Pages 16053±16464 Vol. 62 4±4±97 No. 65 federal register April 4,1997 Friday Office (GPO). Access Regulations (CFR) Free, easy,onlineaccesstoselected The released concurrently. that theonlineandprintedversionsof until acompletesetisavailable.GPOtakingstepsso incrementally throughoutcalendaryears1996and1997 GPO Access services andaccessmethods,seepageIIorcontactthe For additionalinformationon http://www.access.gpo.gov/nara/cfr service astheybecomeavailable. New titlesand/orvolumeswillbeaddedtothisonline Committee oftheFederalRegister. official onlineeditionsauthorizedbytheAdministrative announcement ontheinsidecoverofthisissue For informationonbriefingsinWashington,DC,see Briefings onhowtousetheFederalRegister ★ ★ CFR Code ofFederalRegulations , aserviceoftheUnitedStatesGovernmentPrinting Email: [email protected] Phone: toll-free:1-888-293-6498 and User SupportTeamvia: Federal Register CFR Now AvailableOnline GPO Access volumes isnowavailablevia (Selected Volumes) titles willbeaddedto via GPO Access on GPO Access Code ofFederal CFR GPO Access products, , arethe will be GPO 1 II Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997

SUBSCRIPTIONS AND COPIES PUBLIC Subscriptions: Paper or fiche 202–512–1800 Assistance with public subscriptions 512–1806

FEDERAL REGISTER Published daily, Monday through Friday, General online information 202–512–1530 (not published on Saturdays, Sundays, or on official holidays), 1–888–293–6498 by the Office of the Federal Register, National Archives and Single copies/back copies: Records Administration, Washington, DC 20408, under the Federal Paper or fiche 512–1800 Register Act (49 Stat. 500, as amended; 44 U.S.C. Ch. 15) and Assistance with public single copies 512–1803 the regulations of the Administrative Committee of the Federal Register (1 CFR Ch. I). Distribution is made only by the FEDERAL AGENCIES Superintendent of Documents, U.S. Government Printing Office, Subscriptions: Washington, DC 20402. Paper or fiche 523–5243 Assistance with Federal agency subscriptions 523–5243 The Federal Register provides a uniform system for making available to the public regulations and legal notices issued by For other telephone numbers, see the Reader Aids section at the end of Federal agencies. These include Presidential proclamations and this issue. Executive Orders and Federal agency documents having general applicability and legal effect, documents required to be published by act of Congress and other Federal agency documents of public interest. Documents are on file for public inspection in the Office of the Federal Register the day before they are published, unless NOW AVAILABLE ONLINE earlier filing is requested by the issuing agency. The January 1997 Office of the Federal Register Document The seal of the National Archives and Records Administration Drafting Handbook authenticates this issue of the Federal Register as the official serial publication established under the Federal Register Act. 44 U.S.C. Free, easy, online access to the newly revised January 1997 1507 provides that the contents of the Federal Register shall be Office of the Federal Register Document Drafting Handbook judicially noticed. (DDH) is now available at: The Federal Register is published in paper, 24x microfiche and http://www.nara.gov/nara/fedreg/ddh/ddhout.html as an online database through GPO Access, a service of the U.S. Government Printing Office. The online edition of the Federal This handbook helps Federal agencies to prepare documents Register on GPO Access is issued under the authority of the for publication in the Federal Register. Administrative Committee of the Federal Register as the official For additional information on access, contact the Office of legal equivalent of the paper and microfiche editions. The online the Federal Register’s Technical Support Staff. database is updated by 6 a.m. each day the Federal Register is published. The database includes both text and graphics from Phone: 202–523–3447 Volume 59, Number 1 (January 2, 1994) forward. Free public E-mail: [email protected] access is available on a Wide Area Information Server (WAIS) through the Internet and via asynchronous dial-in. Internet users can access the database by using the World Wide Web; the Superintendent of Documents home page address is http:// www.access.gpo.gov/suldocs/, by using local WAIS client software, or by telnet to swais.access.gpo.gov, then login as guest, FEDERAL REGISTER WORKSHOP (no password required). Dial-in users should use communications software and modem to call (202) 512–1661; type swais, then login THE FEDERAL REGISTER: WHAT IT IS AND as guest (no password required). For general information about HOW TO USE IT GPO Access, contact the GPO Access User Support Team by sending Internet e-mail to [email protected]; by faxing to (202) FOR: Any person who uses the Federal Register and Code of Federal 512–1262; or by calling toll free 1–888–293–6498 or (202) 512– Regulations. 1530 between 7 a.m. and 5 p.m. Eastern time, Monday–Friday, WHO: Sponsored by the Office of the Federal Register. except for Federal holidays. WHAT: Free public briefings (approximately 3 hours) to present: 1. The regulatory process, with a focus on the Federal Register The annual subscription price for the Federal Register paper system and the public’s role in the development of edition is $555, or $607 for a combined Federal Register, Federal regulations. Register Index and List of CFR Sections Affected (LSA) 2. The relationship between the Federal Register and Code subscription; the microfiche edition of the Federal Register of Federal Regulations. including the Federal Register Index and LSA is $220. Six month 3. The important elements of typical Federal Register subscriptions are available for one-half the annual rate. The charge documents. for individual copies in paper form is $8.00 for each issue, or 4. An introduction to the finding aids of the FR/CFR system. $8.00 for each group of pages as actually bound; or $1.50 for WHY: To provide the public with access to information necessary to each issue in microfiche form. All prices include regular domestic research Federal agency regulations which directly affect them. postage and handling. International customers please add 25% for There will be no discussion of specific agency regulations. foreign handling. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA or MasterCard. Mail to: New Orders, Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250–7954. WASHINGTON, DC There are no restrictions on the republication of material appearing WHEN: April 15, 1997 at 9:00 am in the Federal Register. WHERE: Office of the Federal Register Conference Room How To Cite This Publication: Use the volume number and the page number. Example: 60 FR 12345. 800 North Capitol Street, NW. Washington, DC (3 blocks north of Union Station Metro) RESERVATIONS: 202–523–4538

2 III

Contents Federal Register Vol. 62, No. 65

Friday, April 4, 1997

Agricultural Research Service NOTICES NOTICES Grants and cooperative agreements; availability, etc.: Grants and cooperative agreements; availability, etc.: Community development financial institutions program, Biotechnology risk assessment research program, 16434– 16460–16464 16436 Comptroller of the Currency Agriculture Department NOTICES See Agricultural Research Service Bank operating subsidiary; applications, etc.: See Animal and Plant Health Inspection Service NationsBank— See Cooperative State Research, Education, and Extension Limited real estate development activities, 16213– Service 16214 See Forest Service Real estate lease financing, 16214–16215

Animal and Plant Health Inspection Service Cooperative State Research, Education, and Extension PROPOSED RULES Service Plant-related quarantine, foreign: NOTICES Fruits and vegetables; importation Grants and cooperative agreements; availability, etc.: Correction, 16218 Biotechnology risk assessment research program, 16434– 16436 Army Department See Engineers Corps Defense Department NOTICES See Army Department Environmental statements; availability, etc.: See Engineers Corps Base realignment and closure— RULES U.S. Army Chemical School and U.S. Army Military Acquisition regulations: Policy School; relocation from Fort McClellan, AL Streamlined research and development clause lists, to Fort Leonard Wood, MO, 16142–16143 16099–16107 NOTICES Blind or Severely Disabled, Committee for Purchase From Agency information collection activities: People Who Are Submission for OMB review; comment request, 16141– See Committee for Purchase From People Who Are Blind or 16142 Severely Disabled Meetings: Science Board task forces, 16142 Centers for Disease Control and Prevention NOTICES Drug Enforcement Administration Agency information collection activities: NOTICES Submission for OMB review; comment request, 16162 Applications, hearings, determinations, etc.: Castro, Jose R., M.D., 16189–16190 Coast Guard Demetrios, Abbas Helim, M.D., 16190–16191 RULES Hagura Pharmacy, 16191–16193 Ports and waterways safety: Hsu, Yu-To, M.D.; correction, 16218 Lower Mississippi River; regulated navigation area, Perez, Romeo J., M.D., 16193–16194 16081–16082 Tecca, Donald P., M.D.; correction, 16218 Pelican Passage Dauphin Island, AL; safety zone, 16080 PROPOSED RULES Employment Standards Administration Drawbridge operations: NOTICES Louisiana, 16122–16124 Minimum wages for Federal and federally-assisted construction; general wage determination decisions, Commerce Department 16194–16195 See International Trade Administration See National Oceanic and Atmospheric Administration Energy Department See Technology Administration See Energy Efficiency and Renewable Energy Office See Federal Energy Regulatory Commission Committee for Purchase From People Who Are Blind or NOTICES Severely Disabled Atomic energy agreements; subsequent arrangements, 16144 NOTICES Radiological condition certification: Procurement list; additions and deletions, 16134–16136 Energy Technology Engineering Center, CA, 16144–16146

Community Development Financial Institutions Fund Energy Efficiency and Renewable Energy Office RULES NOTICES Community development financial institutions program, Consumer product test procedures; waiver petitions: 16444–16459 Rheem Manufacturing Co., 16146–16147 IV Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Contents

Meetings: Telecommunications Act of 1996; implementation— State Energy Advisory Board, 16147–16148 Telemessaging, electronic publishing, and alarm monitoring services; interpretation, 16093–16099 Engineers Corps PROPOSED RULES NOTICES Common carrier services: Environmental statements; notice of intent: Satellite communications— Mississippi River and tributaries project; construction of Fixed-satellite, fixed, mobile, and government main stem Mississippi River levees between Cape operations; spectrum allocation, 16129–16131 Girardeau, MO, and Head of Passes, LA, 16143 Federal Emergency Management Agency Patent licenses; non-exclusive, exclusive, or partially RULES exclusive: Flood elevation determinations: Sogelreg-Sogreah (concrete armor unit to protect coastal Florida et al., 16089–16092 and hydraulic structures and shorelines), 16143– Illinois et al., 16087–16089 16144 Flood insurance; communities eligible for sale: New York et al., 16084–16087 Environmental Protection Agency PROPOSED RULES RULES Flood elevation determinations: Air programs: Connecticut et al., 16125–16129 Fuels and fuel additives— NOTICES Phoenix, AZ moderate ozone nonattainment area; Agency information collection activities: reformulated gasoline program extension; Submission for OMB review; comment request, 16156 withdrawn, 16082–16084 Disaster and emergency areas: PROPOSED RULES Illinois, 16156–16157 Clean Air Act: Kentucky, 16157 State operating permits programs— Louisiana, 16157 Arizona, 16124–16125 Tennessee, 16157–16158 NOTICES Agency information collection activities: Federal Energy Regulatory Commission Submission for OMB review; comment request, 16153 NOTICES Environmental statements; availability, etc.: Hydroelectric applications, 16150–16153 Agency statements— Applications, hearings, determinations, etc.: Comment availability, 16154–16155 Duke Power Co., 16148 Weekly receipts, 16154 Morgan Stanley Capital Group Inc., 16148 Meetings: Natural Gas Pipeline Co. of America, 16149–16150 Clean Air Act Advisory Committee, 16155–16156 Ohio Edison Co. et al., 16150 Superfund; response and remedial actions, proposed Transcontinental Gas Pipe Line Corp., 16150 settlements, etc.: Sanitary Landfill Co. Site, OH, 16156 Federal Financial Institutions Examination Council NOTICES Federal Aviation Administration Government guaranteed loans and sale premiums; policy RULES statement rescission, 16158 Airmen certification: Federal Highway Administration Pilot, flight instructor, ground instructor, and pilot school certification rules, 16220–16367 RULES Motor carrier safety standards: Airworthiness directives: Motor carrier regulation information system; interpretive Airbus Industrie, 16070–16072 guidance in question and answer form; availability, Bell, 16072–16075 16370–16431 CFM International, 16066–16069 Jetstream, 16069–16070 Federal Maritime Commission McCauley Propeller Systems, 16064–16066 NOTICES Class E airspace, 16075–16076 Agreements filed, etc., 16158 Class E airspace; correction, 16076 Investigations, hearings, petitions, etc.: PROPOSED RULES Shipman International (Taiwan) Ltd., 16158–16160 Airworthiness directives: Boeing, 16115–16116 Federal Reserve System Jetstream, 16113–16115 RULES NOTICES Consumer leasing (Regulation M): Passenger facility charges; applications, etc.: Official staff commentary, 16053–16064 Bradley International Airport, CT, 16211–16212 NOTICES Sonoma County Airport, CA, 16212 Meetings; Sunshine Act, 16160 Federal Communications Commission Food and Drug Administration RULES NOTICES Common carrier services: Harmonisation International Conference; guidelines Omnibus Consolidated Appropriations Act of 1997— availability: Wireless communications service; 2305-2320 and 2345- Biotechnology-derived pharmaceuticals; preclinical 2360 MHz bands; correction, 16099 testing, 16438–16442 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Contents V

Human drugs: Land Management Bureau Patent extension; regulatory review period NOTICES determinations— Environmental statements; notice of intent: ACCOLATE, 16164–16165 Surface management regulations— Astellin Nasal Spray, 16167–16168 Mining laws; mining operations, 16177–16178 MERETEK UBT Breath Test, 16166–16167 Public land orders: PHOTOFRIN, 16163–16164 Arizona, 16178–16179 REMERON, 16165 Realty actions; sales, leases, etc.: TRITEC, 16166 Nevada, 16179 XALATAN, 16162–16163 Survey plat filings: Colorado, 16179–16180 Forest Service NOTICES Minerals Management Service Meetings: PROPOSED RULES Water Rights Task Force, 16134 Royalty management: Administrative appeals process and alternative dispute Health and Human Services Department resolution; release of third party proprietary See Centers for Disease Control and Prevention information, 16116–16121 See Food and Drug Administration Reporting and paying royalties on gas standards and gas See National Institutes of Health analysis report, 16121–16122 See Substance Abuse and Mental Health Services Administration National Highway Traffic Safety Administration NOTICES PROPOSED RULES Meetings: Motor vehicle safety standards: Health Promotion and Disease Prevention Objectives for Lamps, reflective devices, and associated equipment— 2010, Secretary’s Council, 16160–16161 Vehicle turn signals; programmable signaling National Bioethics Advisory Commission, 16161 requirement; petition denied, 16131–16132 Vital and Health Statistics National Committee, 16161– 16162 National Institutes of Health NOTICES Housing and Urban Development Department Agency information collection activities: NOTICES Proposed collection; comment request, 16168–16169 Agency information collection activities: Submission for OMB review; comment request, 16169– Proposed collection; comment request, 16175–16176 16170 Submission for OMB review; comment request, 16176– Meetings: 16177 Cystic fibrosis, genetic testing; consensus development Grants and cooperative agreements; availability, etc.: conference, 16170 Facilities to assist homeless— National Center for Research Resources, 16170–16171 Excess and surplus Federal property, 16177 National Heart, Lung, and Blood Institute, 16171 National Institute of Diabetes and Digestive and Kidney Interior Department Diseases, 16171–16172 See Land Management Bureau National Institute of General Medical Sciences, 16172 See Minerals Management Service National Institute on Aging, 16171, 16172 National Institute on Drug Abuse, 16171 Internal Revenue Service National Library of Medicine, 16172–16173 NOTICES Research Grants Division special emphasis panels, 16173 Agency information collection activities: Proposed collection; comment request, 16215–16216 National Oceanic and Atmospheric Administration Inflation adjustment factor and reference prices: RULES Fuel credit, nonconventional sources, 16216–16217 Fishery conservation and management: Meetings: Alaska; fisheries of Exclusive Economic Zone- Actuarial Examinations Advisory Committee, 16217 Pollock, 16112 Yellowfin sole, 16112 International Trade Administration Marine mammals: NOTICES Endangered fish or wildlife— Export trade certificates of review, 16136–16140 North Atlantic right whale protection, 16108–16112 PROPOSED RULES Justice Department Fishery conservation and management: See Drug Enforcement Administration Highly migratory species advisory panels establishment; NOTICES combination of Atlantic shark, swordfish, and tunas Agency information collection activities: fishery management plans, 16132–16133 Proposed collection; comment request, 16180 Megan’s Law and Jacob Wetterling Crimes Against Children National Science Foundation and Sexually Violent Offender Registration Act; NOTICES implementation guidelines, 16180–16189 Meetings: Biomolecular Processes Advisory Panel, 16195–16196 Labor Department Cognitive, Psychological and Language Sciences Advisory See Employment Standards Administration Panel, 16196 VI Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Contents

