010 of the the per query fee was maintained at available for inspection and copying at National Association of Securities $.005 per query. the principal office of the NASD. All Dealers, Inc. (‘‘NASD’’ or Nasdaq believes that reducing market submissions should refer to File No. ‘‘Association’’). Under the proposal, data fees helps meet the demand for SR–NASD–2001–32 and should be Nasdaq will retroactively establish as realtime market data by non- submitted by June 26, 2001. permanent the fees currently assessed professional market participants. In IV. Commission’s Findings and Order for Level 1 market data delivered to addition, Nasdaq believes that reduced Grating Accelerated Approval of the non-professional users on a monthly or Nasdaq rates lessen the costs to NASD Proposed Rule Change per query basis.4 Nasdaq will make the member firms of supplying real-time proposed rule change effective market data to their customers through The Commission finds that the immediately upon approval. proposed rule change is consistent with automated means and encourages 7 current delayed-data vendors to offer the requirements of the Act and the II. Self-Regulatory Organization’s increased access to real-time Level 1 rules and regulations thereunder Statement of the Purpose of, and data to their subscribers. applicable to a national securities Statutory Basis for, the Proposed Rule association. Specifically, the proposed Change 2. Statutory Basis rule change is consistent with Section 8 In its filing with the Commission, Nasdaq believes that the proposed 15A(b)(5) in that the proposal should Nasdaq included statements concerning rule change is consistent with the provide for the equitable allocation of the purpose of and basis for the provisions of Section 15A(b)(5) 6 of the reasonable dues, fees, and other charges proposed rule change and discussed any Act in that the proposal provides for the among members and issuers and other comments it received on the proposed equitable allocation of reasonable dues, persons using any facility or system rule change. The text of these statements fees, and other charges among members which the Association operates or controls. In addition, the proposed rule may be examined at the places specified and issuers and other persons using any change may further the national market in Item III below. Nasdaq has prepared facility or system which the association system’s goal in Section 11A(a)(1)(C)(iii) summaries, set forth in Sections A, B, operates or controls. of assuring the availability to investors and C below, of the most significant B. Self-Regulatory Organization’s of market information.9 aspects of such statements. Statement on Burden on Competition Technological developments over the A. Self-Regulatory Organization’s Nasdaq does not believe that the last few years have allowed vendors to provide their customers with more Statement of the Purpose of, and proposed rule change will result in any efficient and cost effective methods of Statutory Basis for, the Proposed Rule burden on competition. Change executing securities transactions. The C. Self-Regulatory Organization’s Commission expects that reduced 1. Purpose Statement on Comments on the market data fees will further benefit the Nasdaq states that it has consistently Proposed Rule Change Received From investor by reducing the costs of supported the broadest, most effective Members, Participants, or Others executing transactions. For the investor dissemination of market information to Nasdaq has neither solicited nor to make sound financial decisions, public investors. Towards that end, in received written comments on the efficient and inexpensive access to real- April of 1999, Nasdaq implemented a proposed rule change. time market data information is vital. one-year pilot program that reduced by Thus, the Commission believes that a 50% the user fees for Level 1 market III. Solicitation of Comments retroactive application of a permanent data delivered to non-professional users Interested persons are invited to reduction in the non-professional on a monthly basis (from $4 to $2), and submit written data, views, and market data fees should enhance also for Level 1 market data delivered to arguments concerning the foregoing, investor access, and may encourage including whether the proposed rule increased investor participation in the 3 The current proposal replaces File No. SR– change is consistent with the Act. securities markets. Pursuant to section 19(b)(2),10 the NASD–2001–24, which Nasdaq filed on March 30, Persons making written submissions 2001, and withdrew on April 23, 2001. See letter Commission finds good cause for should file six copies thereof with the from Jeffrey S. Davis, Assistant General Counsel, approving the proposed rule change Secretary, Securities and exchange Nasdaq, to Katherine England, Assistant Director, prior to the thirtieth day after the date Division of Market Regulation (‘‘Division’’), Commission, 450 Fifth Street, NW., Commission dated April 20, 2001. Washington, DC 20549–0609. Copies of 4 The pilot program expired on April 2, 2001. See 7 In reviewing this proposal, the Commission has Securities Exchange Act Release No. 42715 (April the submission, all subsequent considered its impact on efficiency, competition, 24, 2000), 65 FR 52460 (May 1, 2000). In the current and capital formation. 15 U.S.C. 78c(f), proposal, Nasdaq requests that the permanent 5 See Securities Exchange Act Release No. 41499 8 15 U.S.C. 78o–3(b)(5). adoption of the current pilot fees be made (June 9, 1999), 64 FR 32910 (June 19, 1999). 9 15 U.S.C. 78k–1(a)(1)(C)(iii). retroactive to the expiration of the pilot. 6 15 U.S.C. 78o–3(b)(5). 10 15 U.S.C. 78s(b)(2)
VerDate 11
of publication of notice of the filing in this notice to solicit comments on the Summary of Proposed Rule and Policy the Federal Register. The Commission proposed rule change, as amended, from Changes believes that granting accelerated interested persons. NYSE Rule 98 approval of the proposal will allow I. Self-Regulatory Organization’s Nasdaq to expenditiously implement Exchange Rule 98 provides that Statement of the Terms of Substance of the permanent reduction in market data affiliates of a specialist organization can the Proposed Rule Change fees, on a retroactive basis, without any receive an exemption from certain rules unnecessary delay and should confer a applicable to specialists (principally The Exchange proposes to amend the impacting proprietary trading and benefit upon those firms that provide following NYSE rules and policies to real-time data to their customers and investment banking), providing that accommodate the trading of certain they establish a system of information subscribers. The Commission also notes exchange-trade funds (‘‘ETFs’’) on an that it did not receive any comments on barriers between themselves and the unlisted trading privileges (‘‘UTP’’) affiliated specialist. One of the the pilot program. Accordingly, the basis: NYSE Rule 98, NYSE Rule 36, Commission does not believe that the conditions for the NYSE Rule 98 paragraph (1) of the Guidelines to NYSE exemption is that the specialist current filing raises any regulatory Rule 105, NYSE Rule 111, NYSE Rule issues not raised by the previous filing. organization be capitalized separately 13, NYSE Rules 104.20 and 104.21, and and apart from any affiliate. The It is therefore ordered, pursuant to the NYSE’s Market-On-Close/Limit-At- Section 19(b)(2) 11 of the Act, that the Exchange is proposing to delete this The-Close and Pre-Opening Price requirement in the case of a specialist proposed rule change, as amended, (SR– Indications Policies. NASD–2001–32) is approved on an organization that is registered solely in accelerated basis. The text of the proposed rule change ETFs. The Exchange believes that the is available upon request from the Office question of adequacy of capital can be For the Commission, by the Division of of the Secretary, the NYSE or the appropriately addressed by the special market Regulation, pursuant to delegated allocation committee 5 in allocating the authority.12 Commission. ETF. However, a specialist organization Margaret H. McFarland, II. Self-Regulatory Organization’s that is registered only in ETF’s will Deputy Secretary. Statement of the Purpose of, and remain subject to the minimum capital [FR Doc. 01–14030 Filed 6–4–01; 8:45 am] Statutory Basis, for the Proposed Rule requirements specified in NYSE Rule BILLING CODE 8010–01–M Change 104.20. In its filing with the Commission, the NYSE Rule 105 Exchange included statements SECURITIES AND EXCHANGE Currently, Guideline (1) to NYSE Rule concerning the purpose of and basis for COMMISSION 105 prohibits affiliates of specialist the proposed rule change and discussed units from acting as a primary market [Release No. 34–44352; File No. SR–NYSE– any comments it received on the maker in the option on a specialty 2001–08] proposed rule change. The text of these security. The NYSE proposes to permit statements may be examined at the Self-Regulatory Organizations; Notice an affiliate of a NYSE ETF specialist to placed specified in Item IV below. The of Filing of Proposed Rule Change and act in any market making capacity with Exchange has prepared summaries, set Amendment No. 1 Thereto by the New respect to options on an ETF as long as forth in sections, A, B, and C below, of York Stock Exchange, Inc. Amending NYSE rule 98 information barriers are the most significant aspects of such Its Rules To Provide for the Trading of established.6 the Exchange believes that, statements. Exchange-Traded Funds on an because ETFs are derivatively priced, Unlisted Trading Privileges Basis A. Self-Regulatory Organization’s the conflicts of interest with respect to Statement of the Purpose of, and market making in both the underlying May 25, 2001. Statutory Basis for, the Proposed Rule security and its corresponding option Pursuant to Section 19(b)(1) of the Change are not present. The Exchange also Securities Exchange Act of 1934 proposes to permit an affiliate of the 1 2 1. Purpose (‘‘Act’’) and Rule 19b–4 thereunder, EFT specialist to act in a market making notice is hereby given that on April 25, As part of its overall business strategy, capacity (but not as a specialist) in the 2001, the New York Stock Exchange, EFT itself on another market center so Inc. (‘‘NYSE’’ or ‘‘Exchange’’) filed with the Exchange believes that it appropriate to trade ETFs on the NYSE long as NYSE Rule 98 information the Securities and Exchange barriers are established. Commission (‘‘SEC’’ or ‘‘Commission’’) Floor. In December 2000, the Exchange the proposed rule changes is described began trading an ETF on the S&P Global NYSE Rules 36.30 and 111 100 (symbol IOO).4 The Exchange in Items I, II, and III below, which Items NYSE Rule 36.30 governs the intends to trade additional ETFs listed have been prepared by the Exchange. establishment of telephone or electronic by other ETF sponsors, on a UTP basis, On May 22, 2001, the NYSE filed communications between the that are currently listed and trading on Amendment No. 1 to the proposed rule Exchange’s trading floor and any other other markets. These ETFs may include change.3 The Commission is publishing location.7 the NASDAQ 100 Trust (symbol QQQ), The Exchange proposes to
11 Standard and Poor’s Depositary Receipts Id. 5 See Securities Exchange Act Release No. 44272 12 17 CFR 200.30–3(a)(12). (symbol SPY) and the Dow Industries (May 5, 2001). 1 15 U.S.C. 78s(b)(1). DIAMONDS (symbol DIA). It should be 6 As discussed above, the NYSE has proposed to 2 17 CFR 240.19b–4. noted the UTP ETFs will trade at a post eliminate the separate capital requirement with 3 See letter from James E. Buck, Senior Vice separate from any other type of security respect to ETF specialists. See also Securities President and Secretary, NYSE, to Nancy Sanow, trading on the Exchange. Exchange Act Release No. 44175 (April 11, 2001), Assistant Director Division of Market Regulation, 66 FR 19825 (April 17, 2001). Commission, dated May 21, 2001 (‘‘Amendment 7 Currently, NYSE Rule 36.30 allows specialists to No. 1’’). In Amendment No. 1, the NYSE amended 4 See Securities Exchange Act Release No. 43658 have telephone lines to the floor of an options or the proposed rule text to reflect the correct wording (December 1, 2000), 65 FR 77408 (December 11, futures exchange for the purpose of entering of current NYSE Rule 36, 2000). hedging orders.
VerDate 11
permit ETF specialists to use LOC policy. Furthermore, ETFs will III. Date of Effectiveness of the communication devices at the Post to trade until 4:15 p.m. Proposed Rule Change and Timing for enter proprietary orders in the ETF, or Similarly, the Exchange proposes that Commission Action in component securities of the ETF and its policies regarding mandatory Within 35 days of the date of would permit the ETF specialist to dissemination of pre-opening price obtain market information with respect publication of this notice in the Federal indications (other than ITS pre-opening to ETFs, options, futures, and Register or within such longer period (i) notifications) in the case of significant component securities. as the Commission may designate up to order imbalances and potentially large The Exchange proposes to amend 90 days of such date if it finds such price dislocation from the prior close NYSE Rule 111 to permit the NYSE ETF longer period to be appropriate and will not apply to ETFs. Both the MOC/ specialist to initiate an order at the post publishes its reasons for so finding or LOC procedures and the mandatory pre- in component stocks of the ETF for (ii) as to which the Exchange consents, opening price indications policy are hedging purposes. The Exchange the Commission will: believes this will put Exchange ETF intended to solicit offsetting contra side specialists on an equal footing with interest to minimize price dislocation. (A) By order approve such proposed market makers in ETFs on other market This rationale does not apply in the case rule change, or centers. of ETFs, which will be priced in relation (B) Institute proceedings to determine to the values of the underlying NYSE Rule 13 whether the proposed rule change component securities, regardless of the should be disapproved. NYSE Rule 13 currently provides that extent of an order imbalance. stop and stop limit orders in an ETF can IV. Solicitation of Comments The Exchange will inform its be elected by a bid (in the case of an order to buy) or an offer (in the case of members and member organizations of Interested persons are invited to an order to sell), provided that the these proposed changes to its policies submit written data, views and specialist obtains the prior approval of by publication of an Information Memo. arguments concerning the foregoing, including whether the proposed rule a Floor Governor or two Floor Officials. 2. Statutory Basis The Exchange proposes to delete this change, as amended, is consistent with prior approval requirement, because it The Exchange believes the proposed the Act. Persons making written believes that such a requirement may rule change, as amended, is consistent submissions should file six copies prove cumbersome and impractical in with Section 6(b) of the Act 8 in general, thereof with the Secretary, Securities markets in which bids and offers are and furthers the objectives of Section and Exchange Commission, 450 Fifth changing to reflect the relationship 6(b)(5) of the Act 9 in particular, because Street, NW., Washington, DC 20549– between ETFs and their component it is designed to promote just and 0609. Copies of the submission, all securities, and stop orders, which can equitable principles of trade, to remove subsequent amendments, all written only be elected by transactions, may impediments to and perfect the statements with respect to the proposed receive inferior prices. mechanism of a free and open market rule change that are filed with the NYSE Rules 104.20 and 104.21—Capital and a national market system and, in Commission, and all written Requirement general, to protect investors and the communications relating to the public interest. proposed rule change between the NYSE Rules 104.20 and 104.21 are Commission and any person, other than proposed to be amended to provide a More specifically, the Exchange those that may be withheld from the capital requirement of $500,000 per believes that trading ETFs on a UTP public in accordance with the ETF. A specialist registered only in an basis will provide investors with ETF would be subject to the $1,000,000 increased flexibility in satisfying their provisions of 5 U.S.C. 552, will be minimum capital requirement of NYSE investment needs because they will be available for inspection and copying in Rule 104.20. The Exchange believes at able to purchase and sell a security that the Commission’s Public Reference the present time that these requirements replicates the performance of a broad Room. Copies of such filing will also be are reasonable but reserves the right to portfolio of stocks at negotiated prices available for inspection and copying at revisit these requirements in terms of throughout the business day. the principal office of the NYSE. All actual experience. submissions should refer to File No. B. Self-Regulatory Organization’s SR–NYSE–2001–08 and should be NYSE’S Market-On-Close/Limit-At-The- Statement on Burden on Competition submitted June 20, 2001. Close Policy The Exchange does not believe that For the Commission by the Division of The Exchange proposes that orders in the proposed rule change will impose Market Regulation, pursuant to delegated ETFs will not be subject to the authority.10 Exchange’s Market-On-Close (‘‘MOC’’)/ any burden on competition that is not Limit-At-The-Close (‘‘LOC’’) policy necessary or appropriate in the Margaret H. McFarland, concerning order entry limitations, furtherance of the purposes of the Act. Deputy Secretary. cancellation of orders during a C. Self-regulatory Organization’s [FR Doc. 01–14027 Filed 6–4–01; 8:45 am] regulatory halt, imbalance publications, Statement on Comments on the BILLING CODE 8010–01–M and any other limitations or procedures Proposed Rule Change Received From with respect to MOC/LOC procedures. A Members, Participants or Others MOC/LOC order in an ETF would be permitted to be entered at any time The Exchange has neither solicited without regard to the limitations of the nor received written comments on the Exchange’s MOC/LOC policies. In proposed rule change. addition, the closing price of an ETF will not be subject to publication of 8 15 U.S.C. 78f(b). imbalances under the Exchange’s MOC/ 9 15 U.S.C. 78f(b)(5). 10 17 CFR 200.30–2(a)(12).
VerDate 11
SECURITIES AND EXCHANGE • A–1, Responsibility of Displaying Best • C–4, Floor Brokers Handling Orders COMMISSION Bids and Offers for Same Firm • A–2, Types of Orders to be Accepted • C–5, ROTs Acting as Floor Brokers [Release No. 34–44366; File No. SR–Phlx– onto the Specialist’s Book • 2001–36] • A–6, Cancel/Replacement Process C–7(b), Responsibility to Represent • A–7, Responsibility to Cancel Orders to the Trading Crowd Self-Regulatory Organizations; Notice • A–12, Opening Rotations and SORT • E–1, Required Staffing of Options of Filing of Proposed Rule Change and Procedures Amendment No. 1 by the Philadelphia Floor A–13, paragraph (b), Failure to Receive • F–5, Changes or Corrections to Stock Exchange, Inc. To Revise the Approval to Disengage Auto-X Material Terms of a Matched Trade Fine Schedule for Options Floor • A–14, Equity and Index Option Procedure Advices Opening Parameters • F–8, Failure to Comply with an • May 29, 2001. B–2, Crowd Courtesy Exchange Inquiry • Pursuant to Section 19(b)(1) of the B–3, Trading Requirements • F–9, Dual Affiliations • B–8, Use of Floor Brokers by an ROT Securities Exchange Act of 1934 • F–11, Splitting Orders (‘‘Act’’) 1 and Rule 19b–4 2 thereunder, While on the Floor • • F–12, Responsibility for Assigning notice is hereby given that on May 17, B–12, PHLX ROTs and Specialists Participation 2001, the Philadelphia Stock Exchange, Entering Orders for Execution on Inc. (‘‘Phlx’’ or ‘‘Exchange’’) filed with Other Exchanges in Multiply Traded • F–13, Supervisory Procedures Options Relating to ITSFEA the Securities and Exchange • Commission (‘‘Commission’’) the C–1, Ascertaining the Presence of • ROTs in a Trading Crowd F–15(a) and (b)(ii), Minor Infractions proposed rule change as described in • of Position/Exercise Limits and Hedge Items I, II, and III below, which Items C–8, Option Specialist Evaluations • F–1, Use of Identification Letters and Exemptions have been prepared by the Exchange. Numbers • F–19, Clearing Agents’ Responsibility The Phlx amended the proposal on May • F–3, Members’ Requests for Sold Sale for Carrying Positions in Market 29, 2001.3 The Commission is Designation Maker Accounts publishing this notice to solicit • F–4, Orders Executed as Spreads, comments on the proposed rule change, • F–30, Options Trading Floor Training. Straddles, Combinations or Synthetics as amended, from interested persons. and Other Order Ticket Marking The Exchange proposes that I. Self-Regulatory Organization’s Requirements violations of Advice C–9, Floor Brokers Statement of the Terms of Substance of • F–6, Option Quote Parameters and Clerks Trading in their Customer the Proposed Rule Change • F–15(b)(i), Minor Infractions of Accounts, be immediately referred to The Exchange proposes to amend the Position/Exercise Limits and Hedge the Business Conduct Committee to fine schedule applicable to Option Floor Exemptions determine the appropriate sanction. • F–23, Clerks in the Crowd Procedure Advices (‘‘Advices’’) such The Exchange also proposes to change • F–24(c)(iii), Signing-on/off the Wheel that there would be two fine schedules: all the fine schedules that currently • F–25, Fingerprinting Floor Personnel a minor fine schedule and a major fine operate on a one-year calendar basis to • G–1, Index Option Exercise Advice schedule.4 The minor fine schedule is a two-year calendar basis.5 For example, Forms proposed to be: a second violation of the same Advice 1st Occurrence—$250.00 The major fine schedule is proposed that occurs within a 24-month period 2nd Occurence—$500.00 to be: would be considered a second 3rd Occurrence—$1,000.00 1st Occurrence—$500.00 occurrence. 2nd Occurence—$1,000.00 4th Occurrrence and Thereafter— The text of the proposed rule change Sanction is discretionary with 3rd Occurrence—$2,000.00 4th Occurrrence and Thereafter— is available at the principal office of the Business Conduct Committee Exchange and at the Commission. For purposes of determining which Sanction is discretionary with fine schedule applies, the following Business Conduct Committee II. Self-Regulatory Organization’s Advices and portions of Advices are For purposes of determining which Statement of the Purpose of, and considered to be minor: fine schedule applies, the following Statutory Basis for, the Proposed Rule Advices or portions of the Advices are Change
1 considered to be major: 15 U.S.C. 78s(b)(1). In its filing with the Commission, the 2 17 CFR 240.19b–4. • A–13, paragraph (a), Auto Execution Phlx included statements concerning 3 See May 25, 2001 letter from Louise Corso, Vice Engagement/Disengagement President Director of Enforcement, Phlx, to Joseph Responsibility the purpose of and basis for the P. Morra, Special Counsel, Division of Market • B–1, Responsibility to Make Markets proposed rule change and discussed any Regulation, Commission (‘‘Amendment No. 1’’). In comments it received on the proposed Amendment No. 1, the Phlx added language to the • B–4, Phlx ROTs Entering Orders From proposal regarding Advice B–12, PHLX ROTs and On-Floor and Off-Floor for Execution rule change. The text of these statements Specialists Entering Orders for Execution on Other on the Exchange may be examined at the places specified Exchanges in Multiply Traded Options, which was • in Item IV below. The Phlx has prepared inadvertently omitted in the original filing. B–5, Agency-Principal Restrictions • B–6, Section B, Priority Of Options summaries, set forth in sections A, B, 4 The Phlx does not propose to make changes to Orders for Equity and Index Options and C below, of the most significant advices A–11; B–6, Sections C and D; and F–2. aspects of such statements. Changes to those Advices will be made in separate by Account Type rule filings. No changes have been proposed for the • C–2, Clocking Tickets for Time of Advices that relate to foreign currency options: B– Entry on the Floor 5 The following Advices are affected by the 7, F–16, F–17, F–18, F–20, and F–21. Finally, no • proposed change to a two-year calendar basis: A– change is proposed for Advice F–27 because the C–3, Handling Orders of Phlx ROTs 1, A–7, A–12, A–13, A–14, B–2, B–3, B–5, B–6, C– Phlx considers it to be more akin to a fee than a and Other Registered Options Market 1, C–2, C–5, C–7, C–8, E–1, F–1, F–3, F–4, F–6, F– fine. Makers 11, F–12, F–15, F–24(c)(iii), F–25, and G–1.
VerDate 11
A. Self-Regulatory Organization’s better reflect the severity of the consistent with Section 6(b)(6) of the Statement of the Purpose of, and violations. Act 14 which requires that rules of the Statutory Basis for, the Proposed Rule Certain Advices currently do not have Exchange provide that its members be Change a fine schedule because they do not appropriately disciplined for violations contain a finable offense.8 These appear of the Act as well as the rules and 1. Purpose in the Advice handbook for ease of regulations thereunder; specifically, the reference on the trading floor or merely The Phlx proposes to amend the fine proposal provides prompt, appropriate, contain explanatory (as opposed to schedule applicable to Advices such and effective discipline for repeat obligatory) language. Certain other violations of Advices. that there would be two fine schedules: Advices require referral to the Business a minor fine schedule and a major fine Conduct Committee for sanctions due to B. Self-Regulatory Organization’s schedule. The fine schedules associated the severity of the violation.9 For these Statement on Burden on Competition with these Advices are administered two types of Advices, the Phlx does not The Phlx does not believe that the pursuant to Phlx Rule 970, which propose any modifications at this time. proposed rule change would impose any codifies the Exchange’s minor rule The Exchange also proposes to inappropriate burden on competition. violation enforcement and reporting increase the time period for relating plan (‘‘Plan’’).6 back to prior violations for all fine C. Self-Regulatory Organization’s Statement on Comments on the This proposal would increase the schedules, such that those on a one-year Proposed Rule Change Received From fines above their current levels, delete running calendar basis shall be Members, Participants, or Others ‘‘warnings’’ as a sanction for the first increased to a two-year running occurrence, and ease the burden of floor calendar basis.10 Some fine schedules No written comments were either officials in administering fines by operate on a three-year running calendar solicited or received. basis.11 This proposed increase in the having only two fine schedules. For III. Date of Effectiveness of the example, Advice B–6, Priority of time period would subject violators to greater sanctions. The Phlx believes that Proposed Rule Change and Timing for Options Orders for Equity Options and Commission Action Index Options by Account Type, imposing higher penalties for violations Within 35 days of the date of misrepresenting a broker-dealer order in of an Advice which occur more than publication of this notice in the Federal order to receive priority over a once during a two-year period is Register or within such longer period (i) customer, the first violation of section B consistent with the existing framework of graduated fines and should increase as the Commission may designate up to of this Advice currently only receives a the Exchange’s ability to deter repeat 90 days of such date if it finds such warning. Under the proposal, the first offenders. longer period to be appropriate and violation would be subject to a fine of publishes its reasons for so finding, or $500. The Phlx believes that the 2. Statutory Basis (ii) as to which the Exchange consents, Advices designated as major are The Phlx believes the proposed rule the Commission will: particularly important to the change is consistent with Section 6 of (A) By order approve such proposed maintenance of fair and orderly markets the Act 12 in general, and furthers the rule change; or in options on the Exchange as well as objectives of Section 6(b)(5) 13 in (B) Institute proceedings to determine for the protection of investors and the particular, in that it is designed to whether the proposed rule change public interest. For example, the Phlx promote just and equitable principles of should be disapproved. proposes that violations of Advice B–1, trade, and to remove impediments to Responsibility to Make Markets, be and perfect the mechanism of a free and IV. Solicitation of Comments considered a major violation because open market and a national market Interested persons are invited to the ability of customers to receive system, and protect investors and the submit written data, views, and certain execution guarantees may be public interest because it should arguments concerning the foregoing, compromised where floor traders fail to provide an appropriate form of including whether the proposed rule provide the liquidity required under deterrence for violation of certain change is consistent with the Act. Advice B–1. Advices. In addition, the Phlx believes Persons making written submissions In addition, certain fine schedules that the proposed rule change is should file six copies thereof with the have not been updated for a long time, Secretary, Securities and Exchange 8 or at all. For example, Advice A–1, See Advices A–3, A–4, B–9, B–10, D–1, D–2, F– Commission, 450 Fifth Street, NW., 7, F–10, and F–22. Washington, DC 20529–0609. Copies of Responsibility of Displaying Best Bids 9 See Advices A–5, A–9, A–10, B–3(b), B–11, C– and Offers, still applies the original fine 7(a), C–9, F–14, F–24 (except (c)(iii)), F–28, and G– the submission, all subsequent schedule from when it was first 2. amendments, all written statements adopted.7 The Exchange believes that 10 A ‘‘two-year running calendar basis’’ means with respect to the proposed rule that a violation of an Advice that occurs within two the fine schedules should be updated to change that are filed with the years of the first violation of that Advice will be Commission, and all written treated as a second occurrence, and any violation communications relating to the 6 Securities Exchange Act Rule 19d–1(c)(1), 17 of an Advice within two years of the previous CFR 19d–1(c)(1), requires any self-regulatory violation of that Advice will be subject to the next proposed rule change that are filed with organization for which the Commission is the highest fine specified in the Advice. See Securities the Commission, and all written appropriate regulatory agency that takes any final exchange Act Release No. 41201 (March 22, 1999), communications relating to the 64 FR 15391 (March 31, 1999) (SR–Phlx–99–06). disciplinary action with respect to any person to proposed rule change between the promptly file a notice thereof with the Commission. The terms ‘‘running’’ and ‘‘rolling’’ calendar basis However, minor rule violations not exceeding are often used interchangeably. See, e.g., Securities Commission and any person, other than $2,500 are not deemed final and therefore not Exchange Act Release No. 33130 (November 2, those that may be withheld from the subject to the same reporting requirements. 1993), 58 FR 59502 (November 9, 1993) (SR–Phlx– public in accordance with the 93–28). 7 See Securities Exchange Act Release No. 23296 provisions of 5 U.S.C. 552, will be (June 4, 1986) 51 FR 21430 (June 12, 1986) (SR– 11 See Advices A–2, B–1, B–4, B–8, C–4, F–2, F– Phlx–86–11). See also Securities Exchange Act 5, F–8, F–9, F–13, F–19, F–23, and F–30. available for inspection and copying in Release No. 43126 (Aug. 7, 2000), 65 FR 49621 12 15 U.S.C. 78f. (Aug. 14, 2000) (SR–Phlx–00–34). 13 15 U.S.C. 78f(b)(5). 14 15 U.S.C. 78f(b)(6).
VerDate 11
the Commission’s Public Reference applications for physical damage is July Resolutions r1–r4. Intended effective Room. Copies of such filings will also be 15, 2001 and for economic injury the date: August 1, 2001. available for inspection and copying at deadline is February 15, 2002. Andrea M. Jenkins, the principal office of the Phlx. All (Catalog of Federal Domestic Assistance submissions should refer to File No. Program Nos. 59002 and 59008.) Federal Register Liaison. SR–Phlx–2001–36 and should be [FR Doc. 01–14100 Filed 6–4–01; 8:45 am] submitted by June 26, 2001. Dated: May 30, 2001. BILLING CODE 4910–62–P For the Commission, By the Division of James E. Rivera, Market Regulation, pursuant to delegated Acting Associate Administrator for Disaster authority.15 Assistance. DEPARTMENT OF TRANSPORTATION Jonathan G. Kaz, [FR Doc. 01–14111 Filed 6–4–01; 8:45 am] Office of the Secretary Secretary. BILLING CODE 8025–01–P [FR Doc. 01–14028 Filed 6–4–01; 8:45 am] Notice of Applications for Certificates BILLING CODE 8010–01–M SMALL BUSINESS ADMINISTRATION of Public Convenience and Necessity and Foreign Air Carrier Permits Filed National Small Business Development Under Subpart B (Formerly Subpart Q) SMALL BUSINESS ADMINISTRATION Center Advisory Board, Public Meeting During the Week Ending May 25, 2001 [Declaration of Disaster #3341, Amdt. #1] The U.S. Small Business The following Applications for State of Minnesota Administration National Small Business Certificates of Public Convenience and Development Center Advisory Board Necessity and Foreign Air Carrier In accordance with a notice received will hold a public meeting on Sunday, Permits were filed under subpart B from the Federal Emergency June 17, 2001, from 9:00 a.m. to 5:00 Management Agency, dated May 29, p.m. PST. at the Doubletree Hotel (formerly subpart Q) of the Department 2001, the above-numbered Declaration Seattle Airport, Seattle, Washington, of Transportation’s Procedural is hereby amended to establish the Cascade Room 1 to discuss such matters Regulations (See 14 CFR 301.201 et incident period for this disaster as as may be presented by members, staff seq.). The due date for Answers, beginning on March 23, 2001 and of the U.S. Small Business Conforming Applications, or Motions to continuing through May 29, 2001. The Administration or others present. Modify Scope are set forth below for above-numbered Declaration is also Anyone wishing to make an oral each application. Following the Answer amended to include Aitkin, Big Stone, presentation to the Board must contact period DOT may process the application Carlton, Clay, Dakota, Kanabec, Lac qui Ellen Thrasher, in writing by letter or by expedited procedures. Such Parle, Mille Lacs, Morrison, Mower, fax no later than June 6, 2001 in order procedures may consist of the adoption Norman, Olmstead, Otter Trail, Pine, to be included on the agenda. For of a show-cause order, a tentative order, Polk, Ramsey, Redwood, Renville, Rice, further information, please write or call or in appropriate cases a final order Sibley, Stearns, Swift, Todd, Traverse, Ellen Thrasher, Designated Federal without further proceedings. Wilkin and Wright Counties in the State Officer U. S. Small Business Docket Number: OST–2001–9737. of Minnesota as disaster areas caused by Administration, 409 Third Street, SW, flooding and severe winter storms, Fourth Floor, Washington, DC 20416. Date Filed: May 22, 2001. flooding and tornadoes occurring Telephone number (202) 205–6817, Due Date for Answers, Conforming between March 23, 2001 and May 29, FAX (202) 205–7727. Applications, or Motion to Modify 2001. Scope: June 12, 2001. In addition, applications for economic Nancyellen Gentile, Description: Application of Vensecar injury loans from small businesses Committee Management Officer. Internacional C.A. pursuant to 49 U.S.C. located in Becker, Brown, Carver, Cass, [FR Doc. 01–14095 Filed 6–4–01; 8:45 am] 41302 and 14 CFR Parts 211 and 302 Clearwater, Cottonwood, Crow Wing, BILLING CODE 8025–01–U Hennepin, Isanti, LeSueur, Mahnomen, (subpart B), requesting a foreign air Marshall, McLeod, Meeker, Murray, carrier permit, authorizing it to engage Nicollet, Pennington, Red Lake, Scott in scheduled foreign air transportation and Wadena Counties in the State of DEPARTMENT OF TRANSPORTATION of property and mail between a point or points in Venezuela, on the one hand, Minnesota; Mitchell and Howard Office of the Secretary Counties in the State of Iowa; Cass, and Miami, Florida, on the other hand, Grand Forks, Richland and Traill Aviation Proceedings, Agreements via the Netherlands West Indies, Counties in the State of North Dakota; Filed During the Week Ending May 25, Jamaica and Cuba, as permitted by the and Grant and Roberts Counties in the 2001 U.S.-Venezuela Bilateral Air Transport State of South Dakota may be filed until Services Agreement. the specified date at the previously The following Agreements were filed designated location. Any counties with the Department of Transportation Andrea M. Jenkins, contiguous to the above named primary under the provisions of 49 U.S.C. 412 Federal Register Liaison. counties and not listed here have been and 414. Answers may be filed within [FR Doc. 01–14099 Filed 6–4–01; 8:45 am] previously declared. 21 days after the filing of the BILLING CODE 4910–62–P The number assigned for economic application. injury in the State of North Dakota is Docket Number: OST–2001–9725. 9L7700. Date Filed: May 21, 2001. All other information remains the Parties: Members of the International same, i.e., the deadline for filing Air Transport Association. Subject: PTC31 SOUTH 0106 dated 15 17 CFR 200.30–3(a)(12). May 18, 2001. Expedited South Pacific
VerDate 11