Cross Disciplinary Activities Special Emphasis Panel, Securities and Exchange Commission 16196 RULES Design, Manufacture, and Industrial Innovation Special Securities: Emphasis Panel, 16196 Small entities; penalty-reduction policy statement, Developmental Mechanisms Advisory Panel, 16196– 16076–16080 16197 NOTICES Earth Sciences Proposal Review Panel, 16197 Agency information collection activities: Geosciences Special Emphasis Panel, 16197 Submission for OMB review; comment request, 16205– Integrative Plant Biology Advisory Panel, 16197 16206 Neuroscience Advisory Panel, 16197–16198 Applications, hearings, determinations, etc.: Polar Programs Advisory Committee, 16198 Public utility holding company filings, 16206–16208 Social, Behavioral, and Economic Sciences Special Emphasis Panel, 16198 Social Security Administration Undergraduate Education Special Emphasis Panel, 16198 NOTICES Agency information collection activities: Nuclear Regulatory Commission Proposed collection; comment request, 16208–16209 RULES Disability determination procedures: Conduct of employees; CFR part removed, 16053 Testing modifications— NOTICES Disability determination services full process model, Agency information collection activities: 16210–16211 Submission for OMB review; comment request, 16198– Federal processing center testing, 16209–16210 16199 Environmental statements; availability, etc.: Substance Abuse and Mental Health Services Virginia Electric & Power Co., 16202–16203 Administration Meetings: NOTICES Reactor Safeguards Advisory Committee, 16203–16204 Federal agency urine drug testing; certified laboratories Regulatory guides; issuance, availability, and withdrawal, meeting minimum standards, list, 16173–16175 16204 Applications, hearings, determinations, etc.: Public Service Electric & Gas Co., 16199–16200 Surface Transportation Board Southern Nuclear Operating Co., Inc., 16201–16202 NOTICES Railroad services abandonment: Missouri Pacific Railroad Co., 16213 Pension Benefit Guaranty Corporation NOTICES Multiemployer plans: Technology Administration Bond/escrow requirements; exemption requests— NOTICES Dunham-Bush, Inc., 16204–16205 Advanced technology program; continuous improvement study; comment request, 16140–16141 Personnel Management Office RULES Thrift Supervision Office Allowances and differentials: NOTICES Cost-of-living allowances (nonforeign areas) Applications, hearings, determinations, etc.: Correction, 16218 Rocky Ford Federal Savings & Loan Association, 16217

Public Health Service Transportation Department See Centers for Disease Control and Prevention See Coast Guard See Food and Drug Administration See Federal Aviation Administration See National Institutes of Health See Federal Highway Administration See Substance Abuse and Mental Health Services See National Highway Traffic Safety Administration Administration See Research and Special Programs Administration See Surface Transportation Board NOTICES Research and Special Programs Administration International cargo rate flexibility level: RULES Standard foreign fare level— Hazardous materials: Index adjustment factors, 16211 Hazardous materials transportation— Cargo tank motor vehicle use on interim basis for delivery of propane and other liquefied Treasury Department compressed gases; conditions, 16107–16108 See Community Development Financial Institutions Fund PROPOSED RULES See Comptroller of the Currency Pipeline safety: See Internal Revenue Service Pipeline Personnel Qualification Negotiated Rulemaking See Thrift Supervision Office Committee— NOTICES Meetings; correction, 16131 Meetings: NOTICES National Center for State, Local, and International Law Meetings: Enforcement Training Advisory Committee, 16213 Pipeline Safety Advisory Committees, 16212–16213 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Contents VII

Separate Parts In This Issue Part VI Department of the Treasury, Community Development Part II Financial Institutions Fund, 16444–16464 Department of Transportation, Federal Aviation Administration, 16220–16367

Part III Reader Aids Department of Transportation, Federal Highway Additional information, including a list of public laws, Administration, 16370–16431 telephone numbers, reminders, and finding aids, appears in the Reader Aids section at the end of this issue. Part IV Department of Agriculture, Agriculture Research Service, Cooperative State Research, Education, and Extension Service, 16434–16436 Electronic Bulletin Board Free Electronic Bulletin Board service for Public Law Part V numbers, Federal Register finding aids, and a list of Department of Health and Human Services, Food and Drug documents on public inspection is available on 202–275– Administration, 16438–16442 1538 or 275–0920. VIII Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Contents

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.

5 CFR 591...... 16218 7 CFR Proposed Rules: 300...... 16218 319...... 16218 10 CFR 0...... 16053 12 CFR 213...... 16053 1805...... 16444 14 CFR 1...... 16220 39 (7 documents) ...... 16064, 16066, 16067, 16069, 16070, 16072, 16073 61...... 16220 71 (2 documents) ...... 16075, 16076 141...... 16220 143...... 16220 Proposed Rules: 39 (2 documents) ...... 16113, 16115 17 CFR 202...... 16076 30 CFR Proposed Rules: 202...... 16121 216...... 16121 243...... 16116 33 CFR 165 (2 documents) ...... 16080, 16081 Proposed Rules: 117...... 16122 40 CFR 80...... 16082 Proposed Rules: 70...... 16124 44 CFR 64...... 16084 65...... 16087 67...... 16089 Proposed Rules: 67...... 16125 47 CFR Ch. I ...... 16093 27...... 16099 Proposed Rules: 2...... 16129 25...... 16129 48 CFR 235...... 16099 49 CFR 171...... 16107 Ch. III ...... 16370 Proposed Rules: 192...... 16131 195...... 16131 571...... 16131 50 CFR 229...... 16108 679 (2 documents) ...... 16112 Proposed Rules: 285...... 16132 630...... 16132 644...... 16132 678...... 16132 16053