DEPARTMENT OF TRANSPORTATION housing facilities for at least one of the 5. New Task—Rescue and Firefighting heaviest aircraft within the weight class Requirements Working Group Federal Aviation Administration of the rating it holds. Grant, 05/10/2001, 6. Future Meetings [Summary Notice No. PE–2001–42] Exemption No. 6673B. Attendance is open to the interested Docket No.: FAA–2001–8750 public but will be limited to the space Petitions for Exemption; Summary of (previously Docket No. 27429). available. The FAA will arrange Dispositions of Petitions Issued Petitioner: Community College of the teleconference capability for individuals Air Force. wishing to participate by teleconference AGENCY: Federal Aviation Section of 14 CFR Affected: 14 CFR if we receive notification before June 13, Administration (FAA), DOT. 147.31(c)(2)(iii). 2001. Arrangements to participate by ACTION: Notice of dispositions of prior Description of Relief Sought/ teleconference can be made by petitions. Disposition: To permit U.S. Air Force aviation maintenance technicians who contacting the person listed in the FOR SUMMARY: Pursuant to FAA’s rulemaking have completed military aviation FURTHER INFORMATION CONTACT section. provisions governing the application, maintenance training courses to be Callers outside the Washington processing, and disposition of petitions evaluated using the same criteria that is Metropolitan area will be responsible for exemption part 11 of Title 14, Code used for the civilian sector. Grant, 05/ for paying long distance charges. of Federal Regulations (14 CFR), this 03/2001, Exemption No. 6094C. The public must make arrangements notice contains a summary of by June 13, 2001, to present oral dispositions of certain petitions [FR Doc. 01–14110 Filed 6–4–01; 8:45 am] statements at the meeting. The public previously received. The purpose of this BILLING CODE 4910–13–M may present written statements to the notice is to improve the public’s committee at any time by providing 25 copies to the Assistant Executive awareness of, and participation in, this DEPARTMENT OF TRANSPORTATION aspect of FAA’s regulatory activities. Director, or by bringing the copies to the Neither publication of this notice nor Federal Aviation Administration meeting. Public statements will only be the inclusion or omission of information considered if time permits. In addition, in the summary is intended to affect the Aviation Rulemaking Advisory sign and oral interpretation, as well as legal status of any petition or its final Committee; Airport Certification Issues an assistive listening device, can be disposition. Meeting made available, if requested 10 calendar days before the meeting. Arrangements FOR FURTHER INFORMATION CONTACT: AGENCY: Federal Aviation may be made by contacting the person Forest Rawls (202) 267–8033, Sandy Administration (FAA), DOT. Buchanan-Sumter (202) 267–7271, or listed under the heading FOR FURTHER ACTION: Notice of public meeting. INFORMATION CONTACT. Vanessa Wilkins (202) 267–8029, Office of Rulemaking (ARM–1), Federal SUMMARY: This notice announces a Issued in Washington, DC, on May 30, Aviation Administration, 800 public meeting of the Federal Aviation 2001. Independence Avenue, SW., Administration’s Aviation Rulemaking Ben Castellano, Washington, DC 20591. Advisory Committee to discuss Airport Assistant Executive Director for Airport This notice is published pursuant to Certification issues. Certification Issues, Aviation Rulemaking 14 CFR 11.85 and 11.91. DATES: The meeting will be held on June Advisory Committee. Issued in Washington, DC, on May 31, 21, 2001, from 1 p.m. to 5 p.m. Arrange [FR Doc. 01–14108 Filed 6–4–01; 8:45 am] 2001. for presentations by June 13, 2001. BILLING CODE 4910–13–M Donald P. Byrne, ADDRESSES: The meeting will be held at Assistant Chief Counsel for Regulations. the Federal Aviation Administration, 800 Independence Ave. SW., room 833, DEPARTMENT OF TRANSPORTATION Dispositions of Petitions Washington, DC 20591. Federal Aviation Administration Docket No.: FAA–2001–8805. FOR FURTHER INFORMATION CONTACT: Petitioner: Executive Jet Sales, Inc. Marisa Mullen, FAA, Office of Notice of Intent to rule on Application Section of 14 CFR Affected: 14 CFR Rulemaking (ARM–205), 800 (01–14–C–00–CHO) To Use the 145.45(f). Independence Avenue, SW., Revenue From A Passenger Facility Description of Relief Sought/ Washington, DC 20591, telephone (202) Charge (PFC) at Charlottesville- Disposition: To permit EJS to place and 267–7653, fax (202) 267–5075. Albemarle Airport, Charlottesville, maintain its inspection procedures SUPPLEMENTARY INFORMATION: Pursuant Virginia manual (IPM) in a number of fixed to section 10(a)(2) of the Federal locations within its repair station Advisory Committee Act (Pub. L. 92– AGENCY: Federal Aviation facility rather than giving a copy of its 463; 5 U.S.C. App II), notice is hereby Administration (FAA), DOT. IPM to each of its supervisory and given of a meeting of the Aviation ACTION: Notice of Intent to Rule on inspection personnel. Grant, 05/04/ Rulemaking Advisory Committee to be Application. 2001, Exemption No. 7530. held on June 21, 2001, from 1 p.m. to Docket No.: FAA–2001–8811 5 p.m. at the Federal Aviation SUMMARY: The FAA proposes to rule and (previously Docket No. 28884). Administration, 800 Independence Ave. invites public comment on the Petitioner: Aero Sky. SW., room 813, Washington, DC 20591. application to impose and use the Section of 14 CFR Affected: 14 CFR The agenda will include: revenue from a passenger facility charge 145.37(b). 1. Opening Remarks (PFC) at Charlottesville-Albemarle Description of Relief Sought/ 2. Committee Administration Airport under the provisions of the Disposition: To permit Aero Sky to 3. ARAC Process Briefing Aviation Safety and Capacity Expansion continue to hold an FAA repair station 4. Friction Measurement and Signing Act of 1990 (Title IX of the Omnibus certificate (certificate No. KQ7R556N) Working Group Report and ARAC Budget Reconciliation Act of 1990) without having suitable permanent Decision (Pub. L. 101–508) and part 158 of the
VerDate 11
Federal Aviation Regulations (14 CFR PFC Project Administration Fees North Hamline Avenue, St. Paul, part 158). (Impose & Use) Minnesota 55104 DATES: Comments must be received on Air Carrier Terminal Refurbishment Tuesday, June 26, 2001, 5:00 p.m. to or before July 5, 2001. (Design) Phase II (Impose & Use) 8:00 p.m., Lifetrack Resources Job ADDRESSES: Comments on this Acquire Snow Removal Equipment Search Center, 709 University Avenue application may be mailed or delivered Carrier Vehicle (Impose & Use) West, St. Paul, Minnesota 55104 in triplicate to the FAA at the following Class or classes of air carriers which Wednesday, June 27, 2001, 5:00 p.m. to address: Arthur Winder, Project the public agency has requested not be 8:00 p.m., Radisson Metrodome, 615 Manager, Washington Airports District required to collect PFCs: Air Taxi/ Washington Avenue SE., Office, 23723 Air Freight Lane, Suite Commercial Operators filing FAA Form Minneapolis, Minnesota 55414 210, Dulles, VA 22016. 1800–31 and foreign air carriers. ADDRESSES: Written comments on the In addition, one copy of any Any person may inspect the scope of the analysis and impacts to be comments submitted to the FAA must application in person at the FAA office considered should be sent by July 20, be mailed or delivered to Bryan O. listed above under FOR FURTHER 2001 to: Mr. Steve Morris, Project Elliott, Director of Aviation, of the INFORMATION CONTACT and at the FAA Manager, Ramsey County Regional Charlottesville-Albemarle Airport regional Airports Office located at: Railroad Authority (RCRRA), 50 West Authority at the following address: Federal Aviation Administration, Kellogg Boulevard, Suite 665, St. Paul, Charlottesville-Albemarle Airport, 201 Airports Division, AEA–610, 1 Aviation Minnesota 55102, Telephone: (651) Bowen Loop, Charlottesville, Virginia Plaza, Jamaica, NY 11434–4809. 266–2784, Fax: (651) 266–2761, E-mail: 22901. In addition, any person may, upon [email protected], TDD: 1 Air carriers and foreign air carriers request, inspect the application, notice 800 627–3529. may submit copies of written comments and other documents germane to the FOR FURTHER INFORMATION CONTACT: Mr. previously provided to the application in person at the Joel P. Ettinger, Regional Administrator, Charlottesville-Albemarle Airport Charlottesville-Albemarle Airport. Federal Transit Administration (FTA), Authority under § 158.23 of part 158. Issued in Dulles, Va. 22016, May 24, 2001. Region V, 200 West Adams Street, Suite FOR FURTHER INFORMATION CONTACT: Terry J. Page, 2410, Chicago, Illinois 60606, Arthur Winder, Program Manager, Manager, Washington Airports District Office. Telephone: (312) 353–2789. Wahington Airports District Office, [FR Doc. 01–14109 Filed 6–4–01; 8:45 am] SUPPLEMENTARY INFORMATION: The FTA 23723 Air Freight Lane, Suite 210, BILLING CODE 4910–13–M (the federal lead agency for this action) Dulles, VA 22016, (703) 661–1363. The in cooperation with the Ramsey County application may be reviewed in person Regional Railroad Authority (RCRRA), at this same location. DEPARTMENT OF TRANSPORTATION the local lead agency, will prepare an SUPPLEMENTARY INFORMATION: The FAA Environmental Impact Statement (EIS) proposes to rule and invites public Federal Transit Administration for the Central Corridor Transit Project. comment on the application to impose Environmental Impact Statement on I. Scoping and use the revenue from a PFC at the Central Corridor Project Located Charlottesville-Albemarle Airport under The FTA and the RCRRA invite Between Minneapolis and St. Paul, the provisions of the Aviation Safety interested individuals, organizations Minnesota and Capacity Expansion Act of 1990 and federal, state and local agencies to (Title IX of the Omnibus Budget AGENCY: Federal Transit Administration participate in: defining the options to be Reconciliation Act of 1990) (Pub. L. (FTA), DOT. evaluated in the EIS; in identifying the social, economic and environmental 101–508) and part 158 of the Federal ACTION: Notice of Intent to prepare an impacts to be evaluated; and suggesting Aviation Regulations (14 CFR part 158). environmental impact statement. On May 10, 2001, the FAA alternative options that are less costly or determined that the application to SUMMARY: The Federal Transit have fewer environmental impacts impose and use the revenue from a PFC Administration (FTA) is issuing this while achieving similar transportation submitted by Charlottesville-Albemarle notice to advise interested agencies and objectives. An information packet, Airport Authority was substantially the public that, in accordance with the referred to as the Scoping Booklet is complete within the requirements of National Environmental Policy Act, an being circulated to all federal, state and § 158.25 of part 158. The FAA will Environmental Impact Statement (EIS) local agencies having jurisdiction in the approve or disapprove the application, is being prepared for the Central project, and all interested parties in whole or in part, no later than August Corridor Transit Project located between currently on the RCRRA mailing list. 15, 2001. Minneapolis and St. Paul, Minnesota. Other interested parties may request this The following is a brief overview of DATES: One Interagency Scoping Scoping Booklet by contacting Steve the application. Meeting and two Public Scoping Morris at the address indicated above. PFC Application No.: 01–14–C–00– Meetings will be held on the following Three Public Scoping Meetings will CHO. dates and times at the locations be held in the study area. The first will Level of the proposed PFC: $3.00. indicated. be held from 8:00 to 9:30 a.m. on Proposed charge effective date: July 1, Tuesday, June 26, 2001, at the Sheraton 2004. Interagency Scoping Meeting Midway, 400 North Hamline Avenue, Proposed charge expiration date: Tuesday, June 26, 2001, from 2:00 p.m. St. Paul, Minnesota. The second will be January 1, 2005. to 4:00 p.m., Sheraton Midway, 400 held from 5:00 p.m. to 8:00 p.m. on Total estimated PFC revenue: North Hamline Avenue, St. Paul, Tuesday, June 26, 2001, at the Lifetrack $220,000. Minnesota 55104, Resources Job Search Center, 709 Brief description of proposed University Avenue West, St. Paul, project(s): Public Scoping Meetings Minnesota. The third Public Scoping Extend Runway 3 Safety Area, Phase III Tuesday, June 26, 2001, 8:00 a.m. to Meeting will be held from 5:00 p.m. to (Impose & Use) 9:30 a.m., Sheraton Midway, 400 8:00 p.m. on Wednesday, June 27, 2001,
VerDate 11
at the Radisson Metrodome, 615 (LRT); Busway/ Bus Rapid Transit Busway/BRT alternative would also Washington Avenue Southeast, (BRT), and Commuter Rail. incorporate the elements of the No- Minneapolis, Minnesota. One Although two commuter rail options Build and TSM alternatives. were being considered during the Interagency Scoping Meeting will be 4. Light Rail Transit (LRT) preliminary phases of the Central held from 2:00 p.m. to 4:00 p.m. on Alternatives—A Light Rail Transit (LRT) Corridor Transit Study, the evaluation Tuesday, June 26, 2001, at the Sheraton line to be constructed with several Midway, 400 North Hamline Avenue, of the commuter rail options will be deferred to a separate environmental station stops between downtown St. Paul, Minnesota. People with special Minneapolis, the University of needs should call Steve Morris at (651) document based on regional commuter Minnesota and downtown St. Paul, on 266–2784. The buildings are accessible rail connections and system planning, either University Avenue or I–94. Both to persons with disabilities. funding and operating agency responsibility. the University Avenue and I–94 LRT Scoping comments may be made alternative would incorporate the orally at the Public Scoping Meetings or A public involvement program has elements of the No-Build and TSM in writing by July 20, 2001. Comments been developed and initiated with a alternatives. or questions should be directed to Mr. website, newsletters, informational Steve Morris at the address indicated meetings, and public hearings. The I–94 LRT Alternative would above. III. Alternatives provide LRT service, primarily in barrier-separated exclusive lanes in the II. Description of the Study Area and The transit modes initially considered median of I–94. The alternative would Transportation Needs for the Central Corridor included: Bus include all facilities associated with the Transit, Busway/Bus Rapid Transit, The Central Corridor study area is construction and operations of the LRT, Light Rail Transit, Commuter Rail, described as the 11-mile corridor including right-of-way, tracks, Streetcar, Heavy Rail Transit, Monorail, extending between Minneapolis and structures, and stations, as well as LRT, Automated Guideway Transit, Personal Saint Paul, Minnesota on the west and feeder bus and rail operating plans. Rapid Transit, and Magnetic Levitation. east, and bounded by the Burlington The seven route alignments initially The University Avenue LRT Northern-Santa Fe (BNSF) Northern studied were the Burlington Northern Alternative would provide LRT service, Mainline on the north and the Canadian Santa Fe Northern Mainline, the primarily in exclusive lanes in the Pacific Railroad (CP Railway) Shortline Burlington Northern Santa Fe Southern center of University Avenue. The Railroad on the south. The proposed Mainline, the Pierce Butler Route, alternative would include all facilities Central Corridor would connect the University Avenue, I–94, the Canadian associated with the construction and central business districts of Minneapolis Pacific Rail, and the Canadian Pacific operations of the LRT, including right- and St. Paul, and the University of Rail West. of-way, tracks, structures, and stations, Minnesota, and would serve the transit- The transportation alternatives as well as LRT, feeder bus and rail dependent population located within currently proposed for consideration for operating plans. the study area. the Central Corridor Draft EIS include: Throughout the last two decades, the 1. No-Build Alternative—No change to IV. Probable Effects/Potential Impacts Central Corridor has been the focus of transportation services or facilities in for Analysis several studies regarding the feasibility the Central Corridor beyond already The FTA and the RCRRA will of various mass transit modes. Each of committed projects. This includes only consider probable effects and these studies has identified the Central those roadway and transit potentially significant impacts to social, Corridor as the region’s priority corridor improvements defined in the for mass transit investment. The current appropriate agencies’ Long Range economic and environmental factors 2020 Long-Range Transportation Plan Transportation Plans and Transit associated with the alternatives under and the State Transportation Development Plans for which funding evaluation in the EIS. Potential Improvement Program (STIP) both has been committed. environmental issues to be addressed include funding commitments for the 2. Transportation System will include: Land use, historic and Central Corridor Project. Management (TSM) Alternative—Low archaeological resources, traffic and In February 2000, the RCRRA cost transportation infrastructure and parking, noise and vibration, initiated the Central Corridor Transit bus transit improvements for the Central environmental justice, regulatory Study to identify the mass transit Corridor. Intelligent Transportation floodway/floodplain encroachments, options for the Central Corridor. Systems (ITS), Travel Demand coordination with transportation and Preliminary phases of the study Management (TDM), bus operations and economic development projects, and identified the purpose and need for other TSM improvements will be construction impacts. Other issues to be transportation improvements in the included in this alternative. addressed in the EIS include: natural corridor and identified and screened 3. Busway/Bus Rapid Transit (BRT) areas, ecosystems, rare and endangered potential mass transit options that Alternative—A Busway/Bus Rapid species, water resources, air/surface would meet the purpose and need. The Transit (BRT) line to be constructed water and groundwater quality, energy, purpose and need for transportation with several station stops between potentially contaminated sites, improvements in the study area were downtown Minneapolis, the University displacements and relocations, and focused on three principal areas: of Minnesota and downtown St. Paul, parklands. The potential impacts will be economic opportunity and investment; primarily in exclusive guideway in the evaluated for both the construction communities and environment; and center of University Avenue. The period and the long-term operations transportation and mobility. Following a alternative would include all facilities period of each alternative considered. In multiple-phase screening process, it was associated with the construction and addition, the cumulative effects of the determined that the potential mass operations of the Busway/BRT, proposed project alternatives will be transit options that would address the including right-of-way, structures, and identified. Measures to avoid or mitigate purpose and need for the Central stations, as well as Busway/BRT, feeder any significant adverse impacts will be Corridor included: Light Rail Transit bus and rail operating plans. The developed.
VerDate 11
V. FTA Procedures complying with the safety standards, The petitioner claims that it carefully In accordance the regulations and and (2) they are capable of being readily compared non-U.S. certified 1993 Ford guidance established by the Council on altered to conform to the standards. Mustang passenger cars to their U.S.- Environmental Quality (CEQ), as well as DATES: The closing date for comments certified counterparts, and found the the Code of Federal Regulations, Title on the petition is July 5, 2001. vehicles to be substantially similar with respect to compliance with most Federal 23, Part 771 (23 CFR 771) of the FHWA/ ADDRESSES: Comments should refer to motor vehicle safety standards. FTA environmental regulations and the docket number and notice number, WETL submitted information with its policies, the EIS will include an and be submitted to: Docket petition intended to demonstrate that analysis of the social, economic and Management, Room PL–401, 400 non-U.S. certified 1993 Ford Mustang environmental impacts of each of the Seventh St., SW, Washington, DC passenger cars, as originally alternatives selected for evaluation. The 20590. [Docket hours are from 9 am to manufactured, conform to many Federal EIS will also comply with the 5 pm.] requirements of the 1990 Clean Air Act motor vehicle safety standards in the FOR FURTHER INFORMATION CONTACT: same manner as their U.S. certified Amendments (CAAA) and with George Entwistle, Office of Vehicle Executive Order 12898 regarding counterparts, or are capable of being Safety Compliance, NHTSA (202–366– readily altered to conform to those Environmental Justice. After its 5306). publication, the Draft Environmental standards. Impact Statement (DEIS) will be SUPPLEMENTARY INFORMATION: Specifically, the petitioner claims that non-U.S. certified 1993 Ford Mustang available for public and agency review Background and comment. Public hearings will be passenger cars are identical to their U.S. held on the DEIS. Under 49 U.S.C. 30141(a)(1)(A), a certified counterparts with respect to The Final EIS will consider comments motor vehicle that was not originally compliance with Standard Nos. 102 received during the DEIS public review manufactured to conform to all Transmission Shift Lever Sequence and will identify the preferred applicable Federal motor vehicle safety * * *, 103 Defrosting and Defogging alternative. Opportunity for additional standards shall be refused admission Systems, 104 Windshield Wiping and public comment will be provided into the United States unless NHTSA Washing Systems, 105 Hydraulic Brake throughout all phases of project has decided that the motor vehicle is Systems, 106 Brake Hoses, 108 Lamps, development. substantially similar to a motor vehicle Reflective Devices and Associated originally manufactured for importation Equipment, 109 New Pneumatic Tires, Issued on: May 30, 2001. into and sale in the United States, 111 Rearview Mirror, 113 Hood Latch Joel P. Ettinger, certified under 49 U.S.C. 30115, and of Systems, 114 Theft Protection, 116 Region 5 Administrator, Federal Transit the same model year as the model of the Brake Fluid, 118 Power Window Administration, Chicago, Illinois. motor vehicle to be compared, and is Systems, 124 Accelerator Control [FR Doc. 01–14102 Filed 6–4–01; 8:45 am] capable of being readily altered to Systems, 201 Occupant Protection in BILLING CODE 4910–57–P conform to all applicable Federal motor Interior Impact, 202 Head Restraints, vehicle safety standards. 204 Steering Control Rearward Petitions for eligibility decisions may Displacement, 205 Glazing Materials, DEPARTMENT OF TRANSPORTATION be submitted by either manufacturers or 206 Door Locks and Door Retention National Highway Traffic Safety importers who have registered with Components, 207 Seating Systems, 208 Administration NHTSA pursuant to 49 CFR part 592. As Occupant Crash Protection, 209 Seat specified in 49 CFR 593.7, NHTSA Belt Assemblies, 210 Seat Belt Assembly [Docket No. NHTSA–2001–9732] publishes notice in the Federal Register Anchorages, 212 Windshield Retention, of each petition that it receives, and 214 Side Impact Protection, 216 Roof Notice of Receipt of Petition for affords interested persons an Crush Resistance, 219 Windshield Zone Decision That Nonconforming 1993 opportunity to comment on the petition. Intrusion, 301 Fuel System Integrity, and Ford Mustang Passenger Cars Are At the close of the comment period, 302 Flammability of Interior Materials. Eligible for Importation NHTSA decides, on the basis of the Additionally, the petitioner states that AGENCY: National Highway Traffic petition and any comments that it has non-U.S. certified 1993 Ford Mustang Safety Administration, DOT. received, whether the vehicle is eligible passenger cars comply with the Bumper ACTION: Notice of receipt of petition for for importation. The agency then Standard found in 49 CFR part 581 and decision that nonconforming 1993 Ford publishes this decision in the Federal the Vehicle Identification Number plate Mustang passenger cars are eligible for Register. requirement of 49 CFR part 565. importation. Wallace Environmental Testing Petitioner also contends that the non- Laboratories, Inc. of Houston, Texas U.S. certified 1993 Ford Mustang SUMMARY: This document announces (‘‘WETL’’) (Registered Importer 90–005) passenger cars are not identical to their receipt by the National Highway Traffic has petitioned NHTSA to decide U.S. certified counterparts, as specified Safety Administration (NHTSA) of a whether 1993 Ford Mustang passenger below, but still comply with the petition for a decision that 1993 Ford cars originally manufactured for the following Standard in the manner Mustang passenger cars that were not European market are eligible for indicated: originally manufactured to comply with importation into the United States. The Standard No. 101 Controls and all applicable Federal motor vehicle vehicles which WETL believes are Displays: the speedometer indicates safety standards are eligible for substantially similar are 1993 Ford both kilometers per hour and mile per importation into the United States Mustang passenger cars that were hour. The odometer indicates kilometers because (1) they are substantially manufactured for importation into, and and is labeled as such. The brake similar to vehicles that were originally sale in, the United States and certified warning indicator meets the manufactured for importation into and by their manufacturer as conforming to requirements. sale in the United States and that were all applicable Federal motor vehicle Petitioner further contends that the certified by their manufacturer as safety standards. vehicles are capable of being readily
VerDate 11
altered to meet the following standards, Treasury, Room 2110, 1425 New York company meets all of the requirements in the manner indicated: Avenue, NW., Washington, DC 20220. for accreditation as a commercial Standard No. 110 Tire Selection and DATES: Written comments should be laboratory. Specifically, Robinson Rims: installation of a tire information received on or before July 5, 2001 to be International (USA) Inc. has been placard. assured of consideration. granted accreditation to perform the The petitioner also states that a following tests methods only: (1) API certification label must be affixed to the Financial Management Service (FMS) Gravity by Hydrometer, ASTM D287; (2) driver’s side door jamb to meet the OMB Number: 1510–0059. Percent by Weight of Sulfur by X-Ray requirements of 49 CFR part 567. Form Number: SF 5510. Fluorescence, ASTM D4294; (3) Additionally, the petitioner states that Type of Review: Extension. Sediment in Crude Oils and Fuel Oils all vehicles will be inspected prior to Title: Authorization Agreement for by Extraction, ASTM D473; (4) Water in importation to ensure that they are Preauthorized Payment. Crude Oil by Distillation, ASTM D4006. equipped with U.S.-model anti-theft Description: Preauthorized payment is Therefore, in accordance with Part devices, and that all vehicle that are not used by remitters (individuals and 151.12 of the Customs Regulations, so equipped will be modified to comply corporations) to authorize electronic Robinson International (USA) Inc. of with the Theft Prevention Standard at funds transfers from the bank accounts Houston, Texas, is hereby accredited to 49 CFR part 541. maintained at financial institutions for analyze the products named above. Interested persons are invited to government agencies to collect monies. Location: Robinson International submit comments on the petition Respondents: Business or other for- (USA) Inc. accredited site is located at: described above. Comments should refer profit, individuals or households, 4500 South Wayside Drive, #101, to the docket number and be submitted Federal Government. Houston, Texas, 77207. to: Docket Management, Room PL–401, Estimated Number of Respondents: EFFECTIVE DATE: June 1, 2001. 400 Seventh St., SW, Washington, DC 100,000. FOR FURTHER INFORMATION CONTACT: 20590. [Docket hours are from 9 am to Estimated Burden Hours Per Michael Parker, National Quality 5 pm]. It is requested but not required Respondent: 15 minutes. Manager, Laboratories and Scientific that 10 copies be submitted. Frequency of Response: On occasion. Services, U.S. Customs Service, 1300 All comments received before the Estimated Total Reporting Burden: Pennsylvania Avenue, NW., Suite 1500 close of business on the closing date 25,000 hours. North, Washington, DC 20229, (202) indicated above will be considered, and Clearance Officer: Juanita Holder, 927–1060. will be available for examination in the Financial Management Service, 3700 Dated: May 30, 2001. docket at the above address both before East West Highway, Room 144, PGP II, Ira S. Reese, and after that date. To the extent Hyattsville, MD 20782. Executive Director, Laboratories and possible, comments filed after the OMB Reviewer: Alexander T. Hunt, Scientific Services. closing date will also be considered. (202) 395–7860, Office of Management [FR Doc. 01–14060 Filed 6–4–01; 8:45 am] Notice of final action on the petition and Budget, Room 10202, New will be published in the Federal Executive Office Building, Washington, BILLING CODE 4820–02–P Register pursuant to the authority DC 20503. indicated below. Mary A. Able, DEPARTMENT OF THE TREASURY Authority: 49 U.S.C. 30141(a)(1)(A) and Departmental Reports Management Officer. (b)(1); 49 CFR 593.8; delegations of authority Customs Service [FR Doc. 01–14113 Filed 6–4–01; 8:45 am] at 49 CFR 1.50 and 501.8. BILLING CODE 4810–35–P Announcement of a National Customs Issued on: May 29, 2001. Automation Program Test: The Marilynne Jacobs, International Trade Data System (ITDS) Director, Office of Vehicle Safety Compliance. DEPARTMENT OF THE TREASURY [FR Doc. 01–14101 Filed 6–4–01; 8:45 am] AGENCY: Customs Service, Treasury. Customs Service BILLING CODE 4910–59–P ACTION: General notice. [T.D. 01–42] SUMMARY: This document announces Customs Accreditation of Robinson Customs plan to conduct a pilot test of the International Trade Data System DEPARTMENT OF THE TREASURY International (USA) Incorporated as a Commercial Laboratory (ITDS), an interagency system designed Submission for OMB Review; to enable various federal trade agencies Comment Request AGENCY: U.S. Customs Service, to share a standard set of data in order Department of the Treasury. to effect the more efficient electronic May 25, 2001. ACTION: Notice of Accreditation of release of goods, conveyances, and The Department of the Treasury has Robinson International (USA) Inc. of crews. The pilot will be conducted for submitted the following public Houston, Texas, as a Commercial trucks only at the port of Buffalo, New information collection requirement(s) to Laboratory. York. Under the pilot, a participant will OMB for review and clearance under the submit relevant information to ITDS to Paperwork Reduction Act of 1995, SUMMARY: Robinson International (USA) effect an importation, and ITDS will Public Law 104–13. Copies of the Inc. of Houston, Texas, has applied to transmit certain elements of this submission(s) may be obtained by U.S. Customs under Part 151.12 of the information to pertinent agencies for calling the Treasury Bureau Clearance Customs Regulations for accreditation as processing the importation. This Officer listed. Comments regarding this a commercial laboratory to analyze document explains the ITDS system, information collection should be petroleum product under Chapter 27 invites public comments concerning any addressed to the OMB reviewer listed and Chapter 29 of the Harmonized Tariff aspect of the pilot, informs interested and to the Treasury Department Schedule of the United States (HTSUS). members of the public of the eligibility Clearance Officer, Department of the Customs has determined that this requirements for voluntary participation
VerDate 11
in the pilot, and describes the Through Information Technology’’ agencies. The ITDS system will support procedures to be followed under the (February 1997). the processes of multiple agencies, pilot program. Initially, a special project office for including data collection, processing, DATES: The pilot will commence at the the ITDS system was established under use, dissemination, and storage. port of Buffalo no sooner than June 18, the Secretary of the Treasury. On Ultimately, ITDS will become the 2001, first at the Peace Bridge location November 17, 1999, the ITDS office and central data collection system for all and 30 days later at the Lewiston Bridge its functions and support were federal agencies that, by law, require location. It will run for 15 months and transferred to the Customs Service international trade data. As such, it will may be extended. Applications to where it is now part of the Office of be the single, most convenient point for participate in the pilot may be Information and Technology. A multi- accessing that data. submitted throughout its duration. agency board of directors, currently In addition to assisting federal Written comments concerning this chaired by a representative of the U.S. government agencies in the processing notice, including eligibility standards International Trade Commission, guides of import and export transactions, ITDS and information submission, must be the ITDS project. will provide the framework to collect received on or before July 5, 2001. When fully developed, the ITDS information on behalf of those agencies system will facilitate information ADDRESSES: Written comments and will enable Customs to more processing for businesses and the over regarding this notice and applications effectively assist them in enforcing laws 65 federal agencies involved in and regulations relating to international for voluntary participation in the pilot international trade. While Customs should be addressed to Janet Pence, trade and transportation. current automated processing system, Development of ITDS will be Chief, Client Representative Branch, the Automated Commercial System coordinated with the development of Office of Information and Technology, (ACS), is designed to accommodate the the Customs Automated Commercial 7501 Boston Boulevard, Springfield, VA needs of some federal agencies, ITDS Environment (ACE), the broader 22153. Application forms will be will be designed to accommodate all Customs Modernization effort, and the available on the Internet at agencies that need international trade current and future requirements of other www.itds.treas.gov/register data, including those agencies not agencies’ processing systems. Trade data FOR FURTHER INFORMATION CONTACT: serviced by the current ACS system. Concerning information regarding the When importing or exporting, trade will flow to and from ACE through test program and the application participants (traders) are required to ITDS. process: Janet Pence at (703) 921–7500. submit information to appropriate trade I. The ITDS Pilot Additional information concerning agencies to enable agencies to ITDS can be obtained on the Internet at determine, for example, the legal A pilot test (hereafter, pilot) involving www.itds.treas.gov admissibility of imported merchandise, individual federal agencies is an SUPPLEMENTARY INFORMATION: the duty applicable to imported important part of the ITDS design and merchandise, the safe or unsafe implementation plan. The pilot will be Background condition of a truck intended to be used the first in a series of initiatives to Title VI of the North American Free on U.S. highways, or whether food develop a fully integrated, Trade Agreement Implementation Act products are safe for consumption. comprehensive trade data processing (the Act), Public Law 103–182, 107 Stat. Currently, traders are required to system. The pilot will test an 2057 (December 8, 1993), contains provide this information to each infrastructure of hardware and software provisions pertaining to Customs individual trade agency using a variety architecture to demonstrate ITDS as a Modernization (107 Stat. 2170). Subtitle of different automated systems, a viable system for the collection and B of Title VI establishes the National multitude of paper forms, or a dissemination of commercial trade data Customs Automation Program (NCAP), combination of systems and forms. The in a fully electronic environment. an automated and electronic system for United Nations Conference on Trade The agencies participating in the ITDS the processing of commercial and Development (UNCTAD) has pilot are: The U.S. Customs Service, the importations. Section 101.9(b) of the estimated that submission of redundant Immigration and Naturalization Service Customs Regulations (19 CFR 101.9(b)) information and preparation of (INS), the Food and Drug provides for the testing of NCAP documentation is equal to 4–6% of the Administration (FDA), and the components (see T.D. 95–21). This pilot cost of the merchandise. Department of Transportation’s Federal test is established pursuant to those With ITDS, traders will submit Motor Carrier Safety Administration regulations. standard electronic data for imports or (FMCSA). The International Trade Data System exports only once to ITDS. Then, ITDS The initial focus of the pilot will be (ITDS) is a federal government will distribute this standard data to the on adapting to existing government and information technology initiative pertinent federal agencies that have an trade systems. Because the ITDS system (Initiative IT06) of the National interest in the transaction for their will interface with these existing Performance Review. The goal of the selectivity and risk assessment. The systems, the full ITDS standard data-set initiative is to implement an integrated ITDS will provide each agency only will not be used. The pilot will provide government-wide system for the information that is relevant to its the necessary software infrastructure to electronic collection, use, and mission. Thus, the ITDS system will allow the government and the trade to dissemination of international trade serve as a government data collection migrate toward use of the standard data- data. The ITDS was chartered in and distribution facility, a ‘‘single set as ITDS is further developed. September of 1995 under then-Vice window’’ system through which Essentially, the pilot will test the ability President Gore’s memorandum, information necessary to trade of traders and motor carriers to provide ‘‘Implementing the International Trade transactions can flow efficiently from the required data and the ability of the Data System’’ (September 15, 1995), and traders to agencies. By using this single government to effectively share this data was reaffirmed in the Government window, traders will be relieved of the among several federal trade agencies Information Technology Services Board burden of submitting the same and to integrate the results of the report, ‘‘Access America: Reengineering information to multiple federal agencies’ processing.