Rules and Regulations Federal Register Vol. 62, No. 65

Friday, April 4, 1997

This section of the FEDERAL REGISTER Background Regulatory Analysis contains regulatory documents having general applicability and legal effect, most of which On August 7, 1992 (57 FR 35006), the A regulatory analysis has not been are keyed to and codified in the Code of OGE published its final rule establishing prepared for this final rule because the Federal Regulations, which is published under government-wide standards of conduct NRC is eliminating regulations that have 50 titles pursuant to 44 U.S.C. 1510. for executive branch employees. The been superseded by the Office of regulations, which are codified at 5 CFR Government Ethics’ issuance of The Code of Federal Regulations is sold by executive branch-wide regulations on part 2635, took effect on February 3, the Superintendent of Documents. Prices of exemptions and waivers for financial 1993, and supplanted a major portion of new books are listed in the first FEDERAL interests under 18 U.S.C. 208(b). This REGISTER issue of each week. the NRC’s standards of conduct rule has no impact on health, safety or regulations. On January 12, 1993 (58 FR the environment. There is no cost to 3825), the NRC published a final rule NUCLEAR REGULATORY licensees, the NRC, or other Federal that amended part 0 to remove those agencies. COMMISSION provisions of the NRC’s standard of conduct regulations which were to be Backfit Analysis 10 CFR Part 0 replaced by the government-wide The NRC has determined that the regulations on February 3, 1993. On backfit rule, 10 CFR 50.109, does not RIN 3150±AF67 May 25, 1993 (58 FR 29951), the NRC apply to this final rule because the further amended part 0 (in compliance Conduct of Employees; CFR Part deletion of these regulations does not with the OGE regulations) to remove Removal involve any provisions that would NRC internal procedures and impose backfits as defined in 10 CFR AGENCY: Nuclear Regulatory delegations of authority on standards of 50.109(a)(1). Commission. conduct and to place them in internal List of Subjects in 10 CFR Part 0 ACTION: Final rule. NRC Management Directives. In accordance with OGE’s issuance of Conflict of interest, Criminal SUMMARY: The Nuclear Regulatory the final rule regarding 18 U.S.C. 208(b) penalties. Commission (NRC) is amending its exemptions and waivers (5 CFR 2640), PART 0Ð[REMOVED] regulations to remove the provisions the Commission is issuing this final rule concerning the ‘‘Conduct of Employees’’ removing 10 CFR part 0 in its entirety. For the reasons set out in the from the Code of Federal Regulations Because the Commission is required preamble and under the authority of the (CFR). This part of the Commission’s Atomic Energy Act of 1954 (42 U.S.C. regulations is no longer applicable to delete the superseded provisions of 10 CFR part 0 relating to 208(b)(2) 2201), as amended; the Energy because the Office of Government Ethics Reorganization Act of 1974 (42 U.S.C. (OGE) issued executive branch-wide exemptions, with no discretion in the matter, the NRC finds, pursuant to 5 5841), as amended; 5 U.S.C. 552 and regulations (on exemptions and waivers 553; and 5 CFR part 2640, the NRC is for financial interests) that supersede U.S.C. 553(b)(B), that there is good cause not to seek public comment on removing 10 CFR part 0 from its the only remaining substantive regulations. provision in the NRC’s regulations at 10 this rule, as such comment is CFR part 0. unnecessary. Furthermore, for the Dated at Rockville, Maryland this 20th day reasons stated above, the NRC finds, of March 1997. EFFECTIVE DATE: This final rule is For the Nuclear Regulatory Commission. effective on April 4, 1997. pursuant to 5 U.S.C. 553(d)(3), that good cause exists to make this rule effective L. Joseph Callan, FOR FURTHER INFORMATION CONTACT: upon publication of this notice. Executive Director for Operations. Pamela Urban, Office of the General [FR Doc. 97–8547 Filed 4–3–97; 8:45 am] Counsel, U.S. Nuclear Regulatory Environmental Impact: Categorical Commission, Washington, D.C. 20555– Exclusion BILLING CODE 7590±01±P 0001, telephone (301) 415–1619. The NRC has determined that this SUPPLEMENTARY INFORMATION: The final rule is the type of action described FEDERAL RESERVE SYSTEM Nuclear Regulatory Commission (NRC) in categorical exclusion 10 CFR is amending its regulations to remove 51.22(c)(2). Therefore, neither an 12 CFR Part 213 the provisions in 10 CFR part 0 in their entirety. On December 18, 1996 (61 FR environmental assessment nor an [Regulation M; Docket No. R±0961] environmental impact statement has 66830), the Office of Government Ethics Consumer Leasing (OGE) issued executive branch-wide been prepared for this final regulation. regulations on exemptions and waivers Paperwork Reduction Act Statement AGENCY: Board of Governors of the for financial interests under 18 U.S.C. Federal Reserve System. 208(b) (codified at 5 CFR 2640). The This final rule contains no ACTION: Final rule; official staff portion of the OGE regulations on information collection requirements and interpretation. exemptions under 18 USC 208(b)(2) therefore is not subject to the supersedes the only remaining requirements of the Paperwork SUMMARY: The Board is publishing substantive provision in part 0 of the Reduction Act of 1995 (44 U.S.C. 3501 revisions to the official staff NRC’s regulations (10 CFR 0.735–2). et seq.). commentary to Regulation M, which 16054 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations implements the Consumer Leasing Act. the act’s requirements (61 FR 52246, change, are not discussed. Most of the The act requires lessors to provide October 7, 1996). The major changes discussion focuses on new comments uniform cost and other disclosures primarily affect motor-vehicle leasing. and significant revisions to existing about consumer lease transactions. They include a mathematical comments. Regulation M was revised in September progression on how scheduled Introduction 1996 under the Board’s Regulatory payments are derived (using figures Planning and Review program, which such as the gross capitalized cost of a Comments I–3 and I–6 are deleted as calls for the periodic review of Board lease, the vehicle’s residual value, the obsolete or unnecessary. Comments I–1, regulations. The commentary applies amount of depreciation, and the rent I–2, I–4, and I–5 are redesignated and interprets the requirements of charge) and a warning statement about accordingly. Regulation M. The revisions to the charges for terminating a lease early. Section 213.1—Authority, Scope, commentary provide guidance on the General changes in the format of the Purpose, and Enforcement final rule issued in September 1996, as disclosures require that certain lease amended in April 1997. disclosures be segregated from other Former New DATES: This rule is effective April 1, information. A lessor is not required to 1997. Compliance is optional until disclose the cost of a lease expressed as 1±1 ...... 1±1. October 1, 1997. a percentage rate; however, if a rate is 1±2 ...... Deleted as unneces- disclosed or advertised, a special notice sary (see appendix FOR FURTHER INFORMATION CONTACT: C). Kyung H. Cho-Miller or Obrea Otey must accompany the rate stating that it Poindexter, Staff Attorneys, Division of may not measure the overall cost of financing the lease. Further, a rate in an Comment 1–1 is revised to clarify Consumer and Community Affairs, persons covered by the regulation. Board of Governors of the Federal advertisement cannot be more Reserve System, Washington, DC 20551, prominent than any other Regulation M Section 213.2—Definitions at (202) 452–2412 or 452–3667. For disclosure. The final rule also revises the 2(a) Definitions users of Telecommunications Devices advertising rules and implements for the Deaf (TDD) only, contact Diane amendments to the CLA contained in Former New Jenkins, at (202) 452–3544. the Riegle Community Development and 2(a)(2)±1 ...... 2(b)±1 and ±2; includ- SUPPLEMENTARY INFORMATION: Regulatory Improvement Act of 1994 ing text from former I. Background (Pub. L. 103–325, 108 Stat. 2160); those § 213.2(a)(2). amendments allow a toll-free number or 2(a)(2)±2 ...... 2(b)±3. The Consumer Leasing Act (CLA), 15 a print advertisement to substitute for 2(d)±1 new. U.S.C. 1667–1667e, was enacted into certain lease disclosures in radio 2(a)(4)±1 ...... 2(h)±1; includes text law in 1976 as an amendment to the commercials (which was expanded in from former Truth in Lending Act (TILA), 15 U.S.C. the final rule to television commercials). § 213.2(a)(4). 1601 et seq. The CLA is implemented by The CLA’s advertising rules were 2(a)(4)±2 ...... 2(h)±4. 2(a)(4)±3 ...... 2(h)±2. the Board’s Regulation M (12 CFR part further amended and streamlined on 213). An official staff commentary 2(a)(6)±1 ...... 2(e)±1. September 30, 1996, by the Economic 2(a)(6)±2 ...... 2(e)±2. (Supplement I–CL–1 to 12 CFR part 213) Growth and Regulatory Paperwork 2(e)±3 new. provides guidance to lessors in applying Reduction Act of 1996 (Pub. L. 104–208, 2(a)(6)±3 ...... 2(e)±6. the regulation to specific transactions. 110 Stat. 3009). The Board issued a 2(a)(6)±4 ...... 2(e)±4. The CLA requires lessors to provide proposal to implement those changes. 2(e)±5 new; includes consumers with uniform cost and other (62 FR 62, January 2, 1997). A final rule text from former disclosures about consumer lease has been issued with a mandatory § 213.2(a)(3). transactions. The act generally applies compliance date of October 1, 1997. 2(a)(6)±5 ...... 2(e)±8. to consumer leases of personal property The Board published an updated 2(a)(6)±6 ...... 2(e)±7. 2(a)(7)±1 ...... 2(g)±1. in which the contractual obligation does proposal to the commentary in February 2(a)(8)±1 ...... 2(h)±3. not exceed $25,000 and has a term of 1997 (62 FR 7361, February 19, 1997). 2(a)(9)±1 ...... 2(j)±1. more than four months. An automobile Comment letters were received from 2(a)(12)±1 ...... 2(l)±1. lease is the most common type of representatives of the major lease trade 2(a)(14)±1 ...... 2(m)±1. consumer lease covered by the act. associations, state agencies, consumer 2(a)(14)±2 ...... 2(m)±2. In September 1996, the Board representatives, and the Federal Trade 2(a)(14)±3 and ±4 ..... 2(m)±3. approved a final rule revising Commission, among others. The final 2(a)(14)±5 ...... 2(m)±4. Regulation M, after a review of the revisions to the commentary include 2(a)(14)±6 ...... 4(l)±2. regulation and consumer leasing 2(a)(15)±1 ...... 2(o)±2. guidance on material that was published 2(a)(15)±2 ...... 2(o)±1; includes text generally. The review was conducted for comment in September 1995, from former under the Board’s Regulatory Planning incorporate guidance on the September § 213.2(a)(15). and Review Program, which calls for the 1996 final rule, and address certain 2(a)(15)±3 ...... 2(o)±3. periodic review of Board regulations questions raised following public 2(a)(17)±1 through ±5 Deleted as unneces- with four goals in mind: to clarify and review of the final rule, incorporating sary. simplify regulatory language; to many suggestions made by the 2(a)(18)±1 through ±3 Deleted as unneces- determine whether regulatory commenters. sary. amendments are needed to address 2(b)±1 ...... Deleted as unneces- technological and other developments; II. Discussion of Final Revisions sary. 2(b)±2 ...... 3(a)(3)±1. to reduce undue regulatory burden on The following discussion covers the the industry; and to delete obsolete revisions to the Regulation M 2(b) Advertisement provisions. commentary section-by-section. The September 1996 final rule Comments that have been revised for Comment 2(b)–1, former comment includes new disclosures to supplement further clarity, without substantive 2(a)(2)–1, is revised to include examples Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16055 of advertisements formerly in purposes of this regulation and thus or credit balance is part of a single lease § 213.2(a)(2) and to indicate that the required to be disclosed under transaction. Accordingly, the term ‘‘advertisement’’ includes § 213.4(r). Under Regulation M, whether illustrations have been revised. electronic messages. or not a security deposit is a security 3(a)(1) Form of Disclosures interest under state or other applicable 2(d) Closed-End Lease law, a deposit disclosed under Comment 3(a)(1)–3, which provides Comment 2(d)–1 provides general § 213.4(b) is not disclosed under guidance on disclosing the lessor’s guidance on the definition of a ‘‘closed- § 213.4(r). Interest on a security deposit, address, is adopted substantially as end lease.’’ however, is disclosable under § 213.4(r) proposed. Some commenters expressed concern that requiring the disclosure of 2(e) Consumer Lease if it is considered a security interest under state or other applicable law. the lessor’s name only would not Comment 2(e)–2, former comment adequately identify the lessor. A lessor 2(a)(6)–2, is revised to clarify that leases Section 213.3—General Disclosure may add an address or other with penalties for not continuing Requirements information such as a telephone number beyond an initial four months are 3(a) General Requirements to the identification. covered under the regulation. Comment Comment 3(a)(1)–5, former comment 2(e)–3 provides guidance on the total Former New 4(a)(2)–5, is revised to provide guidance contractual obligation for purposes of on ways in which lessors may determining whether a lease is covered 4(a)±1 ...... 3(a)±1. demonstrate compliance with the under the regulation. Comment 2(e)–5 4(a)±2 ...... Moved to § 213.3(f). requirement that lessees receive 4(a)±3 ...... 3(a)(1)±1. incorporates former § 213.2(a)(3), the 4(a)±4 ...... 3(a)±4. disclosures prior to becoming obligated statutory definition of agricultural 4(a)±5 ...... Deleted as unneces- on the lease transaction. purpose in section 103(s) of the TILA. sary. 3(a)(2) Segregation of Certain Comment 2(e)–7, former comment 4(a)(1)±1 ...... 3(a)±2 and ±3. Disclosures 2(a)(6)–6, includes an additional 4(a)(1)±2 ...... Deleted as unneces- example of a lease deemed incidental to sary. Comment 3(a)(2)–1 provides general a service, and thus not covered by the 4(a)(2)±1 ...... 4(b)±1. guidance on the location of the regulation. 4(a)(2)±2 ...... 3(a)(1)±2. segregated disclosures referenced in 3(a)(1)±3 new. § 213.3(a)(2). Comment 3(a)(2)–2 restates 2(f) Gross Capitalized Cost 4(a)(2)±3 ...... 3(a)(1)±4. 4(a)(2)±4 ...... Deleted as unneces- the general rule on including additional Proposed comment 2(f)–1 has been sary. information among the segregated deleted as unnecessary. 4(a)(2)±5 ...... 3(a)(1)±5. disclosures referenced in § 213.3(a)(2). 3(a)(2)±1 through ±3 Comment 3(a)(2)–3 provides a cross- 2(h) Lessor new. reference to the commentary to Comment 2(h)–1, former comment 4(a)(4)±1 ...... Deleted as unneces- appendix A which provides guidance 2(a)(4)–1, is revised to include the sary, see revised on designing lease forms that are definition of the phrase ‘‘arrange for § 213.3(a)(4). substantially similar to the regulation’s leasing of personal property’’ in former 4(a)(4)±2 ...... Deleted as unneces- sary, see revised model forms. § 213.2(a)(4). § 213.3(a)(4). 3(b) Additional Information; 2(m) Realized Value 4(b)±1 ...... 3(b)±1. Nonsegregated Disclosures 4(c)±1 ...... 3(c)±1. Comment 2(m)–1 has been revised for 4(d)±1 through ±5 ..... 3(d)(1)±1 through ±5. Comment 3(b)–1, former comment accuracy to add a reference to the 4(d)±6 ...... Deleted as unneces- 4(b)–1, on state law disclosures is adjusted lease balance. sary. revised to add clarifying language; the Based on comment, comment 2(m)–2 4(e)±1 and ±2 ...... 3(e)±1 and ±2. second sentence has been deleted as has been revised to add fair market 3(e)±3 new; text from unnecessary. value to the second sentence so as not footnote 1 of former regulation. 3(d) Use of Estimates to exclude the use of this method of determining the realized value, if Comment 3(d)(1)–4, former comment appropriate, where the leased property 3(a) General Requirements 4(d)–4, is revised to provide that in is sold. Comment 3(a)–1, former comment disclosing the estimate of the value of Comment 2(m)–3 provides guidance 4(a)–1, is revised to clarify that leasing leased property at termination of an for determining the realized value, disclosures must reflect the terms of the open-end lease, a lessor must indicate combining former comments 2(a)(14)–3 legal obligation. whether the retail or wholesale value is and –4. Based on comment, to more Comment 3(a)–4, former comment used. This provision was previously closely track the language of the former 4(a)–4, is revised to provide guidance on contained in Regulation M in the comments, the comment has been disclosing a prior lease or credit balance instructions to the model forms. In revised from the proposal. The second added to a lease transaction. addition, the reference to ‘‘intention’’ and third sentences of former comment Commenters also asked the Board to has been deleted as not helpful. clarify that where a prior lease or credit 2(a)(14)–4 are deleted as unnecessary. 3(e) Effect of Subsequent Occurrence balance is rolled into a lease and the 2(o) Security Interest and Security transaction is disclosed as a single lease, Comment 3(e)–3 incorporates the first Comment 2(o)–2, former comment Regulation M disclosures (not sentence of footnote 1 of the former 2(a)(15)–2, is revised to include Regulation Z) are required. Based on regulation. examples of a security interest formerly comment and further analysis, language Section 213.4—Content of Disclosures in § 213.2(a)(15). has been added to indicate that Questions have arisen about whether Regulation M disclosures are required Former New interest that accrues on a security where a lease transaction includes deposit is a security interest for incidental services or when a prior lease 4(a)±1 new. 16056 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Former New 4(b) Total Amount Due at Lease disclosure of optional ‘‘disposition’’ Signing or Delivery fees. 4(g)±1 ...... Deleted as unneces- sary. A number of commenters, including 4(e) Total of Payments 4(g)±2 ...... 3(a)(1)±2 and ±3; consumer and leasing representatives, Comment 4(e)–1 explains the date requirement urged the Board to amend the additional statement in the total of moved to transaction disclosures to require payments disclosure for open-end § 213.3(a)(1). amounts due at delivery, if delivery leases. 4(g)(1)±1 ...... Deleted as unneces- occurs after consummation, to be sary. 4(f) Payment Calculation 4(g)(2)±1 ...... Deleted as unneces- included in the amount due at lease sary. signing disclosure. The Economic Comment 4(f)–1 clarifies that lessors 4(g)(2)±2 ...... 4(b)±1 (cross ref- Growth and Regulatory Paperwork should look to state or other applicable erences former Reduction Act of 1996 revised the law in determining whether the leased comment 2(b)±2). advertising disclosure of the total property is a motor vehicle. 4(g)(2)±3 ...... Deleted. amount due at lease signing to add 4(b)±2 new (incor- amounts due at delivery, if delivery 4(f)(1) Gross Capitalized Cost porated from the in- occurs after consummation. The Comment 4(f)(1)–1 provides guidance structions to the model form in regulation has been revised accordingly on disclosing the agreed-upon value of former appendix C± to parallel the changes that the Congress a leased motor vehicle. 2). made to the advertising disclosure. Comment 4(f)(1)–2 addresses the 4(b)±3 through ±6 Comment 4(b)–2 incorporates a itemization of the gross capitalized cost. new. definition of ‘‘capitalized cost A few commenters suggested that 4(g)(3)±1 ...... Deleted as unneces- reduction’’ from the instructions in lessors that provide an itemization as a sary. former appendix C–1 of the regulation. matter of course be allowed to include 4(g)(3)±2 ...... 4(c)±1; reference to Comment 4(b)–3 provides guidance on the itemization among the segregated open-end lease de- the disclosure of negative net trade-in disclosures. Given that some leted. 4(g)(4)±1 ...... deleted. allowances where the amount owed on itemizations may be lengthy, an 4(g)(5)±1 ...... 4(d)±1 and ±2. a prior credit or lease balance exceeds itemization may not be included in the 4(g)(5)±2 ...... Deleted as unneces- an agreed-upon trade-in value. segregated disclosures so as not to sary; see Comment 4(b)–4 clarifies that a rebate is distract from other information. § 213.3(a)(2). included in the itemization under this 4(f)(2) Capitalized Cost Reduction 4(d)±3 new. section only when it is used to reduce 4(g)(5)±3 ...... 4(d)±4. an amount due at lease signing or Comment 4(f)(2)–1 provides guidance 4(g)(5)±4 ...... 4(d)±5. delivery. Comment 4(b)–5 clarifies that on the amounts not included in the 4(d)±6 new. capitalized cost reduction disclosure. 4(e)±1 new. where the balance sheet method is 4(f)±1 new. required, in motor-vehicle leases, the 4(f)(8) Lease Term 4(f)(1)±1 and ±2 new. totals in each column must equal one 4(f)(8)±1 new. another. Comment 4(f)(8)–1 clarifies the 4(o)±1 new. meaning of the phrase ‘‘lease term’’ 4(g)(6)±1 ...... 4(o)±2. 4(c) Payment Schedule and Total referenced under § 213.4(f)(8). 4(g)(6)±2 ...... 4(o)±3. Amount of Periodic Payments 4(g)(7)±1 through ±3 4(p)±1 through ±3. 4(g) Early Termination 4(g)(8)±1 ...... 4(h)±1. Comment 4(c)–1 provides guidance in Comment 4(g)(1)–2 provides guidance 4(g)(9)±1 ...... 4(r)±1. disclosing periodic payments. on disclosing the method used to 4(g)(10)±1 through ±5 4(q)±1 through ±5. Commenters asked for guidance on determine the amount of an early 4(g)(11)±1 through ±3 4(i)±1 through ±3. whether all periodic payments required termination charge. Comment 4(g)(1)–3 4(i)±4 and ±5 new. to be paid under a lease, for example an 4(g)(12)±1 ...... 4(g)(1)±4. provides guidance on the timing for annually assessed tax, must be disclosed disclosing a written explanation of the 4(g)(12)±2 ...... 4(g)(1)±5. under § 213.4(c). To facilitate 4(g)(12)±3 ...... 4(g)(1)±1. method used to calculate the adjusted compliance, only payments made at 4(g)(1)±2 new. lease balance. 4(g)(1)±3 new. regular intervals and generally derived 4(j)±1 new. from capitalized and amortized 4(h) Maintenance Responsibilities 4(g)(14)±1 and ±2 ..... 4(l)±1 and ±2. amounts, rent, and amounts that are Comment 4(h)–1 has been revised for 4(l)±3 new. collected by the lessor at the same clarity, based on comment. Proposed 4(g)(14)±3 ...... 4(l)±4. interval(s) must be disclosed under 4(m)±1 and ±2 new. comment 4(h)–2, regarding the § 213.4(c). Based on comment and disclosure of excess mileage charges, is 4(g)(15)±1 ...... 4(m)(2)±1. further analysis, the comment has been 4(g)(15)±2 ...... Deleted. deleted as unnecessary. revised to clarify what payments should 4(m)(1)±1 new. 4(i) Purchase Option 4(g)(15)±3 ...... Deleted. be included in the payment schedule 4(g)(15)±4 ...... 4(m)(2)±2. and total amount of periodic payments. Several commenters on the September 4(g)(15)±5 ...... Deleted. 4(d) Other Charges 1995 proposal requested clarification on 4(g)(15)±6 ...... 4(m)(2)±3. whether lessors are allowed to disclose 4(n)±1 new. Comment 4(d)–1, former comment a purchase-option fee (and other fees 4(s)±1 new. 4(g)(5)–1, is revised to provide and taxes applicable to the purchase flexibility in making the ‘‘other charges’’ option) separately from the purchase- 4(a) Description of Property disclosure. Comment 4(d)–3 clarifies option price. Comments 4(i)–3 and –4, Comment 4(a)–1 clarifies that the that third-party charges are not former comment 4(g)(11)–3, are revised description of leased property cannot be disclosed under § 213.4(d). Comment to allow lessors flexibility in disclosing among the segregated disclosures. 4(d)–6 provides guidance on the fees associated with a purchase-option Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16057 price. Further, with the September 1996 4(s) Limitation on Rate Information Economic Growth and Regulatory final rule regarding the disclosure Paperwork Reduction Act of 1996. Comment 4(s)–1 clarifies that a lease format, and since a lessee is not rate may not be included among the 7(b) Clear and Conspicuous Standard obligated to purchase the leased property, the purchase-option fee and segregated disclosures referenced in Comment 7(b)–1 provides guidance any other fee associated with exercising § 213.3(a)(2). on the clear and conspicuous standard. the purchase option must be disclosed Section 213.5—Renegotiations, A comment in the September 1995 under § 213.4(i) and not § 213.4(d). Extensions, and Assumptions proposal provided that lease disclosures Comment 4(i)–5 provides guidance on must appear on a television screen for disclosing the price of a purchase option Section 213.5, formerly § 213.4(h), at least five seconds. The comment was in a ‘‘fair market value’’ lease. Based on contains the disclosure rules governing not meant to provide a safe harbor, as comment, the comment has been leases that are renegotiated, extended, or five seconds is inadequate as a test for revised to indicate that the independent assumed. Many of the commentary determining full compliance with the source must be readily available. provisions have been moved to the clear and conspicuous standard. The regulation. For example, the definitions comment has been deleted. 4(j) Statement Referencing of a renegotiation and an extension have Nonsegregated Disclosures been included in the regulation. 7(b)(1) Amount Due at Lease Signing Comment 4(j)–1 clarifies that or Delivery inapplicable information may be deleted Former New Comment 7(b)(1)–1 clarifies that an from the § 213.4(j) disclosure, which itemization of the amount due at lease references and alerts consumers to read 4(h)±1 ...... 5±1. signing or delivery is not required under 4(h)±2 ...... First sentence moved § 213.7(d)(2). Comment 7(b)(1)–2 CLA required disclosures not included to § 213.5(a); sec- among the segregated disclosures. ond sentence de- provides general guidance on the prominence rule in § 213.7(b)(1). 4(l) Right of Appraisal leted; third sen- tence moved to 5± 7(b)(2) Advertisement of a Lease Rate Comment 4(l)–2, former comment 1. 4(g)(14)–2, is revised to provide that a 4(h)±3 ...... Moved to § 213.5(d). Comment 7(b)(2)–1 provides guidance lessor must indicate whether an 4(h)±4 ...... Moved to § 213.5(b). on the location of the statement that appraisal will be based on the wholesale 4(h)±5 ...... 5(b)±1. must accompany any percentage rate or retail value. This provision was 5(b)±2 new. stated in an advertisement. 4(h)±6 ...... Deleted as unneces- contained in the former regulation in 7(d) Advertisement of Terms that the instructions to the model forms. sary. 4(h)±7 ...... Moved to Require Additional Disclosure 4(m) Liability at End of Lease Term § 213.5(d)(6). 7(d)(1) Triggering Terms Based on Estimated Value 4(h)±8 ...... Moved to § 213.5(d)(2). Comment 7(d)(1)–1, former comment The regulation reformats § 213.4(m), 4(h)±9 ...... Moved to § 213.5(c). 5(c)–2, is revised to provide guidance former § 213.4(g)(15), for clarity. The for disclosing examples of a typical commentary has been similarly 5(b) Extension lease. The last sentence of the proposed reformatted. comment has been deleted as Comment 4(m)–2 clarifies that under Comment 5(b)–1, former comment unnecessary. section 183(a) of the CLA lessors must 4(h)–5, is revised to clarify the pay the lessees’ attorney’s fees. circumstances in which disclosures are 7(d)(2) Additional Terms 4(n) Fees and Taxes required when a consumer lease is Commenters requested clarification extended on a month-to-month basis for on how third-party fees that vary by Comment 4(n)–1 provides guidance more than six months. This comment jurisdiction such as taxes, licenses, and on the treatment of certain taxes, and comment 5(b)–2 incorporate into registration fees should be reflected in including taxes disclosed under the commentary longstanding Board the disclosure of the total amount due § 213.4(n) and elsewhere. interpretations that were originally at lease signing or delivery under 4(o) Insurance issued when leasing provisions were § 213.7(d)(2)(ii). Comment 7(d)(2)–1 contained in Regulation Z (Truth in Comment 4(o)–1 clarifies that clarifies that lessors have flexibility in Lending) prior to 1982. § 213.4(o) applies to voluntary and disclosing such fees. required insurance provided in Section 213.7—Advertising 7(e) Alternative Disclosures— connection with a lease transaction. Merchandise Tags Comment 4(o)–3, former comment Former New 4(g)(6)–2, is revised to provide Comment 7(e)–1 provides general additional guidance on the disclosure of 5(a)±1 ...... 7(a)±1. guidance on disclosing multiple-item mechanical breakdown protection and, 5(a)±2 ...... 7(a)±2. leases with merchandise tags. 5(b)±1 and 2 ...... 7(c)±1 and 2. based on comments, other products, 5(c)±1 ...... 7(b)±1. 7(f) Alternative Disclosures— (such as guaranteed automobile 7(b)(1)±1 and ±2 Television or Radio Advertisements protection) as insurance under new. 7(f)(1) Toll-free Number or Print § 213.4(o). 7(b)(2)±1 new. Advertisement 4(p) Warranties or Guarantees 5(c)±2 ...... 7(d)(1)±1. 7(d)(2)±1 new. Comment 7(f)(1)–1 clarifies that a Comment 4(p)–1, former comment 5(d)±1 ...... 7(e)±1 new. newspaper circulated nationally may 4(g)(7)–1, is revised to provide further 7(f)(1)±1 through ±4 qualify as a publication in general guidance on identifying warranties new. circulation in the community served by under § 213.4(p) when a lessor provides the media station. Comment 7(f)(1)–2 a list that includes warranties not The CLA advertising provisions were provides guidance on establishing a available to the lessee. amended on September 30, 1996 by the number for consumers to call for 16058 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations disclosure information. Comment 2. Supplement I to Part 213—Official consumer leases, whether in visual, oral, 7(f)(1)–3 provides guidance on the use Staff Commentary to Regulation M is print or electronic media. Examples include: of a multi-function toll-free number to revised to read as follows: i. Messages in newspapers, magazines, provide disclosures. Comment 7(f)(1)–4 leaflets, catalogs, and fliers. SUPPLEMENT I TO PART 213Ð ii. Messages on radio, television, and provides general guidance on the public address systems. statement that must accompany a toll- OFFICIAL STAFF COMMENTARY TO REGULATION M iii. Direct mail literature. free number instructing consumers to iv. Printed material on any interior or call the number for details about costs Introduction exterior sign or display, in any window and terms. display, in any point-of-transaction literature 1. Official status. The commentary in or price tag that is delivered or made Section 213.8—Record Retention Supplement I is the vehicle by which the available to a lessee or prospective lessee in Division of Consumer and Community any manner whatsoever. Former New Affairs of the Federal Reserve Board issues v. Telephone solicitations. official staff interpretations of Regulation M vi. On-line messages, such as those on the 6±1 ...... 8±1. (12 CFR part 213). Good faith compliance Internet. with this commentary affords protection from 2. Exclusions. The term does not apply to Section 213.8 of the regulation was liability under section 130(f) of the Truth in the following: Lending Act (15 U.S.C. 1640(f)). Section i. Direct personal contacts, including formerly § 213.6. 130(f) protects lessors from civil liability for follow-up letters, cost estimates for any act done or omitted in good faith in Section 213.9—Relations to State Laws. individual lessees, or oral or written conformity with any interpretation issued by communications relating to the negotiation of Section 213.9 of the regulation a duly authorized official or employee of the a specific transaction. Federal Reserve System. combines and simplifies former §§ 213.7 ii. Informational material distributed only 2. Procedures for requesting and 213.8. The comments to these to businesses. interpretations. Under appendix C of sections, as well as references in former iii. Notices required by federal or state law, appendices A and B, have been deleted Regulation M, anyone may request an official staff interpretation. Interpretations that are if the law mandates that specific information as unnecessary. adopted will be incorporated in this be displayed and only the mandated Comment 9–1 has been added to commentary following publication in the information is included in the notice. include the states that are exempt from Federal Register. No official staff iv. News articles controlled by the news medium. Regulation M—Maine and Oklahoma. interpretations are expected to be issued other than by means of this commentary. v. Market research or educational materials Appendix A Model Forms 3. Comment designations. Each comment that do not solicit business. in the commentary is identified by a number 3. Persons covered. See the commentary to Former New and the regulatory section or paragraph that § 213.7(a). it interprets. The comments are designated 2(d) Closed-End Lease C±1 ...... A±1, A±2. with as much specificity as possible 1. General. In closed-end leases, sometimes C±2 ...... Deleted. according to the particular regulatory C±3 ...... A±3; closed-end defi- referred to as ‘‘walk-away’’ leases, the lessee provision addressed. For example, some of is not responsible for the residual value of nition moved to the comments to § 213.4(f) are further § 213.2(d) the leased property at the end of the lease divided by subparagraph, such as comment term. C±4 ...... A±4. 4(f)(1)–1 and comment 4(f)(2)–1. In other cases, comments have more general 2(e) Consumer lease Under the final rule, the model forms application and are designated, for example, 1. Primary purposes. A lessor must are moved from appendix C to appendix as comment 4(a)–1. This introduction may be determine in each case if the leased property A. Former comment app. C–2 is deleted cited as comments I–1 through I–4. An will be used primarily for personal, family, as unnecessary. Minor revisions are appendix may be cited as comment app. A– or household purposes. If a question exists as 1. made to other comments in this to the primary purpose for a lease, the fact 4. Illustrations. Lists that appear in the that a lessor gives disclosures is not appendix. For example, comment app. commentary may be exhaustive or A–1, former comment C–1, is revised to controlling on the question of whether the illustrative; the appropriate construction transaction is covered. The primary purpose indicate that changes to the headings, should be clear from the context. Illustrative of a lease is determined before or at format, and the content of the segregated lists are introduced by phrases such as consummation and a lessor need not provide disclosures should be minimal. Also the ‘‘including,’’ ‘‘such as,’’ ‘‘to illustrate,’’ and Regulation M disclosures where there is a definition of a closed-end lease in ‘‘for example.’’ subsequent change in the primary use. comment app. C–3 is deleted because a Section 213.1—Authority, Scope, Purpose, 2. Period of time. To be a consumer lease, definition has been added in the and Enforcement the initial term of the lease must be more regulation. than four months. Thus, a lease of personal 1. Foreign applicability. Regulation M property for four months, three months or on List of Subjects in 12 CFR Part 213 applies to all persons (including branches of a month-to-month or week-to-week basis foreign banks or leasing companies located in (even though the lease actually extends Advertising, Federal Reserve System, the United States) that offer consumer leases beyond four months) is not a consumer lease Reporting and recordkeeping to residents of any state (including foreign and is not subject to the disclosure requirements, Truth in Lending. nationals) as defined in § 213.2(p). The requirements of the regulation. However, a regulation does not apply to a foreign branch For the reasons set forth in the lease that imposes a penalty for not of a U.S. bank or to a leasing company continuing the lease beyond four months is preamble, 12 CFR part 213 is amended leasing to a U.S. citizen residing or visiting as follows: considered to have a term of more than four abroad or to a foreign national abroad. months. To illustrate: PART 213ÐCONSUMER LEASING Section 213.2—Definitions i. A three-month lease extended on a (REGULATION M) month-to-month basis and terminated after 2(b) Advertisement one year is not subject to the regulation. 1. The authority citation for part 213 1. Coverage. The term advertisement ii. A month-to-month lease with a penalty, continues to read as follows: includes messages inviting, offering, or such as the forfeiture of a security deposit for otherwise generally announcing to terminating before one year, is subject to the Authority: 15 U.S.C. 1604. prospective customers the availability of regulation. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16059