VerDate 11
Following the pilot, ITDS will move accordance with this pilot) of any truck Manifest Filing forward through various phases of carrying merchandise being entered The carrier, or an authorized agent of implementation designed to: under the ITDS procedure. (Note again the carrier filing for the carrier, must file —Reduce the cost and burden of the exception for filing in-bond entries the manifest using an ITDS web-form processing international trade at the secondary inspection station.) By that is available on the Internet. A transactions for both the private trade accepting both the pilot manifest and sample of this form is available on the community and the government; the pilot entry prior to arrival of a truck, Internet at www.itds.treas.gov. The —Provide the trade with a standard data the ITDS system will allow government Internet web site will also provide set and a single system for import, agencies to analyze admissibility and filing, arrival, examination, and release export, and transit procedures relative enforcement actions before the status information for each participating to the goods involved and the merchandise arrives. filer’s recently filed manifests. transportation employed While the electronic filings of the All shipments of merchandise aboard (conveyances and crew); pilot manifest and entry will be the truck must be eligible for processing —Improve compliance with government accepted in any sequence, both filings under the pilot. Merchandise eligible for trade requirements (e.g., public health must be received at least 30 minutes ITDS pilot processing is merchandise and safety rules, export controls, etc.); prior to arrival of the carrier in order to that will be entered by consumption and permit government systems to perform —Provide users with access to more entry or in-bond entry. All merchandise the necessary pre-arrival processing. For aboard the truck must be reported in the accurate, thorough, and timely merchandise subject to FDA regulations, international trade data. manifest and entered under ITDS pilot while it is preferred that entry data be procedures. Shipments for clearance II. The ITDS Pilot Process submitted twenty-four hours before under 19 U.S.C. 1321 (section 321 of the arrival, entry data must be submitted at For merchandise that is processed Tariff Act of 1930, as amended; least six hours before arrival. through the ITDS pilot, both the hereafter, section 321)) will require importer (or its customs broker) who It is noted that, except under the country of origin and value reporting files the ITDS pilot entry and the carrier NCAP Prototype (see the notice and an eligibility claim by the entry transporting the merchandise (or its published in the Federal Register (63 filer. (Under section 321, merchandise authorized agent) who files the ITDS FR 44949) on August 21, 1998, having minimal value can be entered pilot manifest must be participants in concerning NCAP Prototype operations), free of duty or tax where the amount of the ITDS pilot. (Note that there is one trucking companies do not currently revenue collected would be exception to the importer or its broker provide electronic manifest data to disproportionate to the expense and filing an electronic ITDS pilot entry: Customs. Electronic filing of the inconvenience to the Government in where in-bond merchandise is manifest is vital to this pilot because the collecting it.) Shipments for processing processed through ITDS, the manifest is manifest includes data required by under in-bond procedures may be filed under ordinary ITDS procedures, Customs, FMCSA, and INS, in addition included, but will always require but the entry in the form of a paper CF to the transportation data required to manual paper processing (CF 7512— in- 7512 is filed at the secondary inspection link the arrival of a truck to the carrier- bond entry) at the secondary inspection station by the carrier or the importer’s assigned pro-bill numbers of the station. No merchandise transported in broker.) At this point, the only carriers merchandise aboard the truck. The pro- an ITDS pilot truckload may be cleared that may participate are truckers bill numbers, in turn, link the manifest under Border Release Advanced transporting merchandise between to the entries for the shipments aboard Security and Selectivity (BRASS) Canada and the United States through the truck. Carriers can be assured that procedures. the Peace Bridge or the Lewiston Bridge. the ITDS will provide a secure method The data elements of the ITDS pilot A high degree of coordination will be of sending this information via the manifest include trip-level information required between the participating Internet. and standard shipment information, as manifest filers and entry filers. The Peace Bridge is equipped with follows: Electronic filing is required for transponder reading capability in (A) Trip-level information, as follows, participation. Accordingly, manifest accordance with Interagency Group is reported once in the manifest (unless filers must have access to the Internet in (IAG) specifications. This equipment otherwise indicated below): order to submit the required web-based can read the permanently programmed —Carrier trip number (carrier’s manifest (see ‘‘Manifest filing’’ below) serial number transmitted from a truck Standard Carrier Alpha Code* and entry filers must be operational transponder that triggers port (SCAC), followed by a carrier- participants in the Automated Broker processing. The Lewiston Bridge does assigned number); Interface (ABI) program (see 19 CFR Part not have this capability and uses bar —Conveyance transponder number 143, Subpart A). Entry filers also must code technology instead. Accordingly, (optional; must be reported if the develop the technical capacity to batch trucks operating with transponders truck will use a transponder for and address ITDS pilot entries and which cross only the Peace Bridge may arrival processing); related transactions separately from not need a carrier trip number bar code —Carrier number (DUNS number**); non-pilot ABI transactions. ITDS entry for ITDS processing, but all trucks —Manifest filer number (DUNS filers will need to develop mechanisms transporting under ITDS procedures via number**); to identify truckloads to be cleared the Lewiston Bridge must provide a —Conveyance identification—selected under ITDS pilot procedures. carrier trip number in bar code format from list of pre-identified Normally, the ITDS pilot manifest to the Customs Inspector in the primary conveyances (for information on pre- (filed by the carrier or its authorized inspection booth. It is recommended, identification of conveyances, please agent) and the ITDS pilot entry however, that all transponder-equipped refer to the ‘‘Application’’ section (normally filed by the importer or its trucks, except those not likely to use the below); customs broker) must be filed Lewiston Bridge, should carry a carrier —Trailer-equipment identification electronically prior to arrival (at the trip number bar code in addition to the (container or license plate number Peace Bridge or the Lewiston Bridge, in transponder. and, if applicable, seal number; these
VerDate 11
data elements may be repeated for containing errors will be returned for ITDS pilot entries and related tandems and containers on trailers); correction. transactions (i.e., ABI entry status —Gross shipping weight (in kilograms); queries (applications ‘‘II’’ and ‘‘IN’’) and Entry Filing —Hazardous material indicator (Yes or other government agency corrections No) and code (if Yes); For each shipment of merchandise (application ‘‘CP’’) for ITDS pilot —Driver identification—selected from reported in an ITDS pilot manifest, an entries) must be batched and addressed list of pre-identified drivers (for more entry must be filed, as follows: (1) separately from non-pilot ABI data. information on pre-identification of Consumption entries must be filed Current ABI data communications drivers, please refer to the electronically prior to arrival of the protocols will be supported. ‘‘Application’’ section below); and cargo at the international border (the Where a shipment is eligible for —Crewmember/Passenger numbers— port of Buffalo under the pilot) using clearance under section 321, the entry selected from list of pre-identified ITDS procedures and (2) in-bond entries filer may certify the shipment’s crewmembers and passengers (for must be filed in paper format (CF 7512) eligibility under the statute. This may be information on pre-identification of at the secondary inspection station upon accomplished by submitting an ABI crewmembers, please refer to the arrival at the port. ITDS consumption section 321 eligibility claim (a new ABI ‘‘Application’’ section below). entries must be filed by the importer of application for use only under the ITDS (B) Standard shipment information is record or a customs broker on behalf of pilot). These claims must be addressed required for each shipment of the importer of record. In-bond entries to the same specially assigned ABI merchandise aboard the truck: may be filed by either the carrier, the message queue as are other ITDS pilot importer, or the importer’s broker at the —Pro-bill issuer (SCAC); ABI data and include the following port. information: —Pro-bill number; For ITDS consumption entries, entry —Shipper number (DUNS number or data will be transmitted to ITDS using —Entry filer number (ACS filer code); name and address); current ABI data formats. (Full details of —Pro-bill issuer (SCAC); —Deliver-to party (DUNS number or the data for these records can be found —Pro-bill number; name and address); in the Customs and Trade Automated —Section 321 eligibility claim; —Entry filer (ACS filer code; optional); Interface Requirements (CATAIR) —Country of origin; and —In-bond status indicator (optional); available on the Internet at —Value of the shipment in U.S. dollars. —Shipping quantity/type of packages; www.customs.gov/impoexpo/auto— The ITDS pilot system will not accept and cat.htm.) Specifically, either an ABI entry changes after arrival of cargo at the —Description of cargo. Cargo Selectivity transaction international border. Before arrival of [* The SCAC is a unique code (application ‘‘HI’’) or an ABI Border the cargo, the ITDS pilot system will assigned by the National Motor Freight Cargo Selectivity transaction apply the same rules as ACS in Traffic Association, Inc. (NMFTA), to (application ‘‘HN’’) must be transmitted permitting filers to make entry data transportation companies for to ITDS. Pro-bill numbers transmitted in changes. If changes are made, ITDS will identification purposes. Carriers that do entry data will serve to link the entry keep an audit file to record them in not already have a SCAC may obtain with the appropriate manifest. chronological order. ITDS entries will one from NMFTA, 2200 Mill Rd., If an ABI Cargo Selectivity transaction be edited and validated. All current ABI Alexandria, VA 22314–4654. Further (application ‘‘HI’’) is transmitted, it edit and validation rules, including information and an application form are must include at least one ‘‘HA’’ record. those for FDA and NHTSA data, will available at . Annual fees apply. An ‘‘HA’’ record reports the pro-bill of apply. The ITDS pilot system will also ** DUNS numbers are identifiers a shipment covered by the entry. perform additional FDA edits not issued by DUN & Bradstreet free of Specifically, in the ‘‘HA’’ record, the currently performed by ABI. Standard charge. In order to obtain one, ITDS SCAC code of the issuer of the pro-bill ABI formats (application ‘‘HR’’ for Cargo participants may call 800–333–0505 or will be reported in the ‘‘Issuer Code of Selectivity, application ‘‘HS’’ for Border go to . Prior to requesting a DUNS Master Bill number’’ field, and the pro- Cargo Selectivity, application ‘‘DT’’ for number, participants should first verify bill number will be reported in the other government agency data that their company does not already ‘‘Master Bill number’’ field. rejections, and the new ABI application have a DUNS number assigned. Many If an ABI Border Cargo Selectivity for section 321 eligibility claims) will be companies may already have such transaction (application ‘‘HN’’) is used to return acceptance and rejection numbers for other than international transmitted, it must include at least one messages to the filer of the entry. Error- trade purposes.] ‘‘0M’’ (zero-M) record. A ‘‘0M’’ record free pilot entries will be stored on the Until the truck arrives at the reports the pro-bill of a shipment ITDS transaction database. Pilot entries international border, the manifest covered by the entry. Specifically, in the containing errors will be rejected for Internet web form may be used to add, ‘‘0M’’ record, the SCAC code of the correction. amend, replace or, if the truck is not to issuer of the pro-bill will be reported in Where merchandise is to be processed be processed under ITDS, delete a the ‘‘Issuer of Master Bill Number’’ under in-bond procedures, the manifest manifest. The ITDS system will keep an field, and the pro-bill number will be filer may so indicate by submitting an audit file to record in chronological reported in the ‘‘Master Bill number’’ in-bond status indicator for that order all changes made to manifest field. merchandise. As above, processing of information. Each transaction will be When FDA data are required for cargo in-bond merchandise will always edited and validated on-line. A release processing, data satisfying that require manual paper processing (CF particular conveyance transponder agency’s requirements will be reported 7512—in-bond entry) at the secondary number will be accepted in a manifest in ABI formats as currently accepted by inspection station at the border port. only if all previous manifests on file ACS. These data will be incorporated in Risk Assessment with the same conveyance transponder the ABI Cargo Selectivity or Border number are in ‘‘arrived’’ status. Error- Cargo Selectivity transaction. The ITDS pilot system will pass free manifests will be stored on the Note that no modifications to current pertinent manifest and entry data to the ITDS transaction database. Manifests ABI records are required. However, appropriate participating agencies for
VerDate 11
automated risk assessment. Only is not equipped with transponders, the secondary examination station, the ITDS information relevant to the agency’s truck driver will present a carrier trip pilot system will update the appropriate mission will be passed. Based on the number in bar code format to the ACS entry records with the release date. information received, a participating Customs Inspector in the primary Entry summary reporting, payment, and agency may place a hold to prevent inspection booth. By electronically all other post-entry processing will be release of the truck at the primary scanning the bar code, the Customs accomplished under existing inspection booth. Inspector will initiate ITDS arrival procedures. Agency risk assessment procedures processing. The ITDS manifest facility III. Eligibility Criteria begin immediately upon receipt of the on the Internet will provide a means for ITDS pilot manifest, as follows: printing carrier trip number bar codes. In order to participate in the ITDS 1. Customs will perform a risk Data will be considered incomplete pilot, manifest filers (carriers or their assessment using complete manifest upon arrival of the truck if the manifest agents) must have access to the Internet data. Based on this information, has not been accepted or the entry has in order to submit the required web- Customs may place a hold on the driver, not been accepted for one of the based manifest. ITDS trucks, drivers, one or more crewmembers, the shipments reported in an accepted and crewmembers must be identified in conveyance, or one or more shipments. manifest. If data is incomplete, or if the advance. 2. The FMCSA will perform risk manifest includes one or more in-bond Entry filers (customs brokers and assessment using data identifying the shipments, the primary Customs importers) who wish to participate in driver, carrier, and conveyance. Based Inspector will refer the truck to the the ITDS pilot must be participants in on this information, FMCSA may place secondary inspection station. In these Customs ABI system. They must also a hold on the driver or the conveyance. cases, the truckload will be processed develop the technical capacity to batch 3. The INS will perform risk under standard, non-pilot release and address ITDS pilot entries and assessment using data identifying the procedures. related transactions separately from driver and crewmembers. Based on this If data is complete upon arrival of the non-pilot ABI transactions. In order to information, INS may place a hold on truck and the manifest includes no in- ensure proper filing, ITDS pilot entry the driver or one or more crewmembers. bond shipments (i.e., the manifest and filers will need to develop mechanisms Agency risk assessment procedures entry has been accepted for each to identify truckloads to be cleared begin immediately upon receipt of the reported shipment), the ITDS pilot under ITDS pilot procedures. A high ITDS pilot entry (other than an in-bond processing will proceed. The ITDS pilot degree of coordination will be required entry), as follows: system will accept no further changes to between participating manifest filers 1. The ITDS pilot system will pass manifest or entry data associated with and entry filers. complete entry data to ACS. An ACS the trip after ITDS arrival processing has In general, approval for participation entry record will be created, and ACS been initiated. The ITDS system will in the ITDS pilot will be granted to all cargo selectivity screening will be retrieve the corresponding manifest, all applicants who meet the requirements performed. As a result of the screening, associated entry data, and the agencies’ above and provide all required Customs may place a hold on the risk assessment results and display application information. It is noted that merchandise covered by the entry. these records to the primary Customs both the importer (or its customs broker) 2. For commodities subject to FDA Inspector. who files the ITDS pilot entry and the regulation, an extract of the entry data The primary Customs Inspector will carrier (or its agent) who files the pilot and all reported FDA data will be review the risk assessment results. If no manifest must be participants in the passed to the FDA OASIS system for agency risk assessment has resulted in ITDS pilot to effect an entry of risk assessment. FDA may place a hold a hold, the primary Customs Inspector merchandise through ITDS pilot on the merchandise covered by the generally will release the truck and its procedures. entry. (Note that submission of entry shipments at the primary inspection data with FDA elements is preferred booth. The primary Customs Inspector IV. Application twenty-four hours before arrival and is, may, however, initiate a hold and direct Both manifest filers and entry filers in any event, required at least six hours the truck to the secondary inspection who wish to participate in this pilot before arrival.) station. No paper forms will be required must submit an application. The ITDS pilot system will link each for primary inspection processing, such Applications may be mailed to: Janet manifest with corresponding entries and as a paper manifest, entry, invoice, or Pence, Chief, Client Representative consolidate the results of the other paperwork (except the carrier trip Branch, Office of Information & participating agencies’ risk assessments. number bar code for trucks without Technology, 7501 Boston Blvd., However, no agency’s risk assessment transponders). Springfield, VA 22153. Application results will be communicated to If any agency’s risk assessment has forms will be available on the Internet manifest or entry filers prior to arrival resulted in a hold, the primary Customs at www.itds.treas.gov/register. of the truck at the primary inspection Inspector will direct the truck to the Applications submitted by manifest booth. secondary inspection station. During the filers (carriers and their agents) must pilot, there will be motor carrier safety state that the applicant wishes to Arrival Processing at the Port inspectors stationed at the Peace Bridge voluntarily participate in the ITDS pilot At the Peace Bridge, arrival and Lewiston Bridge to ensure that and must address the eligibility criteria processing will normally begin when a drivers and vehicles comply with U.S. outlined above. The application must truck’s transponder interacts with the commercial vehicle safety requirements. also include the following information: dedicated short-range radio If a truck is referred to the secondary —Name and address of the manifest communications reader at the primary inspection station, standard paper entry filer; inspection booth. Upon reading the documents and invoices for all entries —Point of contact name, e-mail address, permanently programmed transponder will be required for Customs and FDA and telephone number; number, the ITDS system will initiate processing. —Alternate point of contact name, e- arrival processing. At the Lewiston Following release of cargo from either mail address, and telephone Bridge, or at the Peace Bridge if a truck the primary inspection booth or the number;
VerDate 11
—DUNS number of the manifest filer; V. Misconduct health or safety, or law enforcement. and If a pilot participant makes late or These different requirements imposed —For each carrier for whom manifests inadequate submissions of manifest under a test may require more or less will be filed: and/or entry data, or fails to exercise information than required under the —Name and address of the carrier; reasonable care in the execution of regulations. Ordinarily, merchandise that qualifies —DUNS number of the carrier; participant obligations and the filing of for treatment under section 321 is —SCAC of the carrier; information regarding the admissibility subject to the requirements of —U.S. DOT number and type (CA, of merchandise and declaring the § 143.23(j), which pertains to the MX, or US) of the carrier (if classification, value, and rate of duty informal entry of shipments of available); applicable to the merchandise, or merchandise not exceeding $200. —For each conveyance that the carrier otherwise fails to follow the procedures expects to use for transportation of Among these are the requirements to file (outlined in this document) or a bill of lading or a manifest listing each ITDS pilot truckloads across applicable laws and regulations (save international borders: bill of lading (§ 143.23(j)) and to submit those suspended under the pilot), then the name and address of the ultimate —Vehicle identification number the participant may be suspended or (VIN); consignee (§ 143.23(j)(3)). ITDS removed from the pilot program and/or participants file a manifest under ITDS —Country, state/province, and subjected to penalties, liquidated procedures that meets the requirements number of primary registration damages, or other administrative of the regulation, but ITDS procedures license plate; sanctions. Customs has the discretion to do not require the submission of the —Default transponder number (if suspend or remove a pilot participant ultimate consignee name and address. available); based on the determination that an Rather, the DUNS number or name and —For each crewmember that the carrier unacceptable compliance risk exists. address of the deliver-to party is expects to employ for transportation This action may be invoked at any time provided in the manifest. Thus, for of ITDS pilot truckloads across the after acceptance in the pilot. purposes of the ITDS pilot, Customs is international border: Any decision proposing suspension or suspending the requirement of —IRS registration number (if known); removal of a participant may be § 143.23(j)(3). —Given name; appealed in writing to Eugene A. Also, some information beyond what —If applicable, middle name and/or Rosengarden, U.S. International Trade is required in § 123.4 concerning inward maternal name; Commission, 500 E. St., SW., foreign manifests is requested under the —Paternal name; Washington, DC 20436, within 15 days pilot. To the extent that the pilot —Name suffix; of the decision date. Such proposed exceeds the finite requirements of —Date of birth; suspension/removal will apprise the § 123.4, Customs is suspending this —Country of citizenship; and participant of the facts or conduct limitation of the regulation. —For each driving crewmember: warranting suspension. If no appeal is VII. Pilot Evaluation —Country, state/province, and filed within 15 days, the decision number of commercial driver proposing suspension or removal is Customs, the FDA, the INS, the license. final, and the participant may no longer FMCSA, and participants in the pilot Manifest filers will be required to continue with ITDS processing as of that will meet to: (1) Review all public provide the same information for new date. If an appeal is filed, the participant comments received relative to any conveyances and crewmembers that are may continue with ITDS processing aspect of the pilot program or added throughout the course of the until a decision on the appeal is made. procedures, (2) form problem solving pilot. Internet web forms will be In the case of willfulness or where teams, and (3) establish baseline provided for submission of these public health interests or safety are measures and evaluation methods and updates. concerned, the suspension/removal may criteria. Based on Customs analysis, Applications submitted by entry filers be effective immediately. Should the Customs may amend pilot procedures as (customs brokers and importers) who participant appeal the notice of necessary. One year after the wish to participate in this pilot must suspension or removal, the participant implementation of the pilot, evaluation state that the applicant wishes to should address the facts or conduct results will be published in the Federal voluntarily participate in the ITDS pilot charges contained in the notice and Register and the Customs Bulletin. Evaluation criteria for participating and must address the eligibility criteria state how he does or will achieve government agencies may include outlined above. The application must compliance. If a participant is assessed workload impact, policy and procedural also include the following information: with a penalty, liquidated damages, etc., normal procedures apply to contest accommodation, cost benefit, and —Name and address of the entry filer; those actions. compliance impact. Criteria for trade —Point of contact name, e-mail address, participants may include cost benefit, and telephone number; VI. Regulatory Provisions Suspended system efficiency, operational —Alternate point of contact name, e- Under § 101.9(b) of the Customs efficiency, and other elements identified mail address, and telephone Regulations (19 CFR 101.9(b)), for by the trade community. Evaluation will number; and purposes of conducting a test program also encompass the data elements —ACS filer code of the entry filer. or procedure (referred to in this required for federal trade agency Customs will inform applicants, in document as a pilot) to evaluate processing, including the availability of writing or by e:mail, of their selection or planned components of the NCAP (as data, the need for the data, the time non-selection for participation in the described in 19 U.S.C. 1411(a)(2)(G)), when data must be submitted, pilot. The notice will provide reasons the Commissioner of Customs may alternative methods of archiving and for non-selection. An applicant may re- impose requirements different from retrieving repetitive data, and continued apply by resubmitting an application those specified in the regulations, efforts to eliminate redundant data. The that addresses and resolves the reason(s) provided that the departure does not data elements listed in this document given for non-selection. affect collection of the revenue, public are for the pilot. The evaluation of the
VerDate 11
pilot may result in changes to this data the Office of Regulations Management The System Manager(s) and addresses set. There will be ongoing sessions with (02D), Department of Veterans Affairs, have been changed from the Director, the trade community and the 810 Vermont Avenue, NW., Environmental Agents Service (146A) to participating agencies in the evaluation Washington, DC 20420. Comments will Program Chief for Clinical Matters, of this data. be available for public inspection at the Office of Public Health and Note that the fact of participation in above address in the Office of Environmental Hazards (13) and the ITDS pilot is not confidential Regulations Management, Room 1158, Management/Program Analyst, information. Lists of participants will be between the hours of 8:00 a.m. and 4:30 Environmental Agents Service (131), made available to the public by means p.m., Monday through Friday (except Department of Veterans Affairs, 810 of the Customs Electronic Bulletin holidays). Vermont Avenue, NW., Washington, DC Board, the Customs Administrative FOR FURTHER INFORMATION CONTACT: 20420. Message System, and upon written Veterans Health Administration (VHA) These IRR records may have several request. All interested parties are Privacy Act Officer (193B3), Department identifiers—Department of Defense data invited to comment on the design, of Veterans Affairs, 810 Vermont are identified by military service conduct, and evaluation of the ITDS Avenue, NW., Washington, DC 20420, number and only 25 percent are pilot at any time during the prototype. (727) 320–1839. identified by social security numbers. Dated: May 31, 2001. SUPPLEMENTARY INFORMATION: The The IRR program located at the Austin Bonni G. Tischler, number of the system is changed from Automation Center (AAC), Austin, Assistant Commissioner, Office of Field VA (69VA114) to VA (69VA131) to Texas, is an automated integrated Operations. reflect organizational changes. The system containing demographic and [FR Doc. 01–14601 Filed 6–4–01; 8:45 am] number of individuals covered by this medical data of registry examinations BILLING CODE 4820–02–P system has been increased to include from 1981 through the current date. veterans who have received These data were entered manually on nasopharyngeal (NP) radium treatments code sheets by VA facility staff and hard DEPARTMENT OF VETERANS during active military, naval or air copies sent to the AAC for entry into the AFFAIRS service and received registry IRR data set. The IRR system of records examinations as authorized by Public located at VA Headquarters, Privacy Act of 1974; System of Law 105–368. This system will continue Washington, DC, is an optical disk Records to include data collected for veterans system containing images of paper AGENCY: Department of Veterans Affairs who may have been exposed to a records, i.e., code sheets, medical (VA). radiation-risk activity, as authorized by records, correspondence and ACTION: Notice of amendment to system Public Law 99–576, under the following questionnaires relating to the veterans of records ‘‘Ionizing Radiation conditions: exposed to ionizing radiation. Once Registry—VA’’. a. On site participation in a test these paper records are scanned on involving the atmospheric detonation of optical disks, they are disposed of in SUMMARY: As required by the Privacy a nuclear weapon, between 1945 and accordance with RCS–10.1. Act of 1974, 5 U.S.C. 552a(e), notice is 1962, whether or not the testing nation The purpose of this IRR system of hereby given that the Department of was the United States. records is to provide information about Veterans Affairs (VA) is amending and b. Participation in the occupation of veterans who have had an IRR renumbering the system of records Hiroshima or Nagasaki from August 6, examination at a VA facility, to assist in known as ‘‘Ionizing Radiation 1945, through July 1, 1946; or generating hypotheses for research Registry—VA’’ (69VA114) as set forth in c. Internment as a Prisoner-of-War in studies, provide management with the the Federal Register 56 FR 26186 dated Japan during World War II that the capability to track patient 6/6/1991. VA is amending the system by Secretary of Veterans Affairs determines demographics, reported birth defects including Purpose and amending the resulted in an opportunity for exposure among veteran’s children or System Number; Categories of to ionizing radiation comparable to that grandchildren and radiogenic related Individuals Covered by the System; of veterans involved in the occupation diseases and planning and delivery of Categories of Records in the System; of Hiroshima or Nagasaki, and who health care services and associated Authority for Maintenance of the (1) Apply for hospital or nursing costs. System; and Policies and Practices for home care under Title 38, U.S.C., The notice of intent to publish and an Storing, Retrieving, Accessing, Chapter 17; Retaining, and Disposing of Records in advance copy of the system notice have (2) File a claim for compensation been sent to the appropriate the System, including Storage, under Title 38 U.S.C., Chapter 11; or Retrievability and Safeguards. Other Congressional committees and to the (3) Dies and is survived by a spouse, Director of the Office of Management sections remain unchanged (i.e., record child, or parent who files a claim for source categories.) VA is republishing and Budget (OMB) as required by 5 dependency and indemnity U.S.C. 552a(r) (Privacy Act) and the system notice in its entirety at this compensation under Title 38 U.S.C., time. guidelines issued by OMB (65 FR Chapter 13. 77677), December 12, 2000. DATES: Comments on the amendment of In addition to the categories of records Approved: May 21, 2001. this system of records must be received maintained in the Ionizing Radiation no later than July 5, 2001. If no public Registry (IRR) system, physicians’ Anthony J. Principi, comment is received, the amended names and titles are included but may Secretary of Veterans Affairs. system will become effective July 5, not be retrievable. Outdated information 69VA131 2001. related to the estimate of the radiation ADDRESSES: Written comments doses to which the veterans are exposed SYSTEM NAME: concerning the proposed amended while on active military duty has been system of records may be submitted to deleted from these records. Ionizing Radiation Registry-VA.
VerDate 11
SYSTEM LOCATION: social security number; military service process procedures and in the Character-based data from Ionizing serial number; claim number; date of presentation and prosecution of claims Radiation Code Sheets are maintained birth; telephone number; sex; report of under laws administered by the in a registry data set at the Austin birth defects among veteran’s children Department of Veterans Affairs. Automation Center, 1615 Woodward or grandchildren; dates of medical 3. A record containing the name(s) Street, Austin, Texas 78772. Since the examinations; consultations; radiogenic and address(es) of present or former data set at the Austin Automation related diseases; and name and members of the armed services and/or Center (AAC) is not all-inclusive, i.e., signature of examiner/physician their dependents may be released from narratives, signatures, etc., noted on the coordinator. this system of records under certain code sheets are not entered into this In addition, there may be medical circumstances: system, images of the code sheets are records with information relating to the (a) To any nonprofit organization if maintained at the Department of examination and/or treatment, the release is directly connected with Veterans Affairs, Environmental Agents including laboratory findings on vision, the conduct of programs and the Service (131), 810 Vermont Avenue, hearing, blood tests, electrocardiograms, utilization of benefits under Title 38, NW, Washington, DC 20420. These are chest x-rays, urinalysis, laboratory and electronic images of paper records, i.e., report displays, medical certificates to (b) To any criminal or civil law code sheets, medical records, support diagnosis; progress notes; enforcement governmental agency or questionnaires and correspondence that military unit assignments; instrumentality charged under are stored on optical disks. questionnaires; and correspondence applicable law with the protection of relating to veteran’s exposure history; the public health or safety if a qualified CATEGORIES OF INDIVIDUALS COVERED BY THIS personal history, e.g., education, marital representative of such organization, SYSTEM: status, occupational history, family agency or instrumentality has made a Veterans who may have been exposed history, complaints/symptoms; personal standing written request that such to ionizing radiation while on active medical history, habits, recreation, name(s) or address(es) be provided for a military duty and have had an Ionizing reproductive and family history, purpose authorized by law; provided, Radiation Registry (IRR) examination at physical measurements; military further, that the record(s) will not be a Department of Veterans Affairs (VA) discharge records; and VA claims for used for any purpose other than that medical facility under conditions compensation. stated in the request and that the described in Title 38 United States Code organization, agency or instrumentality (U.S.C.) section 1710(e)(1)(B) and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: is aware of the penalty provision of 38 section 1710(e)(1)(B) and section 1720E. Title 38, United States Code (U.S.C.) U.S.C. 3301(f). These conditions include: sec. 1710(e)(1)(B) and sec. 1710(e)(1)(B) 4. Disclosure may be made to the 1. On-site participation in a test and sec. 1720E. National Archives and Records involving the atmospheric detonation of Administration (NARA) in records a nuclear device (between 1945 and PURPOSE(S): management inspections conducted 1962), at a nuclear device testing site— The records will be used for the under authority of Title 44 U.S.C. the Pacific Island, e.g., Bikini, New purpose of providing information about 5. Disclosure of information, Mexico, Nevada, etc. (whether or not the veterans who have had an IRR excluding name and address (unless testing nation was the United States); examination at a VA facility; assisting in name and address is furnished by the 2. participation in the occupation of generating hypotheses for research requestor) for research purposes Hiroshima or Nagasaki, Japan, from studies; providing management with the determined to be necessary and proper, August 6, 1945, through July 1, 1946; capability to track patient to epidemiological and other research 3. internment as a POW in Japan demographics, reported birth defects facilities approved by the Under during World War II which the among veterans’ children or Secretary for Health. Secretary of Veterans Affairs determines grandchildren and radiogenic related 6. In order to conduct Federal resulted in an opportunity for exposure diseases; and planning and delivery of research necessary to accomplish a to ionizing radiation comparable to that health care services and associated statutory purpose of an agency, at the of veterans involved in the occupation costs. written request of the head of the of Hiroshima or Nagasaki, Japan; and agency, or designee of the head of that (a) Veterans who apply for hospital or ROUTINE USES OF RECORDS MAINTAINED IN THE agency, the name(s) and address(es) of SYSTEM, INCLUDING CATEGORIES OF USERS AND nursing home care under Title 38 present or former personnel or the THE PURPOSES OF SUCH USES: United States Code, Chapter 17; Armed Services and/or their dependents (b) Files a claim for compensation 1. The record of an individual who is may be disclosed. under Title 38 United States Code, covered by this system may be disclosed (a) To a Federal department or agency Chapter 11; or to a member of Congress or staff person or (c) Dies and is survived by a spouse, acting for the member when the member (b) Directly to a contractor of a child, or parent who files a claim for or staff person requests the record on Federal department or agency. When a dependency and indemnity behalf of, and at the written request of, disclosure of this information is to be compensation under Title 38 United that individual. made directly to the contractor, VA may States Code, Chapter 3; 2. Disclosure of records covered by impose applicable conditions on the 4. Treatment with nasopharyngeal this system, as deemed necessary and department, agency, and/or contractor (NP) radium irradiation while in the proper to named individuals serving as to insure the appropriateness of the active military, naval or air service. accredited service organization disclosure to the contractor. representatives and other individuals 7. Any information in this system may CATEGORIES OF RECORDS IN THE SYSTEM: named as approved agents or attorneys be disclosed to a Federal grand jury, a These records consist of: Code sheet for a documented purposes and period Federal court or a party in litigation, or records containing VA facility code of time, to aid beneficiaries in the a Federal agency or party to an identifier where veteran was examined preparation and presentation of their administrative proceeding being or treated; veteran’s name; address; cases during the verification and/or due conducted by a Federal agency, in order
VerDate 11
for VA to respond to and comply with VA Headquarters also have back-up Analyst, Environmental Agents Service the issuance of a Federal subpoena. optical disks stored off-site. In addition (131) (for administrative issues,) VA 8. Any information in this system may to electronic data, registry reports are Headquarters, 810 Vermont Avenue, be disclosed to a State or municipal maintained on paper documents and NW, Washington, DC 20420. grand jury, a State or municipal court or microfiche. Records will be maintained a party in a litigation, or to a State or and disposed of in accordance with NOTIFICATION PROCEDURE: municipal administrative agency records disposition authority approved An individual who wishes to functioning in a quasi-judicial capacity by the Archivist of the United States. determine whether a record is being or a party to a proceeding being maintained in this system under his or RETRIEVABILITY: conducted by such agency, in order for her name or other personal identifier, or VA to respond to and comply with the Documents are retrieved by name of wants to determine the contents of such issuance of a State or municipal veteran, social security number and record, should submit a written request subpoena; provided, that any disclosure service serial number. or apply in person to the last VA facility or claimant information made under SAFEGUARDS: where medical care was provided or this routine use must comply with the Access to records at VA Headquarters submit a written request to the Program provisions of 38 CFR 1.511. is only authorized to VA personnel on Chief for Clinical Matters, Office of 9. In the event that a record a ‘‘need to know’’ basis. Records are Public Health and Environmental maintained by VA to carry out its maintained in manned rooms during Hazards (13) or the Management/ functions indicates a violation or working hours. During non-working Program Analyst, Environmental Agents potential violation of law, whether civil, hours, there is limited access to the Service (131), VA Headquarters, 810 criminal or regulatory in nature, and building with visitor control by security Vermont Avenue, NW, Washington, DC whether arising by general statute or personnel. Registry data maintained at 20420. Inquiries should include the particular program statute, or by the AAC can only be updated by veteran’s name, social security number, regulation, rule or order issued pursuant authorized AAC personnel. Read access service serial number, and return thereto, information may be disclosed to to the data is granted through a address. the appropriate agency whether Federal, telecommunications network to State, local or foreign, charged with the authorized VA Headquarters personnel. RECORD ACCESS PROCEDURES: responsibility of investigating or AAC reports are also accessible through An individual who seeks access to prosecuting such violation or charged a telecommunications network on a records maintained under his or her with enforcing or implementing the read-only basis to the owner (VA name may write or visit the nearest VA statute or rule, regulation or order facility) of the data. Access is limited to facility or write to the Program Chief for issued pursuant thereto. authorized employees by individually Clinical Matters, Office of Public Health 10. For program review purposes and unique access codes which are changed and Environmental Hazards (13) or the the seeking of accreditation and/or periodically. Physical access to the AAC Management/Program Analyst, certification, disclosure may be made to is generally restricted to AAC staff, VA Environmental Agents Service (131), VA survey teams of the Joint Commission Headquarters employees, custodial Headquarters, 810 Vermont Avenue, on Accreditation of Healthcare personnel, Federal Protective Service NW., Washington, DC 20420. Organizations (JCAHO), College of and authorized operational personnel American Pathologists, American through electronic locking devices. All CONTESTING RECORDS PROCEDURES: Association of Blood Banks, and similar other persons gaining access to the Refer to previous item ‘‘Record Access national accreditation agencies or computer rooms are escorted. Backup Procedures.’’ boards with whom VA has a contract or records stored off-site for both the AAC RECORD SOURCE CATEGORIES: agreement to conduct such reviews but and VA Headquarters are safeguarded in only to the extent that the information secured storage areas. VA patient medical records, various is necessary and relevant to the review. automated record systems providing RETENTION AND DISPOSAL: clinical and managerial support to VA POLICIES AND PRACTICES FOR STORING, Records will be maintained and health care facilities, the veteran, family RETRIEVING, ACCESSING, RETAINING AND disposed of in accordance with records members, and records from Veterans DISPOSING OF RECORDS IN THE SYSTEM: disposition authority approved by the STORAGE: Benefits Administration, Department of Archivist of the United States. Defense, Department of the Army, Electronic data are maintained on Department of the Air Force, Direct Access Storage Devices at the SYSTEM MANAGER(S) AND ADDRESS: Department of the Navy and other AAC, Austin, Texas, and on optical Program Chief for Clinical Matters, Federal agencies. disks at VA Headquarters, Washington, Office of Public Health and DC. AAC stores registry tapes for Environmental Hazards (13) (for clinical [FR Doc. 01–14131 Filed 6–4–01; 8:45 am] disaster back up at an off-site location. issues) and Management/Program BILLING CODE 8320–01–P
VerDate 11
Part II
Department of Housing and Urban Development Request or Comments on Obstacles to the Participation of Faith-Based and Other Community Organizations; Notice
VerDate 11
DEPARTMENT OF HOUSING AND organizations in the delivery of social provision which you believe creates the URBAN DEVELOPMENT services by the department, including restrictive condition and explain how it but not limited to regulations, rules, prevents participation by Faith-Based [Docket No. FR–4685–N–01] orders, procurement, and other internal and community-based organizations. Notice of Request for Comments on policies and practices, and outreach Also if possible give a specific example): Obstacles to the Participation of Faith- activities that either facially a. In Departmental regulations; Based and Other Community discriminate against or otherwise b. In the eligibility criteria in Notices Organizations discourage or disadvantage the of Funding Availability (NOFAs); participation of faith-based and other c. In Requests for Proposals (RFPs); AGENCY: Office of the Secretary; Center community organizations in Federal for Faith-Based and Community programs.’’ To assist in carrying out this d. In grant monitoring; Initiatives, HUD. action, HUD is requesting comments e. In guidance the Department gives ACTION: Notice of request for comments. that identify specific issues with HUD its State and local government partners; programs that in any way discourage or f. In contract or grant manuals; and SUMMARY: This notice invites interested inhibit participation of faith-based and g. In guidance to grant managers? parties to comment on regulatory, community-based groups. Examples 3. Are any information collection, contracting and other programmatic might include burdensome application, submission or monitoring requirements obstacles to the participation of faith- documentation or reporting duplicative or unduly burdensome? based and other community requirements, or requirements for a In addition, HUD requests that organizations in HUD’s grant funding mandatory organizational structure (e.g., programs. commenters identify any positive 501(c)(3) status). HUD will consider the program practices or procedures that DATES: Comment Due Date: July 5, 2001. comments received in conducting its presently facilitate, or that would ADDRESSES: Interested persons are review to determine whether any increase, the participation of faith-based invited to submit comments regarding regulations or procedures may and other community organizations. this Notice to the Rules Docket Clerk, discriminate against religious or local Comments not covered by the above Office of General Counsel, Room 10278, groups’ participation in HUD programs. specific interest areas are welcome. Under this notice, HUD is requesting Department of Housing and Urban HUD seeks specific information, e.g., that commenters specifically focus on Development, 451 Seventh Street, SW., the name of the program, the form, etc., the following programs: Washington, DC 20410. where the impediment or the positive Communications should refer to the Community Development Block Grant practice is found. It will also be helpful above docket number and title. A copy HOME if respondents indicate whether they Housing Vouchers, including HOPE VI of each communication submitted will have ever applied (successfully or be available for public inspection and HOPE VI Revitalization Grants Sec. 202 (elderly housing) unsuccessfully) for the program, or copying between 7:30 a.m. and 5:30 otherwise been involved with the p.m. weekdays at the above address. Sec. 811 (housing for people with disabilities) program(s). FOR FURTHER INFORMATION CONTACT: For comments on the CDBG or HOME Loyd LaMois, Center for Faith-Based Continuum of Care, 3 programs Supportive Housing programs and the Continuum of Care and Community Initiatives, Room Shelter Plus Care process, it will help if the comment 10286, 451 Seventh Street, SW., Sec. 8 Mod. Rehab (SRO) identifies the jurisdiction that Washington, DC 20410–2000. Housing for Persons Living with AIDS administered the program, i.e., the Telephone number (202) 708–2404. A (HOPWA) relevant State, county or municipal telecommunications device (TDD) for Family Self-Sufficiency government. hearing and speech impaired persons is Single-family programs entailing HUD HUD also requests that the comments available at (202) 708–0455. (These are approval of nonprofits provide the name, size, and location of not toll-free numbers.) Housing counseling the nonprofit, faith-based, or other SUPPLEMENTARY INFORMATION: Executive HUD homes (REO disposition) organization submitting the comments, Order 13198, entitled ‘‘Agency 203 mortgage insurance program and identify a contact person to permit YouthBuild Responsibilities With Respect to Faith- HUD to follow-up on the concerns and Based and Community Initiatives’’ and For each of these funding programs, issues raised. issued on January 29, 2001, requires, HUD especially wants comments to among other actions, certain Executive address the following questions: Dated: May 29, 2001. Departments, including HUD, to 1. Are there restrictive conditions that Robin McDonald, inventory current programs in order to constrict the participation of faith-based Director, Center for Faith-Based and identify any existing or perceived and community-based organizations? Community Initiatives. impediments ‘‘to the participation of 2. How are restrictions manifested or [FR Doc. 01–14021 Filed 6–4–01; 8:45 am] faith-based and other community applied (specifically identify the BILLING CODE 4210–32–P
VerDate 11
Part III
Department of Housing and Urban Development 24 CFR Part 206 Home Equity Conversion Mortgage (HECM) Program; Insurance for Mortgages To Refinance Existing HECMs; Proposed Rule
VerDate 11