3. Total contractual obligation. The total 2(g) Lessee the lessee’s liability at the end of the lease contractual obligation is not necessarily the 1. Guarantors. Guarantors are not lessees term or at early termination in one of the same as the total of payments disclosed for purposes of the regulation. three ways stated in § 213.2(m). If the lessor under § 213.4(e). The total contractual sells the property prior to making the obligation includes nonrefundable amounts a 2(h) Lessor determination about liability, the price lessee is contractually obligated to pay to the 1. Arranger of a lease. To ‘‘arrange’’ for the received for the property (or the fair market lessor, but excludes items such as: lease of personal property means to provide value) is the realized value. If the lessor does i. Residual value amounts or purchase- or offer to provide a lease that is or will be not sell the property prior to making that option prices; extended by another person under a business determination, the highest offer or the fair ii. Amounts collected by the lessor but or other relationship pursuant to which the market value is the realized value. paid to a third party, such as taxes, licenses, person arranging the lease (a) receives or will 3. Determination of realized value. Disposition charges are not subtracted in and registration fees. receive a fee, compensation, or other determining the realized value but amounts 4. Credit sale. The regulation does not consideration for the service or (b) has knowledge of the lease terms and participates attributable to taxes may be subtracted. cover a lease that meets the definition of a 4. Offers. In determining the highest offer credit sale in Regulation Z, 12 CFR in the preparation of the contract documents required in connection with the lease. To for disposition, the lessor may disregard 226.2(a)(16), which is defined, in part, as a offers that an offeror has withdrawn or is bailment or lease (unless terminable without illustrate: i. An automobile dealer who, pursuant to unable or unwilling to perform. penalty at any time by the consumer) under 5. Lessor’s appraisal. See commentary to which the consumer: a business relationship, completes the necessary lease agreement before forwarding § 213.4(l). i. Agrees to pay as compensation for use a it for execution to the leasing company (to sum substantially equivalent to, or in excess 2(o) Security Interest and Security whom the obligation is payable on its face) of, the total value of the property and 1. Disclosable interests. For purposes of is ‘‘arranging’’ for the lease. services involved; and disclosure, a security interest is an interest ii. An automobile dealer who, without ii. Will become (or has the option to taken by the lessor to secure performance of receiving a fee for the service, refers a the lessee’s obligation. For example, if a bank become), for no additional consideration or customer to a leasing company that will that is not a lessor makes a loan to a leasing for nominal consideration, the owner of the prepare all relevant contract documents is company and takes assignments of consumer property upon compliance with the not ‘‘arranging’’ for the lease. leases generated by that company to secure agreement. 2. Consideration. The term ‘‘other the loan, the bank’s security interest in the 5. Agricultural purpose. Agricultural consideration’’ as used in comment 2(h)–1 purpose means a purpose related to the lessor’s receivables is not a security interest refers to an actual payment corresponding to for purposes of this regulation. production, harvest, exhibition, marketing, a fee or similar compensation and not to transportation, processing, or manufacture of 2. General coverage. An interest the lessor intangible benefits, such as the advantage of may have in leased property must be agricultural products by a natural person increased business, which may flow from the who cultivates, plants, propagates, or disclosed only if it is considered a security relationship between the parties. interest under state or other applicable law. nurtures those agricultural products, 3. Assignees. An assignee may be a lessor including but not limited to the acquisition The term includes, but is not limited to, for purposes of the regulation in security interests under the Uniform of personal property and services used circumstances where the assignee has Commercial Code; real property mortgages, primarily in farming. Agricultural products substantial involvement in the lease deeds of trust, and other consensual or include horticultural, viticultural, and dairy transaction. See cf. Ford Motor Credit Co. v. confessed liens whether or not recorded; products, livestock, wildlife, poultry, bees, Cenance, 452 U.S. 155 (1981) (held that an mechanic’s, materialman’s, artisan’s, and forest products, fish and shellfish, and any assignee was a creditor for purposes of the other similar liens; vendor’s liens in both real products thereof, including processed and pre-1980 Truth in Lending Act and and personal property; liens on property manufactured products, and any and all Regulation Z because of its substantial arising by operation of law; and any interest products raised or produced on farms and involvement in the credit transaction). in a lease when used to secure payment or any processed or manufactured products 4. Multiple lessors. See the commentary to performance of an obligation. thereof. § 213.3(c). 3. Insurance exception. The lessor’s right 6. Organization or other entity. A consumer 2(j) Organization to insurance proceeds or unearned insurance lease does not include a lease made to an premiums is not a security interest for organization such as a corporation or a 1. Coverage. The term ‘‘organization’’ purposes of this regulation. government agency or instrumentality. Such includes joint ventures and persons operating a lease is not covered by the regulation even under a business name. Section 213.3—General Disclosure Requirements if the leased property is used (by an 2(l) Personal Property employee, for example) primarily for 3(a) General Requirements personal, family or household purposes, or is 1. Coverage. Whether property is personal property depends on state or other applicable 1. Basis of disclosures. Disclosures must guaranteed by or subsequently assigned to a law. For example, a mobile home or reflect the terms of the legal obligation natural person. houseboat may be considered personal between the parties. For example: 7. Leases of personal property incidental to property in one state but real property in i. In a three-year lease with no penalty for a service. The following leases of personal another. termination after a one-year minimum term, property are deemed incidental to a service disclosures are based on the full three-year and thus are not subject to the regulation: 2(m) Realized Value term of the lease. The one-year minimum i. Home entertainment systems requiring 1. General. Realized value refers to either term is only relevant to the early termination the consumer to lease equipment that enables the retail or wholesale value of the leased provisions of §§ 213.4 (g)(1), (k) and (l). a television to receive the transmitted property at early termination or at the end of 2. Clear and conspicuous standard. The programming. the lease term. It is not a required disclosure. clear and conspicuous standard requires that ii. Security alarm systems requiring the Realized value is relevant only to leases in disclosures be reasonably understandable. installation of leased equipment intended to which the lessee’s liability at early For example, the disclosures must be monitor unlawful entries into a home and in termination or at the end of the lease term presented in a way that does not obscure the some cases to provide fire protection. typically is based on the difference between relationship of the terms to each other; iii. Propane gas service where the the residual value (or the adjusted lease appendix A of this part contains model forms consumer must lease a propane tank to balance) of the leased property and its that meet this standard. In addition, although receive the service. realized value. no minimum typesize is required, the 8. Safe deposit boxes. The lease of a safe 2. Options. Subject to the contract and to disclosures must be legible, whether deposit box is not a consumer lease under state or other applicable law, the lessor may typewritten, handwritten, or printed by § 213.2(e). calculate the realized value in determining computer. 16060 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