DEPARTMENT OF HOUSING AND homeowners 62 years of age or older, Specifically, the proposed rule would URBAN DEVELOPMENT who have paid off their mortgages or create a new § 206.53, which contains have small mortgage balances, to stay in the requirements applicable for a 24 CFR Part 206 their homes while using some of their refinanced HECM to be eligible for [Docket No. FR–4667–P–01] equity. The program enables these mortgage insurance. Section 206.53 homeowners to get financing with a would provide that HUD may, upon RIN 2502–AH63 Federal Housing Administration (FHA) application by a mortgagee, insure any insured reverse mortgage—a mortgage mortgage (that meets the HECM Program Home Equity Conversion Mortgage that converts equity into income. The requirements) given to refinance an (HECM) Program; Insurance for FHA insures HECM loans to protect existing HECM. Except as otherwise Mortgages To Refinance Existing lenders against loss. Such a loss could provided in § 206.53, all of the HECMs occur if amounts withdrawn exceed requirements in 24 CFR part 206 would AGENCY: Office of Assistant Secretary for equity when the property is sold. The apply to HECM refinancings. Housing-Federal Housing statutory authority for the HECM B. Anti-Churning Disclosure Commissioner, HUD. Program is section 255 of the National ACTION: Proposed rule. Housing Act (12 U.S.C. 1715z–20) (the New section 255(k)(2) of the NHA NHA). HUD’s implementing regulations establishes an ‘‘anti-churning’’ SUMMARY: This proposed rule would are located at 24 CFR part 206 (entitled disclosure requirement, which is amend HUD’s regulations for the Home ‘‘Home Equity Conversion Mortgage designed to ensure that homeowners are Equity Conversion Mortgage (HECM) Insurance’’). More information on the made aware of the costs associated with Program to implement the recent HECM Program can be found at HUD’s a HECM refinancing. The anti-churning amendments made by section 201(a) of website at www.hud.gov/buying/ disclosure must be provided to the American Homeownership and reverse.cfm. borrowers in addition to the disclosures Economic Opportunity Act of 2000. The Section 201 of the American already required under § 206.43 of the HECM Program enables older Homeownership and Economic existing HECM regulations. homeowners to withdraw some of the Opportunity Act of 2000 (Pub. L. 106– The proposed rule would implement equity in their home in the form of 569, 114 Stat. 2944, 2948, approved the anti-churning disclosure payments for life, a fixed term, or at December 27, 2000) makes several requirement in paragraph (c) of § 206.53. intervals through a line of credit. changes to the HECM Program. Among New § 206.53(c) would require that the Section 201(a) authorizes HUD to offer other amendments, section 201(a) adds mortgagee provide to the mortgagor, in mortgage insurance for refinancing of a new section 255(k) to the NHA (the addition to the other required existing HECMs, and provides consumer existing subsection (k), concerning disclosures for the HECM Program, a safeguards for such refinancings. funding for counseling and consumer good faith estimate of: DATES: Comments Due Date: July 5, education, was redesignated as 1. The total cost of the refinancing to 2001. subsection (m)). New section 255(k) the mortgagor (the proposed rule defines ADDRESSES: Interested persons are authorizes FHA to offer mortgage the term ‘‘total cost of the refinancing’’ invited to submit comments regarding insurance for refinancing existing to mean the sum of the allowable this proposed rule to the Rules Docket HECMs, and establishes several charges and fees permitted under Clerk, Office of General Counsel, Room requirements concerning such § 206.31 and the initial mortgage 10276, Department of Housing and refinancings for the protection of insurance premium (MIP) described in Urban Development, 451 Seventh Street, homeowners and to expedite the § 206.105(a)); and SW, Washington, DC 20410–0500. refinancing process. For example, the 2. The increase in the mortgagor’s Communications should refer to the statute establishes an ‘‘anti-churning’’ principal limit as measured by the above docket number and title. disclosure requirement for HECM estimated initial principal limit on the Facsimile (FAX) comments are not refinancings, and authorizes the waiver mortgage to be insured less the current acceptable. A copy of each of the HECM counseling requirements principal limit on the HECM that is communication submitted will be under certain circumstances. Expedited being refinanced. (The term ‘‘principal available for public inspection and procedures for refinancing will enable limit’’ is defined at § 206.3 of the copying between 7:30 a.m. and 5:30 elderly homeowners to quickly take existing HECM regulations and is not p.m. weekdays at the above address. advantage of declining interest rates and being changed by this proposed rule.) FOR FURTHER INFORMATION CONTACT: increasing home prices in particular New section 255(k)(2) of the NHA Vance T. Morris, Director, Office of areas. requires that HUD, through regulation, Single Family Program Development, In addition to the statutory changes establish ‘‘an appropriate time period’’ Office of Insured Single Family concerning HECM refinancings, section for submission of the anti-churning Housing, Room 9266, U.S. Department 201 also made amendments to the disclosure. The proposed rule would of Housing and Urban Development, HECM Program regarding housing implement this statutory directive by 451 Seventh Street, SW, Washington, cooperatives (section 201(b)) and the adopting the timing requirements DC 20410–8000; telephone (202) 708– waiver of up-front premiums for applicable to the Good Faith Estimate 2121 (this is not a toll-free number). mortgages to fund long-term care required under the Real Estate Hearing-or speech-impaired individuals insurance (section 201(c)). These Settlement Procedures Act (RESPA). may access this number via TTY by statutory changes are not implemented The RESPA Good Faith Estimate is a calling the toll-free Federal Information by this proposed rule, but may be the required disclosure under the HECM Relay Service at (800) 877–8339. subject of future HUD rulemaking. Program (see § 206.43(a)). By SUPPLEMENTARY INFORMATION: II. This Proposed Rule conforming the timing of the new anti- churning disclosure to the existing I. Background A. General RESPA disclosure, the proposed rule The Home Equity Conversion This proposed rule would implement will minimize the administrative Mortgage (HECM) Program helps new section 255(k) of the NHA. burden imposed on lenders, and help to
VerDate 11
ensure that borrowers are provided with be specified in the regulatory text. This limit shall include any fees paid to all required disclosures at a single time. amount may need to be updated on a correspondent mortgagees approved by periodic basis due to changes in the the Secretary. HUD also proposes to C. Waiver of Counseling Requirement available financial data, or changes in adopt a new process for revising the 1. General. Because HECM borrowers the housing market. Codification of the origination fee limits for the HECM can be vulnerable to fraudulent or threshold amount would require that Program (this procedure would apply to predatory lending abuses, the HECM HUD use rulemaking procedures each both HECM financing and refinancings). Program requires that a mortgagor time the amount is revised. Rulemaking Specifically, HUD will announce any receive reverse mortgage housing is a potentially lengthy process that may changes to the origination fee limits counseling from a HUD-approved delay HUD’s ability to quickly update through publication of a Federal housing counseling agency as a this figure in response to rapidly Register notice. Further, in order to condition for obtaining HECM financing changing circumstances. Accordingly, provide program participants with (see § 206.41). However, the mortgagor HUD proposes to announce any changes sufficient time to adjust to any such who is refinancing a HECM would to the second waiver criterion through change, HUD will delay the effective previously have received the required Federal Register notice. In order to date of the revision for a period of not counseling when obtaining FHA insured provide HECM program participants less than 30-days following publication mortgage financing for the initial HECM. with sufficient time to adjust to any in the Federal Register. Accordingly, new section 255(k)(3) of such change, HUD will delay the E. Reduction of Up-Front HECM the NHA provides that such mortgagors effective date of the revision for a period Mortgage Insurance Premium may elect to forego housing counseling of not less than 30-days following if certain requirements are satisfied. The publication in the Federal Register For a refinancing mortgage, new new statute establishes three conditions notice. After consideration of the public section 255(k)(4) of the NHA authorizes that must be met in order to waive the comments on this proposed rule, HUD HUD to reduce the amount of the initial housing counseling requirement: will announce the initial threshold MIP otherwise collected on a HECM a. The mortgagor has received the amount in the preamble to the final rule. (equal to 2 percent of the maximum anti-churning disclosure; 3. Third condition for waiver of the claim amount—see § 206.105(a)). b. The increase in the mortgagor’s housing counseling requirement. With Section 255(k)(4) requires that any such principal limit (as described in the anti- regards to the third condition for waiver reduction be based on the results of a churning disclosure) exceeds the total of the counseling requirement, HUD statutorily mandated actuarial study to cost of the refinancing by an amount notes that the statutory language refers determine the adequacy of the insurance established by HUD; and to the ‘‘original’’ HECM that is to be premiums collected for HECM c. The time between the closing on refinanced. Accordingly, a refinancing refinancings. Further, the statute the original HECM and the application mortgagor would be required to receive requires that HUD conduct the actuarial for refinancing does not exceed 5 years. housing counseling if more than 5 years study no later than 180 days after 2. Second condition for waiver of the have passed since closing on the enactment of the American housing counseling requirement. HUD mortgagor’s first HECM, regardless of Homeownership and Economic proposes that the second condition for whether less than 5 years have passed Opportunity Act of 2000. The required a waiver be satisfied if the increase in since a previous refinancing. actuarial study is currently under the mortgagor’s principal limit exceeds development. As provided by the five times the total cost of the D. Limit on Origination Fee statute, HUD may, based on the findings refinancing. Housing counseling is an New section 255(k)(6) of the NHA of the study, determine that a reduction important component of HUD’s efforts permits HUD to ‘‘establish a limit on the in the initial MIP for HECM refinancings to protect borrowers participating in the origination fee that may be charged to a is appropriate. HUD will implement any HECM Program from predatory lending mortgagor’’ for a HECM refinancing. such reduction through a proposed rule abuses. While no one set of abusive HUD proposes to adopt the existing and will provide the public with an practices or terms characterizes a limit on HECM origination fees for opportunity to comment on the predatory mortgage loan, such loans purposes of HECM refinancings. proposed MIP reduction. frequently contain excessive, often Specifically, the origination fee on a hidden, fees. In establishing the amount refinanced HECM would be limited to III. Justification for Reduced Comment required for the second waiver criterion, the greater of $2,000 or two percent of Period HUD has attempted to assure that the maximum claim amount on the It is the general practice of the mortgagors who may be subject to such refinanced reverse mortgage (see HUD Department to provide a 60-day public predatory fees receive housing Mortgagee Letter 00–10, issued on comment period on all proposed rules. counseling. At the same time, HUD is March 8, 2000). Although this proposed The Department, however, is reducing cognizant of the statutory intent to rule would adopt the existing HECM its usual 60-day public comment period waive a potentially duplicative origination fee limits for HECM to 30 days for this proposed rule. requirement for HECM mortgagors who refinancings, different limits may be Section 201(a)(2) of the American wish to refinance and who have already established for ‘‘original’’ HECMs and Homeownership and Economic received counseling. Accordingly, HUD refinanced HECMs at a later date. As Opportunity Act of 2000 requires that proposes to establish a high threshold with the current origination fee limits HUD’s final regulations implementing for waiver of the housing counseling for the HECM Program, the limits for new section 255(k) of the NHA take requirement. HUD believes that a HECM refinancings would not be effect no later than 180 days after refinanced HECM with an increase in specified in the regulatory text. enactment. The reduced 30 day the principal limit that does not exceed The proposed rule would also revise comment period is necessary to help the proposed threshold is more likely to § 206.31(a)(1) of the existing HECM ensure that the final rule is effective by contain the excessive fees that regulations (which concerns origination the statutory deadline date, and to frequently characterize predatory loans. fees) to clarify that the origination fee provide sufficient time for compliance The amount necessary to satisfy the may be fully financed with the with all applicable rulemaking second condition for a waiver would not mortgage. Further, any origination fee requirements (such as the statutory 15-
VerDate 11
day prepublication Congressional action’’ as defined in section 3(f) of the have been submitted to the Office of review requirements and the 30-day Order (although not an economically Management and Budget (OMB) under delayed effective date requirements of significant regulatory action under the the Paperwork Reduction Act of 1995 section 7(o) of the Department of HUD Order). Any changes made to this rule (44 U.S.C. 3501–3520). In accordance Act (42 U.S.C. 3535(d)). as a result of that review are identified with the Paperwork Reduction Act, in the docket file, which is available for IV. Findings and Certifications HUD may not conduct or sponsor, and public inspection in the office of the a person is not required to respond to, Regulatory Planning and Review Department’s Rules Docket Clerk, Room a collection of information unless the 10276, 451 Seventh Street, SW, collection displays a currently valid The Office of Management and Budget Washington, DC 20410–0500. (OMB) reviewed this rule under OMB control number. Executive Order 12866, Regulatory Information Collection Requirements The burden of the information Planning and Review. OMB determined The information collection collections in this proposed rule is that this rule is a ‘‘significant regulatory requirements contained in § 206.53(c) estimated as follows:
REPORTING AND RECORDKEEPING BURDEN
Number of Estimated av- Estimated an- Number of responses erage time for nual Section reference parties per respond- requirement burden ent (in hours) (in hours)
206.53(c) anti-churning disclosure ...... 4,000 1 .5 2,000
Total Reporting and Recordkeeping Unfunded Mandates Reform Act authorizes FHA mortgage insurance for Burden: 2,000 hours. HECM refinancings, and provide Title II of the Unfunded Mandates In accordance with 5 CFR consumer safeguards for such Reform Act of 1995 (2 U.S.C. 1531– 1320.8(d)(1), HUD is soliciting refinancings. The amendments would 1538) establishes requirements for comments from members of the public impose minimal, if any, economic costs Federal agencies to assess the effects of and affected agencies concerning this on small lenders and other participants their regulatory actions on State, local, collection of information to: in the HECM Program. For example, the and tribal governments and the private (1) Evaluate whether the proposed origination fee limits that would be sector. This proposed rule does not collection of information is necessary established under this proposed rule for impose any Federal mandates on any for the proper performance of the HECM refinancings do not impose any functions of the agency, including State, local, or tribal governments or the economic burden on lenders (the same whether the information will have private sector within the meaning of fee limits are already applicable original practical utility; Unfunded Mandates Reform Act of financing under the HECM Program). (2) Evaluate the accuracy of the 1995. The anti-churning disclosure (although agency’s estimate of the burden of the Environmental Impact a new information collection proposed collection of information; requirement) also does not add new (3) Enhance the quality, utility, and A Finding of No Significant Impact costs or impose additional economic clarity of the information to be with respect to the environment has burdens on lenders. collected; and been made in accordance with HUD Notwithstanding HUD’s (4) Minimize the burden of the regulations at 24 CFR part 50, which determination that this rule will not collection of information on those who implement section 102(2)(C) of the have a significant economic effect on a are to respond; including through the National Environmental Policy Act of substantial number of small entities, use of appropriate automated collection 1969 (42 U.S.C. 4223). The Finding of HUD specifically invites comments techniques or other forms of information No Significant Impact is available for regarding any less burdensome technology, e.g., permitting electronic public inspection between the hours of alternatives to this rule that will meet submission of responses. 7:30 a.m. and 5:30 p.m. weekdays in the HUD’s objectives as described in this Interested persons are invited to Office of the Rules Docket Clerk, Office preamble. submit comments regarding the of General Counsel, Room 10276, information collection requirements in Department of Housing and Urban Executive Order 13132, Federalism this proposal. Comments must be Development, 451 Seventh Street, SW, Executive Order 13132 (entitled received within sixty (60) days from the Washington, DC. ‘‘Federalism’’) prohibits an agency from date of this proposal. Comments must publishing any rule that has federalism Impact on Small Entities refer to the proposal by name and implications if the rule either imposes docket number (FR–4667) and must be The Secretary, in accordance with the substantial direct compliance costs on sent to: Joseph F. Lackey, Jr., HUD Desk Regulatory Flexibility Act (5 U.S.C. State and local governments and is not Officer, Office of Management and 605(b)) (the RFA), has reviewed and required by statute, or the rule preempts Budget, New Executive Office Building, approved this proposed rule and in so State law, unless the agency meets the Washington, DC 20503; and Ethelene doing certifies that this rule will not consultation and funding requirements Washington, Reports Liaison Officer, have a significant economic impact on of section 6 of the Executive Order. This Office of the Assistant Secretary for a substantial number of small entities. proposed rule does not have federalism Housing—Federal Housing The reasons for HUD’s determination implications and does not impose Commissioner, Department of Housing are as follows. substantial direct compliance costs on and Urban Development, 451 7th Street, The proposed regulatory amendments State and local governments or preempt SW., Room 9114, Washington, DC are not discretionary, but are mandated State law within the meaning of the 20410. by statute. These amendments Executive Order.