3. Multipurpose disclosure forms. A lessor given at the same time. Alternatively, all reasonably available to the lessor (see may use a multipurpose disclosure form disclosures may be provided in a separate § 213.4(m)). A lessor should generally use an provided the lessor is able to designate the document or in the lease contract. accepted trade publication listing estimated specific disclosures applicable to a given 2. Additional information among current or future market prices for the leased transaction, consistent with the requirement segregated disclosures. The disclosures property unless other information or a that disclosures be clearly and conspicuously required to be segregated may contain only reasonable belief based on its experience provided. the information required or permitted to be provides the better information. For example: 4. Number of transactions. Lessors have included among the segregated disclosures. i. An automobile lessor offering a three- flexibility in handling lease transactions that 3. Substantially similar. See commentary year open-end lease assigns a wholesale may be viewed as multiple transactions. For to appendix A of this part. value to the vehicle at the end of the lease term. The lessor may disclose as an estimate example: 3(a)(3) Timing of Disclosures i. When a lessor leases two items to the a wholesale value derived from a generally same lessee on the same day, the lessor may 1. Consummation. When a contractual accepted trade publication listing current disclose the leases as either one or two lease relationship is created between the lessor and wholesale values. transactions. the lessee is a matter to be determined under ii. Same facts as above, except that the ii. When a lessor sells insurance or other state or other applicable law. lessor discloses an estimated value derived incidental services in connection with a by adjusting the residual value quoted in the 3(b) Additional Information; Nonsegregated trade publication because, in its experience, lease, the lessor may disclose in one of two Disclosures ways: as a single lease transaction (in which the trade publication values either understate case Regulation M, not Regulation Z, 1. State law disclosures. A lessor may or overstate the prices actually received in disclosures are required) or as a lease include in the nonsegregated disclosures any local used-vehicle markets. The lessor may adjust estimated values quoted in trade transaction and a credit transaction. state law disclosures that are not inconsistent publications if the lessor reasonably believes iii. When a lessor includes an outstanding with the act and regulation under § 213.9 as long as, in accordance with the standard set based on its experience that the values are lease or credit balance in a lease transaction, forth in § 213.3(b) for additional information, understated or overstated. the lessor may disclose the outstanding the state law disclosures are not used or 4. Retail or wholesale value. The lessor balance as part of a single lease transaction placed to mislead or confuse or detract from may choose either a retail or a wholesale (in which case Regulation M, not Regulation any disclosure required by the regulation. value in estimating the value of leased Z, disclosures are required) or as a lease property at termination of an open-end lease transaction and a credit transaction. 3(c) Multiple Lessors or Lessees provided the choice is consistent with the 3(a)(1) Form of Disclosures 1. Multiple lessors. If a single lessor lessor’s general practice when determining provides disclosures to a lessee on behalf of the value of the property at the end of the 1. Cross-references. Lessors may include in several lessors, all disclosures for the lease term. The lessor should indicate the nonsegregated disclosures a cross- transaction must be given, even if the lessor whether the value disclosed is a retail or reference to items in the segregated making the disclosures would not otherwise wholesale value. disclosures rather than repeat those items. A have been obligated to make a particular 5. Labelling estimates. Generally, only the lessor may include in the segregated disclosure. disclosure for which the exact information is disclosures numeric or alphabetic unknown is labelled as an estimate. designations as cross-references to related 3(d) Use of Estimates Nevertheless, when several disclosures are information so long as such references do not 3(d)(1) Standard affected because of the unknown obscure or detract from the segregated information, the lessor has the option of disclosures. 1. Time of estimated disclosure. The lessor labelling as an estimate every affected 2. Identification of parties. While may, after making a reasonable effort to disclosure or only the disclosure primarily disclosures must be made clearly and obtain information, use estimates to make affected. conspicuously, lessors are not required to use disclosures if necessary information is the word ‘‘lessor’’ and ‘‘lessee’’ to identify unknown or unavailable at the time the 3(e) Effect of Subsequent Occurrence the parties to the lease transaction. disclosures are made. For example: 1. Subsequent occurrences. Examples of 3. Lessor’s address. The lessor must be i. Section 213.4(n) requires the lessor to subsequent occurrences include: identified by name; an address (and disclose the total amount payable by the i. An agreement between the lessee and telephone number) may be provided. lessee during the lease term for official and lessor to change from a monthly to a weekly 4. Multiple lessors and lessees. In license fees, registration, certificate of title payment schedule. transactions involving multiple lessors and fees, or taxes. If these amounts are subject to ii. An increase in official fees or taxes. multiple lessees, a single lessor may make all increases or decreases over the course of the iii. An increase in insurance premiums or the disclosures to a single lessee as long as lease, the lessor may estimate the disclosures coverage caused by a change in the law. the disclosure statement identifies all the based on the rates or charges in effect at the iv. Late delivery of an automobile caused lessors and lessees. time of the disclosure. by a strike. 5. Lessee’s signature. The regulation does 2. Basis of estimates. Estimates must be 2. Redisclosure. When a disclosure not require that the lessee sign the disclosure made on the basis of the best information becomes inaccurate because of a subsequent statement, whether disclosures are separately reasonably available at the time disclosures occurrence, the lessor need not make new provided or are part of the lease contract. are made. The ‘‘reasonably available’’ disclosures unless new disclosures are Nevertheless, to provide evidence that standard requires that the lessor, acting in required under § 213.5. disclosures are given before a lessee becomes good faith, exercise due diligence in 3. Lessee’s failure to perform. The lessor obligated on the lease transaction, the lessor obtaining information. The lessor may rely does not violate the regulation if a previously may, for example, ask the lessee to sign the on the representations of other parties. For given disclosure becomes inaccurate when a disclosure statement or an acknowledgement example, the lessor might look to the lessee fails to perform obligations under the of receipt, may place disclosures that are consumer to determine the purpose for contract and a lessor takes actions that are included in the lease documents above the which leased property will be used, to necessary and proper in such circumstances to protect its interest. For example, the lessee’s signature, or include instructions insurance companies for the cost of addition of insurance or a security interest by alerting a lessee to read the disclosures prior insurance, or to an automobile manufacturer the lessor because the lessee has not to signing the lease. or dealer for the date of delivery. 3. Residual value of leased property at performed obligations contracted for in the 3(a)(2) Segregation of Certain Disclosures termination. In an open-end lease where the lease is not a violation of the regulation. 1. Location. The segregated disclosures lessee’s liability at the end of the lease term Section 213.4—Content of Disclosures referred to in § 213.3(a)(2) may be provided is based on the residual value of the leased on a separate document and the other property as determined at consummation, the 4(a) Description of Property required disclosures may be provided in the estimate of the residual value must be 1. Placement of description. Although the lease contract, so long as all disclosures are reasonable and based on the best information description of leased property may not be Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16061 included among the segregated disclosures, a 4. Relationship to other provisions. The lessee’s option to receive an itemization. The lessor may choose to place the description other charges mentioned in this paragraph gross capitalized cost must be itemized by directly above the segregated disclosures. are charges that are not required to be type and amount. The lessor may include in disclosed under some other provision of the itemization an identification of the items 4(b) Amount Due at Lease Signing or § 213.4. To illustrate: and amounts of some or all of the items Delivery i. The price of a mechanical breakdown contained in the agreed upon value of the 1. Consummation. See commentary to protection (MBP) contract is sometimes vehicle. The itemization must be provided at § 213.3(a)(3). disclosed as an ‘‘other charge.’’ Nevertheless, the same time as the other disclosures 2. Capitalized cost reduction. A capitalized the price of MBP is sometimes reflected in required by § 213.4, but it may not be cost reduction is a payment in the nature of the periodic payment disclosure under included among the segregated disclosures. a downpayment on the leased property that § 213.4(c) or in states where MBP is regarded reduces the amount to be capitalized over the as insurance, the cost is be disclosed in 4(f)(8) Lease Term term of the lease. This amount does not accordance with § 213.4(o). 1. Definition. Under § 213.4(f)(8) the ‘‘lease include any amounts included in a periodic 5. Lessee’s liabilities at the end of the lease term’’ refers to the number of periodic payment paid at lease signing or delivery. term. Liabilities that the lessor imposes upon payments. 3. ‘‘Negative’’ equity trade-in allowance. If the lessee at the end of the scheduled lease 4(g) Early Termination an amount owed on a prior lease or credit term and that must be disclosed under balance exceeds the agreed upon value of a § 213.4(d) include disposition and ‘‘pick-up’’ 4(g)(1) Conditions and Disclosure of trade-in, the difference is not reflected as a charges. Charges negative trade-in allowance under § 213.4(b). 6. Optional ‘‘disposition’’ charges. 1. Reasonableness of charges. See the The lessor may disclose the trade-in Disposition and similar charges that are commentary to § 213.4(q). allowance as zero or not applicable, or may anticipated by the parties as an incident to 2. Description of the method. Section leave a blank line. the normal operation of the lease agreement 213.4(g)(1) requires a full description of the 4. Rebates. Only rebates applied toward an must be disclosed under § 213.4(d). If, under method of determining an early termination amount due at lease signing or delivery are a lease agreement, a lessee may return leased charge. The lessor should attempt to provide required to be disclosed under § 213.4(b). property to various locations, and the lessor consumers with clear and understandable 5. Balance sheet approach. In motor- charges a disposition fee depending upon the descriptions of its early termination charges. vehicle leases, the total for the column location chosen, under § 213.4(d), the lessor Descriptions that are full, accurate, and not labeled ‘‘total amount due at lease signing or must disclose the highest amount charged. In intended to be misleading will comply with delivery’’ must equal the total for the column such circumstances, the lessor may also § 213.4(g)(1), even if the descriptions are labeled ‘‘how the amount due at lease signing include a brief explanation of the fee complex. In providing a full description of an or delivery will be paid.’’ structure in the segregated disclosure. For early termination method, a lessor may use 6. Amounts to be paid in cash. The term example, if no fee or a lower fee is imposed the name of a generally accepted method of cash is intended to include payments by for returning a leased vehicle to the computing the unamortized cost portion (also check or other payment methods in addition originating dealer as opposed to another known as the ‘‘adjusted lease balance’’) of its to currency; however, a lessor may add a line location, that fact may be disclosed. By early termination charges. For example, a item under the column ‘‘how the amount due contrast, if the terms of the lease treat the lessor may state that the ‘‘constant yield’’ at lease signing or delivery will be paid’’ for return of the leased property to a location method will be utilized in obtaining the non-currency payments such as credit cards. outside the lessor’s service area as a default, adjusted lease balance, but must specify how the fee imposed is not disclosed as an ‘‘other 4(c) Payment Schedule and Total Amount that figure, and any other term or figure, is charge,’’ although it may be required to be of Periodic Payments used in computing the total early termination disclosed under § 213.4(q). 1. Periodic payments. The phrase ‘‘number, charge imposed upon the consumer. amount, and due dates or periods of 4(e) Total of payments Additionally, if a lessor refers to a named payments’’ requires the disclosure of all 1. Open-end lease. The additional method in this manner, the lessor must payments that are made at regular intervals statement is required under § 213.4(e) for provide a written explanation of that method and generally derived from rent, capitalized open-end leases because, with some if requested by the consumer. The lessor has or amortized amounts such as depreciation, limitations, a lessee is liable at the end of the the option of providing the explanation as a and other amounts that are collected by the lease term for the difference between the matter of course in the lease documents or on lessor at the same interval(s), including for residual and realized values of the leased a separate document. example taxes, maintenance, and insurance property. 3. Timing of written explanation of a charges. Other periodic payments may, but named method. While a lessor may provide need not, be disclosed under § 213.4(c). 4(f) Payment Calculation an address or telephone number for the 1. Motor-vehicle lease. Whether leased consumer to request a written explanation of 4(d) Other charges property is a motor vehicle is determined by the named method used to calculate the 1. Coverage. Section 213.4(d) requires the state or other applicable law. adjusted leased balance, if at consummation disclosure of charges that are anticipated by a consumer requests such an explanation, the the parties incident to the normal operation 4(f)(1) Gross Capitalized Cost lessor must provide a written explanation at of the lease agreement. If a lessor is unsure 1. Agreed upon value of the vehicle. The that time. If a consumer requests an whether a particular fee is an ‘‘other charge,’’ agreed upon value of a motor vehicle explanation after consummation, the lessor the lessor may disclose the fee as such includes the amount of capitalized items must provide a written explanation within a without violating § 213.4(d) or the such as charges for vehicle accessories and reasonable time after the request is made. segregation rule under § 213.3(a)(2). options, and delivery or destination charges. 4. Default. When default is a condition for 2. Excluded charges. This section does not The lessor may also include taxes and fees early termination of a lease, default charges require disclosure of charges that are for title, licenses, and registration that are must be disclosed under § 213.4(g)(1). See the imposed when the lessee terminates early, capitalized. Charges for service or commentary to § 213.4(q). fails to abide by, or modifies the terms of the maintenance contracts, insurance products, 5. Lessee’s liability at early termination. existing lease agreement, such as charges for: guaranteed automobile protection, or an When the lessee is liable for the difference i. Late payment. outstanding balance on a prior lease or credit between the unamortized cost and the ii. Default. transaction are not included in the agreed realized value at early termination, the iii. Early termination. upon value. method of determining the amount of the iv. Deferral of payments. 2. Itemization of the gross capitalized cost. difference must be disclosed under v. Extension of the lease. The lessor may choose to provide the § 213.4(g)(1). 3. Third-party fees and charges. Third- itemization of the gross capitalized cost only party fees or charges collected by the lessor on request or may provide the itemization as 4(h) Maintenance Responsibilities on behalf of third parties, such as taxes, are a matter of course. In the latter case, the 1. Standards for wear and use. No not disclosed under § 213.4(d). lessor need not provide a statement of the disclosure is required if a lessor does not set 16062 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations standards or impose charges for wear and use determine its realized value, that appraisal disclosure under § 213.4(c) and itemized (such as excess mileage). does not suffice for purposes of section under § 213.4(f)(10). 183(c) of the act; the lessor must disclose the iii. A tax payable by the lessor that is 4(i) Purchase Option lessee’s right to an independent appraisal passed on to the consumer and is reflected 1. Mandatory disclosure of no purchase under § 213.4(l). in the lease documentation must be disclosed option. Generally the lessor need only make 3. Retail or wholesale. In providing the under § 213.4(n). A tax payable by the lessor the specific required disclosures that apply to disclosures in § 213.4(l), a lessor must and absorbed as a cost of doing business need a transaction. In the case of a purchase option indicate whether the wholesale or retail not be disclosed. disclosure, however, a lessor must disclose appraisal value will be used. iv. Taxes charged in connection with the affirmatively that the lessee has no option to 4. Time restriction on appraisal. The exercise of a purchase option are disclosed purchase the leased property if the purchase regulation does not specify a time period in under § 213.4(i), not § 213.4(n). option is inapplicable. which the lessee must exercise the appraisal 2. Existence of purchase option. Whether a right. The lessor may require a lessee to 4(o) Insurance purchase option exists under the lease is obtain the appraisal within a reasonable time 1. Coverage. If insurance is obtained determined by state or other applicable law. after termination of the lease. through the lessor, information on the type The lessee’s right to submit a bid to purchase and amount of insurance coverage (whether property at termination of the lease is not an 4(m) Liability at end of Lease Term Based voluntary or required) as well as the cost, option to purchase under § 213.4(i) if the on Residual Value must be disclosed. lessor is not required to accept the lessee’s 1. Open-end leases. Section 213.4(m) 2. Lessor’s insurance. Insurance purchased bid and the lessee does not receive applies only to open-end leases. by the lessor primarily for its own benefit, preferential treatment. 2. Lessor’s payment of attorney’s fees. and absorbed as a business expense and not 3. Purchase-option fee. A purchase-option Section 183(a) of the act requires that the separately charged to the lessee, need not be fee is disclosed under § 213.4(i), not lessor pay the lessee’s attorney’s fees in all disclosed under § 213.4(o) even if it provides § 213.4(d). The fee may be separately actions under § 213.4(m), whether successful an incidental benefit to the lessee. itemized or disclosed as part of the purchase- or not. 3. Mechanical breakdown protection and option price. other products. Whether products purchased 4. Official fees and taxes. Official fees such 4(m)(1) Rent and other charges in conjunction with a lease, such as as those for taxes, licenses, and registration 1. General. This disclosure is intended to mechanical breakdown protection (MBP) or charged in connection with the exercise of a represent the cost of financing an open-end guaranteed automobile protection (GAP), purchase option may be disclosed under lease based on charges and fees that the should be treated as insurance is determined § 213.4(i) as part of the purchase-option price lessor requires the lessee to pay. Examples of by state or other applicable law. In states that (with or without a reference to their disclosable charges, in addition to the rent do not treat MBP or GAP as insurance, inclusion in that price) or may be separately charge, include acquisition, disposition, or § 213.4(o) disclosures are not required. In disclosed and itemized by category. assignment fees. Charges imposed by a third Alternatively, a lessor may provide a such cases the lessor may, however, disclose party whose services are not required by the this information in accordance with the statement indicating that the purchase-option lessor (such as official fees and voluntary price does not include fees for tags, taxes, additional information provision in insurance) are not included in the § 213.3(b). For MBP insurance contracts not and registration. § 213.4(m)(1) disclosure. 5. Purchase-option price. Lessors must capped by a dollar amount, lessors may disclose the purchase-option price as a sum 4(m)(2) Excess liability describe coverage by referring to a limitation certain or as a sum certain to be determined by mileage or time period, for example, by 1. Coverage. The disclosure limiting the indicating that the mechanical breakdown at a future date by reference to a readily lessee’s liability for the value of the leased available independent source. The reference contract insures parts of the automobile for property does not apply in the case of early up to 100,000 miles. should provide sufficient information so that termination. the lessee will be able to determine the actual 2. Leases with a minimum term. If a lease 4(p) Warranties or Guarantees price when the option becomes available. has an alternative minimum term, the Statements of a purchase price as the 1. Brief identification. The statement disclosures governing the liability limitation identifying warranties may be brief and need ‘‘negotiated price’’ or the ‘‘fair market value’’ are not applicable for the minimum term. do not comply with the requirements of not describe or list all warranties applicable § 213.4(i). 3. Charges not subject to rebuttable to specific parts such as for air conditioning, presumption. The limitation on liability radio, or tires in an automobile. For example, 4(j) Statement referencing nonsegregated applies only to liability at the end of the manufacturer’s warranties may be identified disclosures lease term that is based on the simply by a reference to the standard 1. Content. A lessor may delete difference between the residual value of manufacturer’s warranty. If a lessor provides inapplicable items from the disclosure. For a comprehensive list of warranties that may the leased property and its realized not all apply, to comply with § 213.4(p) the example, if a lease contract does not include value. The regulation does not preclude a security interest, the reference to a security lessor must indicate which warranties apply interest may be omitted. a lessor from recovering other charges or, alternatively, which warranties do not from the lessee at the end of the lease apply. 4(l) Right of appraisal term. Examples of such charges include: 2. Warranty disclaimers. Although a 1. Disclosure inapplicable. The lessee does i. Disposition charges. disclaimer of warranties is not required by not have the right to an independent ii. Excess mileage charges. the regulation, the lessor may give a appraisal merely because the lessee is liable iii. Late payment and default charges. disclaimer as additional information in at the end of the lease term or at early iv. In simple-interest accounting leases, accordance with § 213.3(b). termination for unreasonable wear or use. amount by which the unamortized cost 3. State law. Whether an express warranty Thus, the disclosure under § 213.4(l) does not exceeds the residual value because the lessee or guaranty exists is determined by state or apply. For example: has not made timely payments. other law. i. The automobile lessor might expect a lessee to return an undented car with four 4(n) Fees and taxes 4(q) Penalties and Other Charges for good tires at the end of the lease term. Even 1. Treatment of certain taxes. Taxes paid Delinquency though it may hold the lessee liable for the in connection with the lease are generally 1. Collection costs. The automatic difference between a dented car with bald disclosed under § 213.4(n), but there are imposition of collection costs or attorney fees tires and the value of a car in reasonably exceptions. To illustrate: upon default must be disclosed under good repair, the disclosure under § 213.4(l) is i. Taxes paid by lease signing or delivery § 213.4(q). Collection costs or attorney fees not required. are disclosed under § 213.4(b) and § 213.4(n). that are not imposed automatically, but are 2. Lessor’s appraisal. If the lessor obtains ii. Taxes that are part of a regularly contingent upon expenditures in conjunction an appraisal of the leased property to scheduled payments are reflected in the with a collection proceeding or upon the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16063 employment of an attorney to effect terms of varying durations, one of which will elsewhere in the advertisement. In addition, collection, need not be disclosed. exceed six months beyond the originally with the exception of the notice required by 2. Charges for early termination. When scheduled termination date of the lease, new § 213.4(s), the rate cannot be more prominent default is a condition for early termination of disclosures are required at the than any § 213.4 disclosure stated in the a lease, default charges must also be commencement of the term that will exceed advertisement. disclosed under § 213.4(g)(1). The § 213.4(q) six months beyond the originally scheduled and (g)(1) disclosures may, but need not, be termination date. 7(c) Catalogs and Multi-Page combined. Examples of combined disclosures 2. Content of disclosures for month-to- Advertisements are provided in the model lease disclosure month extensions. The disclosures for a lease 1. General rule. The multiple-page forms in appendix A. extended on a month-to-month basis for more advertisements referred to in § 213.7(c) are 3. Simple-interest leases. In a simple- than six months should reflect the month-to- advertisements consisting of a series of interest accounting lease, the additional rent month nature of the transaction. numbered pages—for example, a supplement charge that accrues on the lease balance to a newspaper. A mailing comprising several when a periodic payment is made after the Section 213.7—Advertising separate flyers or pieces of promotional due date does not constitute a penalty or 7(a) General Rule material in a single envelope is not a single other charge for late payment. Similarly, multiple-page advertisement. 1. Persons covered. All ‘‘persons’’ must continued accrual of the rent charge after 12. Cross-references. A multiple-page comply with the advertising provisions in termination of the lease because the lessee advertisement is a single advertisement this section, not just those that meet the fails to return the leased property does not (requiring only one set of lease disclosures) definition of a lessor in § 213.2(h). Thus, constitute a default charge. But in either case, if it contains a table, chart, or schedule with automobile dealers, merchants, and others if the additional charge accrues at a rate the disclosures required under § 213.7(d)(2) who are not themselves lessors must comply higher than the normal rent charge, the lessor (i) through (v). If one of the triggering terms with the advertising provisions of the must disclose the amount of or the method listed in § 213.7(d)(1) appears in a catalog or regulation if they advertise consumer lease of determining the additional charge under other multiple-page advertisement, the page transactions. Pursuant to section 184(b) of the § 213.4(q). on which the triggering term is used must act, however, owners and personnel of the 4. Extension charges. Extension charges clearly refer to the specific page where the media in which an advertisement appears or that exceed the rent charge in a simple- table, chart, or schedule begins. through which it is disseminated are not interest accounting lease or that are added subject to civil liability for violations under 7(d)(1) Triggering Terms separately are disclosed under § 213.4(q). section 185(b) of the act. 5. Reasonableness of charges. Pursuant to 1. Typical example. When any triggering 2. ‘‘Usually and customarily.’’ Section section 183(b) of the act, penalties or other term appears in a lease advertisement, the 213.7(a) does not prohibit the advertising of charges for delinquency, default, or early additional terms enumerated in § 213.7(d)(2) a single item or the promotion of a new termination may be specified in the lease but (i) through (v) must also appear. In a multi- leasing program, but prohibits the advertising only in an amount that is reasonable in light lease advertisement, an example of one or of terms that are not and will not be of the anticipated or actual harm caused by more typical leases with a statement of all the available. Thus, an advertisement may state the delinquency, default, or early terms applicable to each may be used. The terms that will be offered for only a limited termination, the difficulties of proof of loss, examples must be labeled as such and must period or terms that will become available at and the inconvenience or nonfeasibility of reflect representative lease terms that are a future date. otherwise obtaining an adequate remedy. made available by the lessor to consumers. 7(b) Clear and Conspicuous Standard 4(r) Security Interest 7(d)(2) Additional Terms 1. Standard. The disclosures in an 1. Disclosable security interests. See 1. Third-party fees that vary by state or advertisement in any media must be § 213.2(o) and accompanying commentary to locality. The disclosure of the total amount reasonably understandable. For example, determine what security interests must be due at lease signing or delivery may: very fine print in a television advertisement disclosed. i. Exclude third-party fees, such as taxes, or detailed and very rapidly stated licenses, and registration fees and disclose 4(s) Limitations on Rate Information information in a radio advertisement does that fact; or not meet the clear and conspicuous standard 1. Segregated disclosures. A lease rate may ii. Provide a total that includes third-party if consumers cannot see and read or hear, not be included among the segregated fees based on a particular state or locality as and cannot comprehend, the information disclosures referenced in § 213.3(a)(2). long as that fact and the fact that fees may required to be disclosed. Section 213.5—Renegotiations, Extensions vary by state or locality are disclosed. 7(b)(1) Amount due at Lease Signing or and Assumptions 7(e) Alternative Disclosures—Merchandise Delivery 1. Coverage. Section 213.5 applies only to Tags 1. Itemization not required. Only a total of existing leases that are covered by the 1. Multiple-item leases. Multiple-item amounts due at lease signing or delivery is regulation. It does not apply to the leases that utilize merchandise tags requiring required to be disclosed, not an itemization renegotiation or extension of leases with an additional disclosures may use the alternate of its component parts. Such an itemization initial term of four months or less, because disclosure rule. such leases are not covered by the definition is provided in any transaction-specific of consumer lease in. disclosures provided under § 213.4. 7(f) Alternative Disclosures—Television or § 213.2(e). Whether and when a lease is 2. Prominence rule. Except for a periodic Radio Advertisements payment, oral or written references to satisfied and replaced by a new lease is 7(f)(1) Toll-Free Number or Print determined by state or other applicable law. components of the total due at lease signing or delivery (for example, a reference to a Advertisement 5(b) Extensions capitalized cost reduction, where permitted) 1. Publication in general circulation. A 1. Time of extension disclosures. If a may not be more prominent than the reference to a written advertisement consumer lease is extended for a specified disclosure of the total amount due at lease appearing in a newspaper circulated term greater than six months, new signing or delivery. nationally, for example, USA Today or the disclosures are required at the time the Wall Street Journal, may satisfy the general extension is agreed upon. If the lease is 7(b)(2) Advertisement of a Lease Rate circulation requirement in § 213.7(f)(1)(ii). extended on a month-to-month basis and the 1. Location of statement. The notice 2. Toll-free number, local or collect calls. cumulative extensions exceed six months, required to accompany a percentage rate In complying with the disclosure new disclosures are required at the stated in an advertisement must be placed in requirements of § 213.7(f)(1)(i), a lessor must commencement of the seventh month and at close proximity to the rate without any other provide a toll-free number for nonlocal calls the commencement of each seventh month intervening language or symbols. For made from an area code other than the one thereafter for as long as the extensions example, a lessor may not place an asterisk used in the lessor’s dialing area. continue. If a consumer lease is extended for next to the rate and place the notice Alternatively, a lessor may provide any 16064 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations telephone number that allows a consumer to i. Using the first person, instead of the applicable to McCauley Propeller reverse the phone charges when calling for second person, in referring to the lessee. Systems 1A103/TCM series propellers. information. ii. Using ‘‘lessee,’’ ‘‘lessor,’’ or names This action supersedes priority letter 3. Multi-purpose number. When an instead of pronouns. AD 95–21–01 that currently requires advertised toll-free number responds with a iii. Rearranging the sequence of the recording, lease disclosures must be provided nonsegregated disclosures. visual inspections for cracks in the early in the sequence to ensure that the iv. Incorporating certain state ‘‘plain propeller hub of certain propellers using consumer receives the required disclosures. English’’ requirements. a 10X power magnifying-glass. This For example, in providing several dialing v. Deleting inapplicable disclosures by action requires an initial inspection for options—such as providing directions to the blocking out, filling in ‘‘N/A’’ (not cracks in the propeller hub in lessor’s place of business—the option applicable) or ‘‘0,’’ crossing out, leaving accordance with a dye penetrant allowing the consumer to request lease blanks, checking a box for applicable items, inspection procedure, replacement of disclosures should be provided early in the or circling applicable items. (This should propellers with cracks that do not meet telephone message to ensure that the option facilitate use of multi-purpose standard to request disclosures is not obscured by forms.) acceptable limits, rework of propellers other information. vi. Adding language or symbols to indicate with cracks that meet acceptable limits, 4. Statement accompanying toll free estimates. and repetitive inspections of all affected number. Language must accompany a vii. Adding numeric or alphabetic propellers. This amendment is telephone and television number indicating designations. prompted by development of a dye that disclosures are available by calling the viii. Rearranging the disclosures into penetrant inspection and rework toll-free number, such as ‘‘call 1–800–000– vertical columns, except for § 213.4 (b) procedures. The actions specified by 0000 for details about costs and terms.’’ through (e) disclosures. this AD are intended to prevent ix. Using icons and other graphics. Section 213.8—Record Retention 3. Model closed-end or net vehicle lease propeller separation due to hub fatigue 1. Manner of retaining evidence. A lessor disclosure. Model A–2 is designed for a cracking, which can result in loss of must retain evidence of having performed closed-end or net vehicle lease. Under the control of the aircraft. required actions and of having made required ‘‘Early Termination and Default’’ provision a DATES: Effective April 24, 1997. disclosures. Such records may be retained in reference to the lessee’s right to an The incorporation by reference of paper form, on microfilm, microfiche, or independent appraisal of the leased vehicle certain publications listed in the computer, or by any other method designed under § 213.4(l) is included for those closed- regulations is approved by the Director to reproduce records accurately. The lessor end leases in which the lessee’s liability at need retain only enough information to of the Federal Register as of April 24, early termination is based on the vehicle’s 1997. reconstruct the required disclosures or other realized value. records. 4. Model furniture lease disclosures. Model Comments for inclusion in the Rules Docket must be received on or before Section 213.9—Relation to State Laws A–3 is a closed-end lease disclosure statement designed for a typical furniture June 3, 1997. 1. Exemptions granted. Effective October 1, lease. It does not include a disclosure of the ADDRESSES: Submit comments in 1982, the Board granted the following appraisal right at early termination required triplicate to the Federal Aviation exemptions from portions of the Consumer under § 213.4(l) because few closed-end Leasing Act: Administration (FAA), New England furniture leases base the lessee’s liability at Region, Office of the Assistant Chief i. Maine. Lease transactions subject to the early termination on the realized value of the Maine Consumer Credit Code and its Counsel, Attention: Rules Docket No. leased property. The disclosure should be implementing regulations are exempt from added if it is applicable. 97–ANE–06, 12 New England Executive chapters 2, 4, and 5 of the federal act. (The Park, Burlington, MA 01803–5299. By order of the Board of Governors of the exemption does not apply to transactions in Comments may also be sent via the which a federally chartered institution is a Federal Reserve System, acting through the Secretary of the Board under delegated Internet using the following address: ‘‘9- lessor.) [email protected]’’. Comments ii. Oklahoma. Lease transactions subject to authority, March 31, 1997. the Oklahoma Consumer Credit Code are William W. Wiles, sent via the Internet must contain the exempt from chapters 2 and 5 of the federal Secretary of the Board. docket number in the subject line. The service information referenced in act. (The exemption does not apply to [FR Doc. 97–8574 Filed 4–3–97; 8:45 am] sections 132 through 135 of the federal act, this AD may be obtained from McCauley nor does it apply to transactions in which a BILLING CODE 6210±01±P Propeller Systems 3535 McCauley federally chartered institution is a lessor.) Drive, P.O. Drawer 5053, Vandalia, OH Appendix A—Model Forms 45377–5053; telephone (937) 890–5246, DEPARTMENT OF TRANSPORTATION fax (937) 890–6001. This information 1. Permissible changes. Although use of the may be examined at the FAA, New model forms is not required, lessors using Federal Aviation Administration them properly will be deemed to be in England Region, Office of the Assistant compliance with the regulation. Generally, 14 CFR Part 39 Chief Counsel, 12 New England lessors may make certain changes in the Executive Park, Burlington, MA; or at format or content of the forms and may delete [Docket No. 97±ANE±06; Amendment 39± the Office of the Federal Register, 800 any disclosures that are inapplicable to a 9973, AD 97±06±16] North Capitol Street, NW., suite 700, transaction without losing the act’s RIN 2120±AA64 Washington, DC. protection from liability. For example, the FOR FURTHER INFORMATION CONTACT: model form based on monthly periodic Airworthiness Directives; McCauley payments may be modified for single- Carrie Sumner, Aerospace Engineer, payment lease transactions or for quarterly or Propeller Systems 1A103/TCM Series Chicago Aircraft Certification Office, other periodic payments. The content, Propellers FAA, Small Airplane Directorate, 2300 format, and headings for the segregated AGENCY: Federal Aviation East Devon Ave., Room 323, Des disclosures must be substantially similar to Administration, DOT. Plaines, IL 60018; telephone (847) 294– those contained in the model forms; 7132, fax (847) 294-7834. therefore, any changes should be minimal. ACTION: Final rule; request for The changes to the model forms should not comments. SUPPLEMENTARY INFORMATION: On be so extensive as to affect the substance and September 29, 1995, the Federal the clarity of the disclosures. SUMMARY: This amendment adopts a Aviation Administration (FAA) issued 2. Examples of acceptable changes. new airworthiness directive (AD) that is priority letter airworthiness directive Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16065

(AD) 95–21–01, applicable to McCauley the closing date for comments will be Adoption of the Amendment Propeller Systems 1A103/TCM series considered, and this rule may be Accordingly, pursuant to the propellers, which requires visual amended in light of the comments authority delegated to me by the inspections for cracks in the propeller received. Factual information that Administrator, the Federal Aviation hub of certain propellers using a 10X supports the commenter’s ideas and Administration amends part 39 of the power magnifying-glass. That action suggestions is extremely helpful in Federal Aviation Regulations (14 CFR was prompted by reports of hub evaluating the effectiveness of the AD part 39) as follows: cracking on the front hub face near the action and determining whether attachment bolt holes on certain additional rulemaking action would be PART 39ÐAIRWORTHINESS propellers. That condition, if not needed. DIRECTIVES corrected, could result in propeller Comments are specifically invited on separation due to hub fatigue cracking, 1. The authority citation for part 39 the overall regulatory, economic, continues to read as follows: which can result in loss of control of the environmental, and energy aspects of aircraft. the rule that might suggest a need to Authority: 49 USC 106(g), 40113, 44701. Since the issuance of that priority modify the rule. All comments letter AD, the manufacturer has § 39.13 [Amended] submitted will be available, both before developed a improved dye penetrant 2. Section 39.13 is amended by and after the closing date for comments, inspection procedure that will more adding the following new airworthiness in the Rules Docket for examination by accurately discover cracking. In directive: interested persons. A report that addition, the manufacturer has summarizes each FAA-public contact 97–06–16 McCauley Propeller Systems: developed rework procedures for concerned with the substance of this AD Amendment 39–9973. Docket No. 97– propellers that do not exhibit severe ANE–06. Supersedes AD 95–21–01. will be filed in the Rules Docket. cracking. Applicability: McCauley Propeller Systems The FAA has reviewed and approved Commenters wishing the FAA to 1A103/TCM series propellers with numeric the technical contents of McCauley acknowledge receipt of their comments serial number 770001 through 777390; and Propeller Systems Alert Service Bulletin submitted in response to this notice propellers with alpha-numeric serial number (ASB) No. 221B, dated December 16, must submit a self-addressed, stamped BC001 up to, but not including KC001; 1996, that describes procedures for dye postcard on which the following installed on but not limited to Cessna 152, penetrant inspections and rework of statement is made: ‘‘Comments to Cessna A152, Reims F152, and Reims FA152 affected propellers. Docket Number 97–ANE–06.’’ The series aircraft. All alpha-numeric serial number propellers beginning with the letters Since an unsafe condition has been postcard will be date stamped and ‘‘B’’ through ‘‘J’’ are affected by this AD. identified that is likely to exist or returned to the commenter. Note 1: This airworthiness directive (AD) develop on other propellers of this same The regulations adopted herein will applies to each propeller identified in the type design, this AD supersedes priority not have substantial direct effects on the preceding applicability provision, regardless letter AD 95–21–01 to require an initial States, on the relationship between the of whether it has been modified, altered, or inspection for cracks in the propeller national government and the States, or repaired in the area subject to the hub in accordance with a an improved on the distribution of power and requirements of this AD. For propellers that dye penetrant inspection procedure, responsibilities among the various have been modified, altered, or repaired so replacement of propellers with cracks that the performance of the requirements of levels of government. Therefore, in this AD is affected, the owner/operator must that do not meet acceptable limits, accordance with Executive Order 12612, rework of propellers with cracks that request approval for an alternative method of it is determined that this final rule does compliance in accordance with paragraph (b) meet acceptable limits, and repetitive not have sufficient federalism of this AD. The request should include an inspections of all affected propellers. implications to warrant the preparation assessment of the effect of the modification, The actions are required to be of a Federalism Assessment. alteration, or repair on the unsafe condition accomplished in accordance with the The FAA has determined that this addressed by this AD; and, if the unsafe ASB described previously. condition has not been eliminated, the Since a situation exists that requires regulation is an emergency regulation request should include specific proposed the immediate adoption of this that must be issued immediately to actions to address it. regulation, it is found that notice and correct an unsafe condition in aircraft, Compliance: Required as indicated, unless opportunity for prior public comment and is not a ‘‘significant regulatory accomplished previously. hereon are impracticable, and that good action’’ under Executive Order 12866. It To prevent propeller separation due to hub cause exists for making this amendment has been determined further that this fatigue cracking, which can result in loss of effective in less than 30 days. action involves an emergency regulation control of the aircraft, accomplish the under DOT Regulatory Policies and following: Comments Invited Procedures (44 FR 11034, February 26, (a) Inspect propellers, and rework or replace with a serviceable part, as necessary, Although this action is in the form of 1979). If it is determined that this emergency regulation otherwise would in accordance with Sections II and III of a final rule that involves requirements McCauley Propeller Systems Alert Service affecting flight safety and, thus, was not be significant under DOT Regulatory Bulletin (ASB) No. 221B, dated December 16, preceded by notice and an opportunity Policies and Procedures, a final 1996, as follows: for public comment, comments are regulatory evaluation will be prepared (1) For propellers with 3,000 or more hours invited on this rule. Interested persons and placed in the Rules Docket. A copy time-in-service (TIS), or unknown TIS, on the are invited to comment on this rule by of it, if filed, may be obtained from the effective date of this AD, as follows: submitting such written data, views, or Rules Docket at the location provided (i) Perform an initial dye penetrant arguments as they may desire. under the caption ADDRESSES. inspection in accordance with Section II of the ASB within 50 hours TIS since last visual Communications should identify the List of Subjects in 14 CFR Part 39 inspection performed in accordance with Rules Docket number and be submitted priority letter AD 95–21–01. in triplicate to the address specified Air transportation, Aircraft, Aviation (ii) Thereafter, perform repetitive dye under the caption ADDRESSES. All safety, Incorporation by reference, penetrant inspections in accordance with communications received on or before Safety. Section II of the ASB at intervals not to 16066 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations exceed 800 hours TIS, or 12 calendar months 14 CFR Part 39 Two commenters support the rule as since last dye penetrant inspection, proposed. whichever occurs first. [Docket No. 95±ANE±63; Amendment 39± Although no comments were received (iii) If cracks are discovered that are not 9957; AD 97±05±13] regarding the compliance end-date within the rework limits described in Section III of the ASB, prior to further flight remove RIN 2120±AA64 stated in the compliance section of the the propeller from service and replace with proposed rule, the FAA has revised the a serviceable part. Airworthiness Directives; CFM calendar end-date to July 31, 1997, (iv) If cracks are discovered that are within International CFM56±5 Series Turbofan based upon the anticipated effective the rework limits described in Section III of Engines date of this AD. the ASB, prior to further flight rework the After careful review of the available propeller in accordance with Section III of AGENCY: Federal Aviation data, including the comments noted the SB, and resume inspecting repetitively in Administration, DOT. above, the FAA has determined that air accordance with paragraph (a)(1)(ii) of this ACTION: Final rule. AD. safety and the public interest require the adoption of the rule with the change (2) For propellers with less than 3,000 SUMMARY: This amendment adopts a described previously. The FAA has hours TIS on the effective date of this AD, new airworthiness directive (AD), upon accumulating 3,000 hours TIS perform determined that this change will neither applicable to CFM International the steps required by paragraph (a)(1)(i) increase the economic burden on any through (a)(1)(iv) of this AD. CFM56–5 series turbofan engines, that operator nor increase the scope of the (b) An alternative method of compliance or requires rework of the air turbine engine AD. adjustment of the compliance time that starter. This amendment is prompted by The FAA estimates that 190 engines provides an acceptable level of safety may be three reports of air turbine engine starter installed on aircraft of U.S. registry will used if approved by the Manager, Chicago failures. The actions specified by this Aircraft Certification Office. The request be affected by this AD, that it will take AD are intended to prevent an air approximately 2 work hours per engine should be forwarded through an appropriate turbine engine starter failure, which FAA Maintenance Inspector, who may add to accomplish the required actions, and comments and then send it to the Manager, could result in damage to the engine that the average labor rate is $60 per Chicago Aircraft Certification Office. electrical harnesses. work hour. Required parts will cost Note 2: Information concerning the DATES: Effective June 3, 1997. approximately $2,400 per engine. Based existence of approved alternative methods of The incorporation by reference of on these figures, the total cost impact of compliance with this airworthiness directive, certain publications listed in the the AD on U.S. operators is estimated to if any, may be obtained from the Chicago regulations is approved by the Director be $478,800. Aircraft Certification Office. of the Federal Register as of June 3, The regulations adopted herein will (c) Special flight permits may be issued in 1997. not have substantial direct effects on the accordance with sections 21.197 and 21.199 ADDRESSES: States, on the relationship between the of the Federal Aviation Regulations (14 CFR The service information 21.197 and 21.199) to operate the aircraft to referenced in this AD may be obtained national government and the States, or a location where the inspection requirements from CFM International, Technical on the distribution of power and of this AD can be accomplished. Publications Department, One Neumann responsibilities among the various (d) The actions required by this AD shall Way, Cincinnati, OH 45215; telephone levels of government. Therefore, in be accomplished in accordance with the (513) 552–2981, fax (513) 552–2816. accordance with Executive Order 12612, following McCauley Propeller Systems ASB: This information may be examined at it is determined that this final rule does the Federal Aviation Administration not have sufficient federalism Document No. Page Date (FAA), New England Region, Office of implications to warrant the preparation of a Federalism Assessment. 221B ...... 1±22 December 16, 1996. the Assistant Chief Counsel, 12 New England Executive Park, Burlington, For the reasons discussed above, I Total Pages: 22. MA; or at the Office of the Federal certify that this action (1) is not a This incorporation by reference was Register, 800 North Capitol Street, NW., ‘‘significant regulatory action’’ under approved by the Director of the Federal Suite 700, Washington, DC. Executive Order 12866; (2) is not a Register in accordance with 5 U.S.C. 552(a) FOR FURTHER INFORMATION CONTACT: ‘‘significant rule’’ under DOT and 1 CFR part 51. Copies may be obtained Glorianne Messemer, Aerospace Regulatory Policies and Procedures (44 from McCauley Propeller Systems 3535 FR 11034, February 26, 1979); and (3) McCauley Drive, P.O. Drawer 5053, Vandalia, Engineer, Engine Certification Office, FAA, Engine and Propeller Directorate, will not have a significant economic OH 45377–5053; telephone (513) 890–5246, impact, positive or negative, on a fax (513) 890–6001. Copies may be inspected 12 New England Executive Park, at the FAA, New England Region, Office of Burlington, MA 01803–5299; telephone substantial number of small entities the Assistant Chief Counsel, 12 New England (617) 238–7132; fax (617) 238–7199. under the criteria of the Regulatory Executive Park, Burlington, MA; or at the Flexibility Act. A final evaluation has SUPPLEMENTARY INFORMATION: A Office of the Federal Register, 800 North been prepared for this action and it is Capitol Street, NW., suite 700, Washington, proposal to amend part 39 of the Federal contained in the Rules Docket. A copy DC. Aviation Regulations (14 CFR part 39) to of it may be obtained from the Rules (e) This amendment supersedes priority include an airworthiness directive (AD) Docket at the location provided under letter AD 95–21–01, issued September 29, that is applicable to CFM International the caption ADDRESSES. 1995. (CFMI) CFM56–5 series turbofan (f) This amendment becomes effective on engines was published in the Federal List of Subjects in 14 CFR Part 39 April 24, 1997. Register on April 15, 1996 (61 FR Air Transportation, Aircraft, Aviation Issued in Burlington, Massachusetts, on 16420). That action proposed to require safety, Incorporation by reference, March 11, 1997. rework of the air turbine engine starter. Safety. James C. Jones, Interested persons have been afforded Acting Manager, Engine and Propeller an opportunity to participate in the Adoption of the Amendment Directorate, Aircraft Certification Service. making of this amendment. Due Accordingly, pursuant to the [FR Doc. 97–7594 Filed 4–3–97; 8:45 am] consideration has been given to the authority delegated to me by the BILLING CODE 4910±13±U comments received. Administrator, the Federal Aviation Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16067