VerDate 11
Catalog of Domestic Assistance Number Register at least 30-days before the principal limit on the home equity limitation takes effect. conversion mortgage that is being The Catalog of Domestic Assistance refinanced under this section. Number for the HECM program is * * * * * 3. Add § 206.53 under a new 14.871. (2) Timing of anti-churning undesignated heading ‘‘REFINANCING disclosure. The mortgagee shall provide List of Subjects in 24 CFR Part 206 OF EXISTING HOME EQUITY the anti-churning disclosure CONVERSION MORTGAGES’’ to read concurrently with the Good Faith Aged, Condominiums, Loan as follows: Estimate required under § 3500.7 of this programs—housing and community title. development, Mortgage insurance, § 206.53 Refinancings. (d) Waiver of counseling requirement. Reporting and recordkeeping (a) General. This section implements The mortgagor may elect not to receive requirements. section 255(k) of NHA. Except as counseling under § 206.41, but only if: Accordingly, for the reasons described otherwise provided in this section, all requirements applicable to the (1) The mortgagor has received the in the preamble, HUD proposes to anti-churning disclosure required under amend 24 CFR part 206 as follows: insurance of home equity conversion mortgages under this part apply to the paragraph (c) of this section. PART 206—HOME EQUITY insurance of refinancings under this (2) The increase in the mortgagor’s CONVERSION MORTGAGE section. HUD may, upon application by principal limit (as provided in the anti- INSURANCE a mortgagee, insure any mortgage given churning disclosure) exceeds the total to refinance an existing home equity cost of the refinancing by an amount 1. The authority citation for 24 CFR conversion mortgage presently insured established by the Secretary through part 206 continues to read as follows: under this part. Federal Register notice. HUD may Authority: 12 U.S.C. 1715b, 1715z–1720; (b) Definition of ‘‘total cost of the periodically update this amount through 42 U.S.C. 3535(d). refinancing.’’ For purposes of publication of a notice in the Federal paragraphs (c) and (d) of this section, Register. Publication of any such 2. Revise § 206.31(a)(1) to read as the term ‘‘total cost of the refinancing’’ revised amount will occur at least 30- follows: means the sum of the allowable charges days before the revision becomes § 206.31 Allowable charges and fees. and fees permitted under § 206.31 and effective. the initial MIP described in § 206.105(a). (3) The time between the date of the (a) * * * (c) Anti-churning disclosure. (1) closing on the original home equity (1) A charge to compensate the Contents of anti-churning disclosure. In conversion mortgage and the date of the mortgagee for expenses incurred in addition to the disclosures required application for refinancing under this originating and closing the mortgage under § 206.43, the mortgagee shall section does not exceed 5 years (even if loan, which may be fully financed with provide to the mortgagor a good faith less than five years have passed since a the mortgage. The Secretary may estimate of: previous refinancing under this section). establish limitations on the amount of (i) The total cost of the refinancing to Dated: April 19, 2001. any such charge. Any limitation on the the mortgagor; and origination fee shall include any fees (ii) The increase in the mortgagor’s Mel Martinez, paid to correspondent mortgagees principal limit as measured by the Secretary. approved by the Secretary. HUD will estimated initial principal limit on the [FR Doc. 01–14120 Filed 6–4–01; 8:45 am] publish any such limit in the Federal mortgage to be insured less the current BILLING CODE 4210–27–P
VerDate 11
Part IV
The President Executive Order 13215—President’s Information Technology Advisory Committee, Further Amendment to Executive Order 13035, as Amended
VerDate 11
Federal Register Presidential Documents Vol. 66, No. 108
Tuesday, June 5, 2001
Title 3— Executive Order 13215 of May 31, 2001
The President President’s Information Technology Advisory Committee, Further Amendment to Executive Order 13035, as Amended
By the authority vested in me as President by the Constitution and the laws of the United States of America, including the High-Performance Com- puting Act of 1991 (Public Law 102–194), as amended by the Next Generation Internet Research Act of 1998 (Public Law 105–305), and in order to extend the life of the President’s Information Technology Advisory Committee so that it may continue to carry out its responsibilities, it is hereby ordered that Executive Order 13035 of February 11, 1997, as amended by Executive Orders 13092, 13113, and 13200 (Executive Order 13035, as amended), is further amended as follows: Section 1. Section 1 of Executive Order 13035, as amended, is further amended by deleting the last sentence and inserting in lieu thereof: ‘‘Members appointed prior to June 1, 2001, shall serve until December 1, 2001, unless reappointed by the President. Members appointed or reappointed on or after June 1, 2001, shall serve for no more than 2 years from the date of their appointment, unless their period of service is extended by the President. The President shall designate two co-chairs from among the mem- bers of the Committee. A co-chair may serve for a term of 2 years or until the end of his or her service as a member of the Committee, whichever is the shorter period.’’ Sec. 2. Section 4(b) of Executive Order 13035, as amended, is further amended by deleting ‘‘June 1, 2001,’’ and inserting in lieu thereof: ‘‘June 1, 2003.’’ W THE WHITE HOUSE, May 31, 2001.
[FR Doc. 01–14319 Filed 6–4–01; 8:45 am] Billing code 3195–01–P
VerDate 11
Reader Aids Federal Register Vol. 66, No. 108 Tuesday, June 5, 2001
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JUNE
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–523–5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 523–5227 30101, 30103, 30105, 30107, 3 CFR 30109, 30112, 30114 Presidential Documents Proclamations: 71 ...... 30117, 30118, 30119, Executive orders and proclamations 523–5227 7208 (See Proc. 30120 7445) ...... 30053 The United States Government Manual 523–5227 7214 (See Proc. 17 CFR 7445) ...... 30053 450...... 29888 Other Services 7445...... 30053 Electronic and on-line services (voice) 523–4534 Executive Order: 22 CFR Privacy Act Compilation 523–3187 13035 (Amended by 51...... 29904 Public Laws Update Service (numbers, dates, etc.) 523–6641 EO 13215)...... 30285 TTY for the deaf-and-hard-of-hearing 523–5229 13092 (see EO 24 CFR 13215) ...... 30285 Proposed Rules: 13113 (see EO 206...... 30262 ELECTRONIC RESEARCH 13215) ...... 30285 World Wide Web 13200 (see EO 27 CFR 13215) ...... 30285 9...... 29695 Full text of the daily Federal Register, CFR and other 13215 publications: 28 CFR http://www.access.gpo.gov/nara 5 CFR Proposed Rules: 330...... 29895 Federal Register information and research tools, including Public 16...... 29921 Inspection List, indexes, and links to GPO Access: 332...... 29895 351...... 29895 30 CFR http://www.nara.gov/fedreg 353...... 29895 Proposed Rules: E-mail 7 CFR 206...... 30121 PENS (Public Law Electronic Notification Service) is an E-mail 272...... 29661 210...... 30121 service for notification of recently enacted Public Laws. To 273...... 29661 216...... 30121 subscribe, send E-mail to 218...... 30121 Proposed Rules: 926 (2 documents) ...... 29741, [email protected] 319...... 29735 29744 with the text message: 1944...... 29739 31 CFR subscribe PUBLAWS-L your name 8 CFR Proposed Rules: Use [email protected] only to subscribe or unsubscribe to 100...... 29661 210...... 29746 PENS. We cannot respond to specific inquiries. 103 (2 documents) ...... 29661, 29682 Reference questions. Send questions and comments about the 33 CFR 236...... 29661 Federal Register system to: 245a...... 29661 165 ...... 29699, 29907, 30059, [email protected] 274a...... 29661 30061 207...... 30063 The Federal Register staff cannot interpret specific documents or 299 (2 documents) ...... 29661, regulations. 29682 36 CFR 9 CFR Proposed Rules: FEDERAL REGISTER PAGES AND DATE, JUNE 94 ...... 29686, 29897, 29899 1202...... 30134 29661–29894...... 1 Proposed Rules: 37 CFR 93...... 29921 29895–30056...... 4 252...... 29700 30057–30286...... 5 10 CFR 257...... 29700 Proposed Rules: 38 CFR 2...... 29741 Proposed Rules: 12 CFR 46...... 30141 8...... 29890 39 CFR 14 CFR 20...... 29704 39...... 29689, 29900 111...... 30064 71...... 29691 95...... 30057 40 CFR 97 (2 documents) ...... 29691, 52...... 29705 29693 180 ...... 29705, 30065, 30073 121...... 29888 271...... 29712 Proposed Rules: Proposed Rules: 39 ...... 30093, 30095, 30099, 52...... 30145
VerDate 11-MAY-2000 21:18 Jun 04, 2001 Jkt 194001 PO 00000 Frm 00001 Fmt 4712 Sfmt 4712 E:\FR\FM\05JNCU.LOC pfrm07 PsN: 05JNCU ii Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Reader Aids
271...... 29746 36...... 30080 48 CFR 50 CFR 54...... 30080 46 CFR 1803...... 29726 600...... 29922 73 (7 documents) ...... 29723, 1811...... 29727 622...... 29924 110...... 29908 29724, 29725, 29726, 30090, 1830...... 29727 648...... 29729 111...... 29908 30091, 30092 1832...... 29728 660...... 29729 87...... 29722 1852...... 29726 47 CFR Proposed Rules: 101...... 29722 1...... 29722 49 CFR 17...... 30148 Proposed Rules: 2...... 29722 Proposed Rules: 648...... 30149 24...... 29911 73...... 29747 571...... 29747
VerDate 11-MAY-2000 21:18 Jun 04, 2001 Jkt 194001 PO 00000 Frm 00002 Fmt 4712 Sfmt 4712 E:\FR\FM\05JNCU.LOC pfrm07 PsN: 05JNCU Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Reader Aids iii
REMINDERS Summer flounder, scup, New York; comments due Federal home loan bank The items in this list were and black sea bass; by 6-11-01; published 5- system: editorially compiled as an aid comments due by 6-11- 10-01 Annual bank board of to Federal Register users. 01; published 5-25-01 Air programs; State authority directors meetings; Inclusion or exclusion from Ocean and coastal resource delegations: minimum number; this list has no legal management: New Hampshire; comments maintenance of effort; significance. Marine sanctuaries— due by 6-15-01; published comments due by 6-13- Flower Garden Banks 5-16-01 01; published 5-14-01 National Marine Air quality implementation HEALTH AND HUMAN RULES GOING INTO Sanctuary, TX; plans; approval and SERVICES DEPARTMENT EFFECT JUNE 5, 2001 anchoring prohibitions; promulgation; various Food and Drug comments due by 6-14- States: Administration ENVIRONMENTAL 01; published 5-15-01 Alabama; comments due by Food additives: PROTECTION AGENCY 6-15-01; published 5-16- COMMERCE DEPARTMENT Bottled water beverages 01 Air quality implementation Patent and Trademark Office water quality standard plans; approval and Patent cases: Arizona; comments due by regulations— promulgation; various 6-11-01; published 5-11- Fee revisions (2002 FY); Residual disinfectant and States: 01 comments due by 6-12- disinfectant byproducts; Missouri; published 4-6-01 01; published 5-9-01 Pennsylvania; comments establishment of Pesticides; tolerances in food, due by 6-15-01; published allowable levels; COMMODITY FUTURES 5-16-01 animal feeds, and raw TRADING COMMISSION comments due by 6-11- agricultural commodities: Air quality implementation 01; published 3-28-01 Commodity Futures √ √ Clethodim; published 6-5-01 plans; A approval and Residual disinfectant and Modernization Act: promulgation; various Pryriproxyfen; published 6-5- disinfectant byproducts; Derivatives clearing States; air quality planning 01 organizations; regulatory establishment of purposes; designation of allowable levels; FEDERAL framework; comments due areas: COMMUNICATIONS by 6-13-01; published 5- comments due by 6-11- Colorado; comments due by 01; published 3-28-01 COMMISSION 14-01 6-11-01; published 5-11- Federal-State Board on CONSUMER PRODUCT 01 HOUSING AND URBAN DEVELOPMENT Universal Service: SAFETY COMMISSION Pesticides; tolerances in food, DEPARTMENT Multi-Association Group plan Poison prevention packaging: animal feeds, and raw for rural high-cost Child-resistant packaging agricultural commodities: Federal Housing Enterprise Oversight Office universal service; requirements— Zoxamide etc.; comments published 6-5-01 Household products due by 6-11-01; published Practice and procedure: Radio stations; table of containing low-viscosity 4-11-01 Federal National Mortgage assignments: hydrocarbons; Public information and Association (Fannie Mae) Vermont; published 5-4-01 comments due by 6-11- confidential business and Federal Home Loan 01; published 5-4-01 information; comments due Mortgage Corporation (Freddie Mac)— COMMENTS DUE NEXT ENVIRONMENTAL by 6-13-01; published 5-14- 01 Corporate governance; WEEK PROTECTION AGENCY Air pollution control: FEDERAL comments due by 6-11- COMMUNICATIONS 01; published 4-10-01 AGRICULTURE State operatng permits COMMISSION INTERIOR DEPARTMENT DEPARTMENT programs— Tennessee; comments Emergency Alert System; Indian Affairs Bureau Agricultural Marketing comments due by 6-11-01; Service due by 6-11-01; Land and water: published 5-11-01 published 3-28-01 Fresh russet potato diversion Land held in trust for benefit Air pollution control; new Radio stations; table of of Indian Tribes and program; 2000 crop; assignments: comments due by 6-12-01; motor vehicles and engines: individual Indians; title Idaho and Montana; published 5-16-01 Tier 2/gasoline sulfur acquisition comments due by 6-11- Kiwifruit grown in— regulations; comments Effective date delay; due by 6-12-01; published 01; published 5-16-01 comments due by 6-15- California; comments due by 4-13-01 New York; comments due 01; published 4-16-01 6-14-01; published 5-15- Air programs: by 6-11-01; published 5-4- 01 01 INTERIOR DEPARTMENT Ambient air quality COMMERCE DEPARTMENT Fish and Wildlife Service standards, national— Washington; comments due National Oceanic and by 6-11-01; published 5-4- Endangered and threatened Spokane, WA; Atmospheric Administration 01 species: nonattainment area; Critical habitat Endangered and threatened comments due by 6-15- FEDERAL EMERGENCY designations— species: 01; published 5-16-01 MANAGEMENT AGENCY Sea turtle conservation; Weirton, WVA National Flood Insurance Wentachee Mountains shrimp trawling nonattainment area; Program: Checker-Mallow; requirements— comments due by 6-15- Private sector property comments due by 6-14- Atlantic Ocean and Gulf 01; published 5-16-01 insurers; assistance; 01; published 5-15-01 of Mexico; turtle Weirton, WVA comments due by 6-11- SECURITIES AND excluder devices; nonattainment area; 01; published 5-10-01 EXCHANGE COMMISSION comments due by 6-13- comments due by 6-15- FEDERAL HOUSING Securities: 01; published 5-14-01 01; published 5-16-01 FINANCE BOARD Form 1-N, registration of Fishery conservation and Air programs; approval and Affordable Housing Program; national securities management: promulgation; State plans amendments; comments due exchanges and limited Northeastern United States for designated facilities and by 6-11-01; published 5-10- purpose national securities fisheries— pollutants: 01 associations; comments
VerDate 11-MAY-2000 21:18 Jun 04, 2001 Jkt 194001 PO 00000 Frm 00003 Fmt 4712 Sfmt 4711 E:\FR\FM\05JNCU.LOC pfrm07 PsN: 05JNCU iv Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Reader Aids
due by 6-14-01; published Sikorsky; comments due by Drug and alcohol testing for 5-15-01 6-11-01; published 4-12- pipeline facility employees; 01 amendments conforming STATE DEPARTMENT Public Laws Electronic Exchange Visitor Program: Workplace drug and alcohol to DOT rule; comments testing programs; due by 6-14-01; published Notification Service Au Pair Program; comments (PENS) due by 6-15-01; published amendments conforming to 4-30-01 5-16-01 DOT rule; comments due by Workplace drug and alcohol 6-14-01; published 4-30-01 testing programs; TRANSPORTATION amendments conforming to DEPARTMENT TRANSPORTATION DEPARTMENT DOT rule; comments due by PENS is a free electronic mail Coast Guard Federal Motor Carrier Safety 6-14-01; published 4-30-01 notification service of newly Drawbridge operations: Administration enacted public laws. To North Carolina; comments subscribe, go to http:// Motor carrier safety standards: LIST OF PUBLIC LAWS due by 6-12-01; published Controlled substances and hydra.gsa.gov/archives/ 4-13-01 alcohol use and testing; This is a continuing list of publaws-l.html or send E-mail TRANSPORTATION amendments conforming public bills from the current to [email protected] DEPARTMENT to DOT rule; comments session of Congress which with the following text Federal Aviation due by 6-14-01; published have become Federal laws. It message: Administration 4-30-01 may be used in conjunction Air carrier certification and Workplace drug and alcohol with ‘‘PLUS’’ (Public Laws SUBSCRIBE PUBLAWS-L operations: testing programs; Update Service) on 202–523– Your Name. Antidrug and alcohol misuse amendments conforming to 6641. This list is also prevention programs for DOT rule; comments due by available online at http:// Note: This service is strictly personnel engaged in 6-14-01; published 4-30-01 www.nara.gov/fedreg. for E-mail notification of new specified aviation TRANSPORTATION The text of laws is not laws. The text of laws is not activities; amendments DEPARTMENT published in the Federal available through this service. conforming to DOT rule; Federal Railroad Register but may be ordered PENS cannot respond to comments due by 6-14- Administration in ‘‘slip law’’ (individual specific inquiries sent to this 01; published 4-30-01 Alcohol and drug use control: pamphlet) form from the address. National parks air tour Transportation workplace Superintendent of Documents, management; comments testing procedures; U.S. Government Printing due by 6-11-01; published conforming amendments; Office, Washington, DC 20402 4-27-01 comments due by 6-14- (phone, 202–512–1808). The Public Laws Electronic Airworthiness directives: 01; published 4-30-01 text will also be made Airbus; comments due by 6- Workplace drug and alcohol available on the Internet from Notification Service 11-01; published 5-10-01 testing programs; GPO Access at http:// (PENS) Boeing; comments due by amendments conforming to www.access.gpo.gov/nara/ 6-11-01; published 4-25- DOT rule; comments due by index.html. Some laws may 01 6-14-01; published 4-30-01 not yet be available. Cessna; comments due by PENS is a free electronic mail TRANSPORTATION H.R. 581/P.L. 107–13 6-15-01; published 4-30- DEPARTMENT notification service of newly To authorize the Secretary of 01 enacted public laws. To Federal Transit the Interior and the Secretary Empresa Brasileira de Administration subscribe, go to http:// of Agriculture to use funds hydra.gsa.gov/archives/ Aeronautica, S.A. Alcohol misuse and prohibited appropriated for wildland fire (EMBRAER); comments drug use prevention in publaws-l.html or send E-mail management in the to [email protected] due by 6-11-01; published transit operations; Department of the Interior and 5-11-01 amendments conforming to with the following text Related Agencies message: Learjet; comments due by DOT rule; comments due by Appropriations Act, 2001, to 6-15-01; published 4-16- 6-14-01; published 4-30-01 reimburse the United States 01 Workplace drug and alcohol Fish and Wildlife Service and SUBSCRIBE PUBLAWS-L Lockheed; comments due testing programs; the National Marine Fisheries Your Name. by 6-11-01; published 4- amendments conforming to Service to facilitate the 25-01 DOT rule; comments due by interagency cooperation Note: This service is strictly McDonnell Douglas; 6-14-01; published 4-30-01 required under the for E-mail notification of new comments due by 6-11- TRANSPORTATION Endangered Species Act of laws. The text of laws is not 01; published 4-10-01 DEPARTMENT 1973 in connection with available through this service. MD Helicopters Inc.; Research and Special wildland fire management. PENS cannot respond to comments due by 6-15- Programs Administration (June 3, 2001; 115 Stat. 24) specific inquiries sent to this 01; published 4-16-01 Pipeline safety: Last List June 1, 2001 address.
VerDate 11-MAY-2000 21:18 Jun 04, 2001 Jkt 194001 PO 00000 Frm 00004 Fmt 4712 Sfmt 4711 E:\FR\FM\05JNCU.LOC pfrm07 PsN: 05JNCU