Administration amends part 39 of the a location where the requirements of this AD AD also requires removal and Federal Aviation Regulations (14 CFR can be accomplished. replacement of certain stationary part 39) as follows: (d) The actions required by this AD shall number 3 bearing aft air/oil seals as be done in accordance with the following terminating action to the inspection CFMI SB: PART 39ÐAIRWORTHINESS program. This amendment is prompted DIRECTIVES Docu- by a report of an engine found with a Revi- rub on the forward corner of the HPCR 1. The authority citation for part 39 ment Pages sion Date continues to read as follows: No. stage 1 disk bore due to contact with the stationary number 3 bearing aft air/oil Authority: 49 U.S.C. 106(g), 40113, 44701. CFM56± 1±3 5 ...... October 25, seal. The actions specified by this AD 5 SB 1994. are intended to prevent a failure of the §39.13 [Amended] No. 80± stage 1 disk of the HPCR stage 1–2 2. Section 39.13 is amended by spool, which could result in an adding the following new airworthiness 003. 4±13 Origi- July 16, 1991. uncontained engine failure and damage directive: nal. to the aircraft. 97–05–13 CFM International: Amendment DATES: Effective June 3, 1997. 39–9957. Docket 95–ANE–63. Total Pages: 13. The incorporation by reference of Applicability: CFM International (CFMI) This incorporation by reference was certain publications listed in the CFM56–5 series turbofan engines, installed approved by the Director of the Federal regulations is approved by the Director with air turbine engine starter, Part Number Register in accordance with 5 U.S.C. 301–781–201–0, installed on but not limited of the Federal Register as of June 3, 552(a) and 1 CFR part 51. Copies may 1997. to Airbus A320 series aircraft. be obtained from CFM International, Note 1: This airworthiness directive (AD) Technical Publications Department, One ADDRESSES: The service information applies to each engine identified in the Neumann Way, Cincinnati, OH 45215; referenced in this AD may be obtained preceding applicability provision, regardless from CFM International, Technical of whether it has been modified, altered, or telephone (513)552–2981, fax (513)552– 2816. Copies may be inspected at the Publications Department, One Neumann repaired in the area subject to the Way, Cincinnati, OH 45215; telephone requirements of this AD. For engines that FAA, New England Region, Office of the have been modified, altered, or repaired so Assistant Chief Counsel, 12 New (513) 552–2981, fax (513) 552–2816. that the performance of the requirements of England Executive Park, Burlington, This information may be examined at this AD is affected, the owner/operator must MA; or at the Office of the Federal the Federal Aviation Administration request approval for an alternative method of Register, 800 North Capitol Street NW., (FAA), New England Region, Office of compliance in accordance with paragraph (b) Suite 700, Washington, DC. the Assistant Chief Counsel, 12 New of this AD. The request should include an (e) This amendment becomes effective England Executive Park, Burlington, assessment of the effect of the modification, on June 3, 1997. MA; or at the Office of the Federal alteration, or repair on the unsafe condition Register, 800 North Capitol Street, NW., addressed by this AD; and, if the unsafe Issued in Burlington, Massachusetts, on Suite 700, Washington, DC. condition has not been eliminated, the February 24, 1997. request should include specific proposed James C. Jones, FOR FURTHER INFORMATION CONTACT: actions to address it. Robert J. Ganley, Aerospace Engineer, Acting Manager, Engine and Propeller Compliance: Required on or before July 31, Directorate, Aircraft Certification Service. Engine Certification Office, FAA, Engine 1997, unless accomplished previously. [FR Doc. 97–7977 Filed 4–3–97; 8:45 am] and Propeller Directorate, 12 New To prevent an air turbine engine starter [FR Doc. 97–7977 Filed 4–3–97; 8:45 am] England Executive Park, Burlington, MA failure, which could result in damage to the 01803–5299; telephone (617) 238–7138; BILLING CODE 4910±13±U engine electrical harnesses, accomplish the fax (617) 238–7199. following: (a) For air turbine engine starters, Part SUPPLEMENTARY INFORMATION: A Number 301–781–201–0, that have not been 14 CFR Part 39 proposal to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) to previously reworked in accordance with any [Docket No. 95±ANE±65; Amendment 39± revision level of CFMI CFM56–5 Service 9958; AD 97±06±01] include an airworthiness directive (AD) Bulletin (SB) No. 80–003, rework the air that is applicable to CFM International turbine engine starter in accordance with the RIN 2120±AA64 (CFMI) CFM56–5, –5B, and –5C series Accomplishment Instructions of CFMI turbofan engines was published in the CFM56–5 SB No. 80–003, Revision 5, dated Airworthiness Directives; CFM Federal Register on June 4, 1996 (61 FR October 25, 1994. International CFM56±5, ±5B, and ±5C 28112). That action proposed to require (b) An alternative method of compliance or Series Turbofan Engines adjustment of the compliance time that initial and repetitive borescope provides an acceptable level of safety may be AGENCY: Federal Aviation inspections of the stage 1 disk bore of used if approved by the Manager, Engine Administration, DOT. certain high pressure compressor rotor Certification Office. The request should be ACTION: Final rule. (HPCR) stage 1–2 spools for rubs and forwarded through an appropriate FAA scratches, and replacement, if found Principal Maintenance Inspector, who may SUMMARY: This amendment adopts a rubbed or scratched, with a serviceable add comments and then send it to the new airworthiness directive (AD), part. That action also proposed to Manager, Engine Certification Office. applicable to CFM International require removal and replacement of Note 2: Information concerning the CFM56–5, –5B, and –5C series turbofan certain stationary number 3 bearing aft existence of approved alternative methods of engines, that requires initial and air/oil seals as terminating action to the compliance with this airworthiness directive, if any, may be obtained from the Engine repetitive borescope inspections of the inspection program. Certification Office. stage 1 disk bore of certain high Interested persons have been afforded (c) Special flight permits may be issued in pressure compressor rotor (HPCR) stage an opportunity to participate in the accordance with sections 21.197 and 21.199 1–2 spools for rubs and scratches, and making of this amendment. Due of the Federal Aviation Regulations (14 CFR replacement, if found rubbed or consideration has been given to the 21.197 and 21.199) to operate the aircraft to scratched, with a serviceable part. This comments received. 16068 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

The commenter supports the rule as PART 39ÐAIRWORTHINESS (1) For spools with less than 2,200 CSN on proposed. DIRECTIVES the effective date of this AD, at the next After careful review of the available engine shop visit after the effective date of 1. The authority citation for part 39 this AD, or prior to accumulating 2,200 CSN, data, including the comments noted continues to read as follows: whichever occurs first. above, the FAA has determined that air (2) For spools with 2,200 CSN or more on safety and the public interest require the Authority: 49 U.S.C. 106(g), 40113, 44701. the effective date of this AD, at the next engine shop visit after the effective date of adoption of the rule as proposed. §39.13 [Amended] There are approximately 131 engines this AD, or prior to accumulating 2,200 CSLI, 2. Section 39.13 is amended by of the affected design in the worldwide whichever occurs first. adding the following new airworthiness fleet. The manufacturer has advised the (d) Remove from service stationary number directive: 3 aft air/oil seals, P/N 1364M71G02, at the FAA that there are no engines installed next engine shop visit after the effective date 97–06–01 CFM International: Amendment on U.S. registered aircraft that would be of this AD, and replace with a serviceable 39–9958. Docket 95–ANE–63. affected by this AD. Therefore, there is part. Compliance with this paragraph no associated cost impact on U.S. Applicability: CFM International (CFMI) constitutes terminating action to the operators as a result of this AD. CFM56–5, –5B, and –5C series turbofan inspection requirements of paragraphs (a)(1), However, should an affected engine be engines, installed on but not limited to (a)(2), and (b) of this AD. Airbus A320, A321, and A340 series aircraft. imported on an aircraft and placed on (e) For the purpose of this AD, a Note 1: This airworthiness directive (AD) serviceable HPCR stage 1–2 spool is defined the U.S. registry in the future, it will applies to each engine identified in the as a spool without a rub or scratch indication take approximately 402 work hours to preceding applicability provision, regardless on the stage 1 disk, a P/N 1834M55G01 accomplish the required actions, and of whether it has been modified, altered, or spool, or a spool that has accomplished the the average labor rate is $60 per work repaired in the area subject to the stage 1 disk rework in accordance with any hour. Required parts will cost requirements of this AD. For engines that revision level of CFM56–5 SB No. 72–442, approximately $87,700 per engine. have been modified, altered, or repaired so CFM56–5B SB No. 72–066, or CFM56–5C SB Based on these figures, the cost impact that the performance of the requirements of No. 72–230, as applicable. of the AD is estimated to be $111,820 this AD is affected, the owner/operator must (f) For the purpose of this AD, a serviceable stationary number 3 bearing aft air/oil seal is per engine. request approval for an alternative method of compliance in accordance with paragraph (h) defined as any seal other than a P/N The regulations adopted herein will of this AD. The request should include an 1364M71G02 seal. not have substantial direct effects on the assessment of the effect of the modification, (g) For the purpose of this AD, an engine States, on the relationship between the alteration, or repair on the unsafe condition shop visit is defined as the induction of an national government and the States, or addressed by this AD; and, if the unsafe engine into the shop for any reason. on the distribution of power and condition has not been eliminated, the (h) An alternative method of compliance or responsibilities among the various request should include specific proposed adjustment of the compliance time that levels of government. Therefore, in actions to address it. provides an acceptable level of safety may be used if approved by the Manager, Engine accordance with Executive Order 12612, Compliance: Required as indicated, unless accomplished previously. Certification Office. The request should be it is determined that this final rule does forwarded through an appropriate FAA not have sufficient federalism To prevent a failure of the stage 1 disk of the high pressure compressor rotor (HPCR) Principal Maintenance Inspector, who may implications to warrant the preparation stage 1–2 spool, which could result in an add comments and then send it to the Manager, Engine Certification Office. of a Federalism Assessment. uncontained engine failure and damage to For the reasons discussed above, I the aircraft, accomplish the following: Note 2: Information concerning the certify that this action: (1) is not a (a) For CFM56–5, –5B, and –5C engines existence of approved alternative methods of ‘‘significant regulatory action’’ under that have a stationary number 3 bearing aft compliance with this airworthiness directive, Executive Order 12866; (2) is not a air/oil seal, Part Number (P/N) 1364M71G02, if any, may be obtained from the Engine Certification Office. ‘‘significant rule’’ under DOT installed, inspect the stage 1 disk of the Regulatory Policies and Procedures (44 HPCR stage 1–2 spool in accordance with the (i) Special flight permits may be issued in Accomplishment Instructions of CFM56–5 accordance with §§ 21.197 and 21.199 of the FR 11034, February 26, 1979); and (3) Service Bulletin (SB) No. 72–440, CFM56–5B Federal Aviation Regulations (14 CFR 21.197 will not have a significant economic SB No. 72–064, or CFM56–5C SB No. 72–229, and 21.199) to operate the aircraft to a impact, positive or negative, on a all Revision 2, dated June 23, 1995, as location where the requirements of this AD substantial number of small entities applicable, as follows: can be accomplished. under the criteria of the Regulatory (1) If the disk has not been previously (j) The actions required by this AD Flexibility Act. A final evaluation has inspected prior to the effective date of this shall be done in accordance with the been prepared for this action and it is AD, inspect prior to accumulating 2,200 following CFMI SBs: contained in the Rules Docket. A copy cycles since new (CSN). of it may be obtained from the Rules (2) If the disk has been previously Document inspected prior to the effective date of this No. Pages Revision Date Docket at the location provided under AD, and the disk was found not to be rubbed the caption ADDRESSES. or scratched, reinspect prior to accumulating CFM56±5 1±9 2 June 23, List of Subjects in 14 CFR Part 39 2,200 cycles since last inspection (CSLI). SB No. 1995. (b) Thereafter, for disks that have been 72±440. Air transportation, Aircraft, Aviation inspected in accordance with paragraph Total safety, Incorporation by reference, (a)(1) or (a)(2) of this AD, inspect in pages: Safety. accordance with the Accomplishment 9. Instructions of CFM56–5 SB No. 72–440, CFM56±5B 1±9 2 June 23, Adoption of the Amendment CFM56–5B SB No. 72–064, or CFM56–5C SB SB No. 1995. Accordingly, pursuant to the No. 72–229, all Revision 2, dated June 23, 72±064. 1995, as applicable, at intervals not to exceed Total authority delegated to me by the 2,200 CSLI. pages: Administrator, the Federal Aviation (c) Remove from service HPCR stage 1–2 9. Administration amends part 39 of the spools with rubbed or scratched stage 1 disks CFM56±5C 1±9 2 June 23, Federal Aviation Regulations (14 CFR and replace with a serviceable part, as SB No. 1995. part 39) as follows: follows: 72±229. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16069

Document evacuation of the airplane through the Service Bulletin J41–53–006 have been No. Pages Revision Date exit adjacent to this bulkhead. accomplished. The commenter states DATES: Effective May 9, 1997. that only 18 U.S. airplanes would be Total The incorporation by reference of applicable to the proposed AD, and all Pages: of those airplanes are owned by one 9. certain publications listed in the regulations is approved by the Director U.S. operator (the commenter). All of these airplanes have been modified in This incorporation by reference was of the Federal Register as of May 9, accordance with Jetstream Service approved by the Director of the Federal 1997. Bulletin J41–53–006. In light of this, the Register in accordance with 5 U.S.C. ADDRESSES: The service information proposal would not be applicable to any 552(a) and 1 CFR part 51. Copies may referenced in this AD may be obtained U.S. airplane and, therefore, should be be obtained from CFM International, from Jetstream Aircraft, Inc., P.O. Box withdrawn. Technical Publications Department, One 16029, Dulles International Airport, Neumann Way, Cincinnati, OH 45215; Washington, DC 20041–6029. This The FAA does not concur with the telephone (513) 552–2981, fax (513) information may be examined at the commenter’s request to withdraw the 552–2816. Copies may be inspected at Federal Aviation Administration (FAA), proposal, for the following reasons: the FAA, New England Region, Office of Transport Airplane Directorate, Rules First, the FAA acknowledges that the the Assistant Chief Counsel, 12 New Docket, 1601 Lind Avenue, SW., Cost Impact section of the preamble to England Executive Park, Burlington, Renton, Washington; or at the Office of the notice erroneously indicated that 44 MA; or at the Office of the Federal the Federal Register, 800 North Capitol airplanes would be affected by the Register, 800 North Capitol Street NW., Street, NW., Suite 700, Washington, DC. proposed AD; although this number was Suite 700, Washington, DC. FOR FURTHER INFORMATION CONTACT: in error, the correct number of airplanes (k) This amendment becomes effective William Schroeder, Aerospace Engineer, affected is 25, not 18, as stated by the on June 3, 1997. Standardization Branch, ANM–113, commenter. (The referenced Jetstream Service Bulletin J41–11–014 also lists a Issued in Burlington, Massachusetts, on FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, total of 25 possibly affected airplanes.) February 27, 1997. Accordingly, the Cost Impact James C. Jones, Washington 98055–4056; telephone (206) 227–2148; fax (206) 227–1149. information, below, has been corrected Acting Manager, Engine and Propeller to show that 25 airplanes are affected by SUPPLEMENTARY INFORMATION: A Directorate, Aircraft Certification Service. the requirements of the AD. [FR Doc. 97–7979 Filed 4–3–97; 8:45 am] proposal to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) to Second, the FAA has no evidence to BILLING CODE 4910±13±U include an airworthiness directive (AD) prove that all 25 affected airplanes have that is applicable to certain Jetstream been modified in accordance with Jetstream Service Bulletin J41–53–006, 14 CFR Part 39 Model 4101 airplanes was published in the Federal Register on December 6, and thus would not be subject to the [Docket No. 96±NM±131±AD; Amendment 1996 (61 FR 64643). That action AD. 39±9982; AD 97±07±08] proposed to require removal of the Third, even if all affected airplanes have been modified in accordance with RIN 2120±AA64 weight limitation placards in the aft main baggage bay and aft right stowage Jetstream Service Bulletin J41–53–006, Airworthiness Directives; Jetstream compartment, and replacement with the issuance of this AD is still necessary Model 4101 Airplanes new placards that establish lower to make it mandatory that the correct maximum weight limits in these areas. placards are installed and the AFM AGENCY: Federal Aviation It also proposed to require a revision to revision is accomplished on all affected Administration, DOT. the AFM for certain airplanes that airplanes on the U.S. register. This AD ACTION: Final rule. would remove references to higher is also required to ensure that, if the weight limits in effect before the new modification described in Service SUMMARY: This amendment adopts a placards are installed. Bulletin J41–53–006 is removed from a new airworthiness directive (AD), Interested persons have been afforded modified airplane at a later date, the applicable to certain Jetstream Model an opportunity to participate in the placards and AFM revision required by 4101 airplanes, that requires the making of this amendment. Due this AD are implemented. replacement of weight limitation consideration has been given to the Conclusion placards in the aft main baggage bay and comments received. in the aft right stowage compartment After careful review of the available with new placards indicating lower Support for the Proposal data, including the comments noted maximum weight limits. It also requires One commenter supports the above, the FAA has determined that air a revision of the Airplane Flight Manual proposed AD. safety and the public interest require the to delete references to the current higher adoption of the rule as proposed. weight limits for these areas. This Request to Withdraw Proposal Cost Impact amendment is prompted by a report One commenter requests that the indicating that existing weight proposal be withdrawn since there The FAA estimates that 25 Jetstream limitations could result in failure of the would be no U.S. airplanes subject to it. Model 4101 airplanes of U.S. registry front bulkhead of the aft main baggage The commenter points out that the will be affected by this AD, that it will bay and doors of the aft right stowage applicability statement of the proposal take approximately 1 work hour per compartment during emergency indicates that airplanes listed in airplane to accomplish the required dynamic landing conditions. The Jetstream Service Bulletin J41–11–004 actions, and that the average labor rate actions specified by this AD are would be subject to the AD. However, is $60 per work hour. Required parts intended to prevent such failure, which that service bulletin states that it does will be provided by the manufacturer at consequently could result in injury to not affect any airplanes on which the no cost to operators. Based on these passengers and flight crew, and hinder procedures specified in Jetstream figures, the cost impact of the AD on 16070 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

U.S. operators is estimated to be $1,500, 014, dated January 18, 1996; certificated in U.S.C. 552(a) and 1 CFR part 51. Copies may or $60 per airplane. any category. be obtained from Jetstream Aircraft, Inc., P.O. The cost impact figure discussed Note 1: This AD applies to each airplane Box 16029, Dulles International Airport, above is based on assumptions that no identified in the preceding applicability Washington, DC 20041–6029. Copies may be operator has yet accomplished any of provision, regardless of whether it has been inspected at the FAA, Transport Airplane otherwise modified, altered, or repaired in Directorate, 1601 Lind Avenue, SW., Renton, the requirements of this AD action, and Washington; or at the Office of the Federal that no operator would accomplish the area subject to the requirements of this AD. For airplanes that have been modified, Register, 800 North Capitol Street, NW., suite those actions in the future if this AD altered, or repaired so that the performance 700, Washington, DC. were not adopted. of the requirements of this AD is affected, the (f) This amendment becomes effective on Regulatory Impact owner/operator must request approval for an May 9, 1997. alternative method of compliance in Issued in Renton, Washington, on March The regulations adopted herein will accordance with paragraph (c) of this AD. 26, 1997. not have substantial direct effects on the The request should include an assessment of Darrell M. Pederson, States, on the relationship between the the effect of the modification, alteration, or repair on the unsafe condition addressed by Acting Manager, Transport Airplane national government and the States, or Directorate, Aircraft Certification Service. on the distribution of power and this AD; and, if the unsafe condition has not [FR Doc. 97–8265 Filed 4–3–97; 8:45 am] responsibilities among the various been eliminated, the request should include levels of government. Therefore, in specific proposed actions to address it. BILLING CODE 4910±13±U accordance with Executive Order 12612, Compliance: Required as indicated, unless accomplished previously. it is determined that this final rule does 14 CFR Part 39 not have sufficient federalism To prevent failure of the front bulkhead of the aft main baggage bay and the doors of the implications to warrant the preparation aft right stowage compartment during [Docket No. 96±NM±101±AD; Amendment of a Federalism Assessment. emergency landing dynamic conditions, 39±9983; AD 97±07±09] For the reasons discussed above, I which consequently could result in injury to certify that this action (1) is not a passengers and flight crew and hinder RIN 2120±AA64 ‘‘significant regulatory action’’ under evacuation of the airplane through the exit Executive Order 12866; (2) is not a adjacent to the bulkhead, accomplish the Airworthiness Directives; Airbus Model ‘‘significant rule’’ under DOT following: A300 Series Airplanes Regulatory Policies and Procedures (44 (a) For all airplanes: Within 30 days after AGENCY: Federal Aviation FR 11034, February 26, 1979); and (3) the effective date of this AD, replace the Administration, DOT. will not have a significant economic weight limitation placards in the aft main baggage bay and aft right stowage ACTION: Final rule. impact, positive or negative, on a compartment with new placards indicating substantial number of small entities lower maximum weight limitations, in SUMMARY: This amendment adopts a under the criteria of the Regulatory accordance with Jetstream Service Bulletin new airworthiness directive (AD), Flexibility Act. A final evaluation has J41–11–014, dated January 18, 1996. applicable to certain Airbus Model been prepared for this action and it is (b) For airplanes having constructor A300 series airplanes, that requires contained in the Rules Docket. A copy numbers 41041 through 41043 inclusive, repetitive checks and testing of certain of it may be obtained from the Rules 41045, 41055, 41058, 41059, 41063, and equipment that regulates the flow of fuel Docket at the location provided under 41064: Within 30 days after the effective date from wing tank 2A to the number 2 the caption ADDRESSES. of this AD, after accomplishment of the requirements of paragraph (a) of this AD, engine. This amendment also requires List of Subjects in 14 CFR Part 39 revise the FAA-approved Airplane Flight replacement of this equipment with Air transportation, Aircraft, Aviation Manual by removing Amendment P25, in equipment that has been designed to accordance with Jetstream Service Bulletin prevent incorrect installation; this safety, Incorporation by reference, J41–11–014, dated January 18, 1996. Safety. replacement is considered to be (c) An alternative method of compliance or terminating action for the repetitive Adoption of the Amendment adjustment of the compliance time that provides an acceptable level of safety may be equipment checks and tests. This Accordingly, pursuant to the used if approved by the Manager, amendment is prompted by reports authority delegated to me by the Standardization Branch, ANM–113, FAA, indicating that the incorrect installation Administrator, the Federal Aviation Transport Airplane Directorate. Operators of this equipment has caused the flight Administration amends part 39 of the shall submit their requests through an crew to shut off, rather than open, Federal Aviation Regulations (14 CFR appropriate FAA Principal Maintenance certain valves that regulate the flow of part 39) as follows: Inspector, who may add comments and then fuel from between this tank and engine. send it to the Manager, Standardization The actions specified by this AD are PART 39ÐAIRWORTHINESS Branch, ANM–113. intended to detect and rectify incorrect DIRECTIVES Note 2: Information concerning the installations, which could result in the existence of approved alternative methods of flight crew inadvertently shutting off the 1. The authority citation for part 39 compliance with this AD, if any, may be continues to read as follows: obtained from the Standardization Branch, flow of fuel to the engine, and consequent engine failure during flight. Authority: 49 U.S.C. 106(g), 40113, 44701. ANM–113. (d) Special flight permits may be issued in DATES: Effective May 9, 1997. § 39.13 [Amended] accordance with sections 21.197 and 21.199 The incorporation by reference of 2. Section 39.13 is amended by of the Federal Aviation Regulations (14 CFR certain publications listed in the adding the following new airworthiness 21.197 and 21.199) to operate the airplane to regulations is approved by the Director directive: a location where the requirements of this AD of the Federal Register as of May 9, can be accomplished. 1997. 97–07–08 Jetstream Aircraft Limited: (e) The actions shall be done in accordance Amendment 39–9982. Docket 96–NM–131– with Jetstream Service Bulletin J41–11–014, ADDRESSES: The service information AD. dated January 18, 1996. This incorporation referenced in this AD may be obtained Applicability: Model 4101 airplanes, as by reference was approved by the Director of from Airbus Industrie, 1 Rond Point listed in Jetstream Service Bulletin J41–11– the Federal Register in accordance with 5 Maurice Bellonte, 31707 Blagnac Cedex, Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16071

France. This information may be $1,043 per airplane. Based on these § 39.13 [Amended] examined at the Federal Aviation figures, the cost impact of the required 2. Section 39.13 is amended by Administration (FAA), Transport replacement on U.S. operators is adding the following new airworthiness Airplane Directorate, Rules Docket, estimated to be $14,339, or $1,103 per directive: 1601 Lind Avenue, SW., Renton, airplane. 97–07–09 Airbus Industrie: Amendment 39– Washington; or at the Office of the The cost impact figures discussed 9983. Docket 96–NM–101–AD. Federal Register, 800 North Capitol above are based on assumptions that no Applicability: Model A300 series airplanes, Street, NW., suite 700, Washington, DC. operator has yet accomplished any of as listed in the Airbus service documents FOR FURTHER INFORMATION CONTACT: Tim referenced in paragraphs (a), (b), and (c) of the requirements of this AD action, and this AD; certificated in any category. Backman, Aerospace Engineer, that no operator would accomplish Standardization Branch, ANM–113, Note 1: This AD applies to each airplane those actions in the future if this AD FAA, Transport Airplane Directorate, identified in the preceding applicability were not adopted. 1601 Lind Avenue, SW., Renton, provision, regardless of whether it has been otherwise modified, altered, or repaired in Washington 98055–4056; telephone Regulatory Impact the area subject to the requirements of this (206) 227–2797; fax (206) 227–1149. AD. For airplanes that have been modified, SUPPLEMENTARY INFORMATION: A The regulations adopted herein will altered, or repaired so that the performance proposal to amend part 39 of the Federal not have substantial direct effects on the of the requirements of this AD is affected, the Aviation Regulations (14 CFR part 39) to States, on the relationship between the owner/operator must request approval for an include an airworthiness directive (AD) national government and the States, or alternative method of compliance in on the distribution of power and accordance with paragraph (e) of this AD. that is applicable to certain Airbus The request should include an assessment of Model A300 series airplanes was responsibilities among the various the effect of the modification, alteration, or published in the Federal Register on levels of government. Therefore, in repair on the unsafe condition addressed by January 13, 1997 (62 FR 1695). That accordance with Executive Order 12612, this AD; and, if the unsafe condition has not action proposed to require repetitive it is determined that this final rule does been eliminated, the request should include checks of the control knobs on isolation not have sufficient federalism specific proposed actions to address it. valve and crossfeed valve control unit implications to warrant the preparation Compliance: Required as indicated, unless 5QB; and repetitive tests of this control of a Federalism Assessment. accomplished previously. unit. As terminating action for these To prevent the flight crew from For the reasons discussed above, I inadvertently shutting off the flow of fuel repetitive checks and tests, that action certify that this action (1) is not a from wing tank 2A to the number 2 engine, also proposed to require that operators ‘‘significant regulatory action’’ under due to the incorrect installation of the replace these knobs and this control Executive Order 12866; (2) is not a isolation valve and crossfeed valve control unit with knobs and a control unit that ‘‘significant rule’’ under DOT unit 5QB, and the consequent failure of the have been modified. engine, accomplish the following: Interested persons have been afforded Regulatory Policies and Procedures (44 (a) For airplanes listed in Airbus A300 All an opportunity to participate in the FR 11034, February 26, 1979); and (3) Operator Telex (AOT) 28–03, dated June 6, making of this amendment. Due will not have a significant economic 1991: Within 30 days after the effective date consideration has been given to the impact, positive or negative, on a of this AD, perform a check and functional substantial number of small entities test of the control knob configurations for the single comment received. isolation valve and crossfeed valve control The commenter advises that it does under the criteria of the Regulatory unit 5QB, in accordance with Airbus AOT not operate the affected Airbus series Flexibility Act. A final evaluation has 28–03, dated June 6, 1991. aircraft and, therefore, is not affected by been prepared for this action and it is (1) Repeat the check and test thereafter at this rule. contained in the Rules Docket. A copy intervals not to exceed 500 hours time-in- of it may be obtained from the Rules service, and prior to further flight after any Conclusion Docket at the location provided under maintenance action is performed on the control unit. After careful review of the available the caption ADDRESSES. data, including the comment noted (2) Any unit that does not successfully pass List of Subjects in 14 CFR Part 39 the check/functional test, must be repaired or above, the FAA has determined that air otherwise rectified prior to further flight, in safety and the public interest require the Air transportation, Aircraft, Aviation accordance with the AOT. adoption of the rule as proposed. safety, Incorporation by reference, (b) For airplanes listed in Airbus Cost Impact Safety. Service Bulletin A300–28–055, Revision 3, dated December 19, 1991, as The FAA estimates that 13 Airbus Adoption of the Amendment amended by Service Bulletin Change Model A300 airplanes of U.S. registry Notice 3.A., dated March 16, 1992: will be affected by this AD. Accordingly, pursuant to the Within 2 years after the effective date of It will take approximately 1 work authority delegated to me by the this AD, replace the crossfeed and isolation hour per airplane to accomplish each Administrator, the Federal Aviation valve control unit 5QB with a modified unit, required check and test cycle, at an Administration amends part 39 of the in accordance Airbus Service Bulletin A300– average labor rate of $60 per work hour. Federal Aviation Regulations (14 CFR 28–055, Revision 3, dated December 19, Based on these figures, the cost impact 1991, as amended by Service Bulletin Change part 39) as follows: Notice 3.A. of the required check and test on U.S. operators is estimated to be $780, or $60 PART 39ÐAIRWORTHINESS Note 2: Airbus Service Bulletin A300–28– 055, Revision 3, references L’e´quipment et La per airplane, per check/test cyle. DIRECTIVES Construction Electrique (ECE) Service It will take approximately 1 work Bulletins 28–195 and 28–196, both dated hour per airplane to accomplish the 1. The authority citation for part 39 August 31, 1983, as additional sources of required replacement of the control continues to read as follows: procedural information for replacement of the control unit. knobs and control unit, at an average Authority: 49 U.S.C. 106(g), 40113, 44701. labor rate of $60 per work hour. (c) For airplanes listed in Airbus Required parts will cost approximately Service Bulletin A300–28–0061, 16072 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Revision 1, dated March 14, 1992: (d) Accomplishment of both of the Note 4: Information concerning the Within 2 years after the effective date of replacements specified in paragraphs (b) and existence of approved alternative methods of this AD, replace the control knobs on (c) of this AD constitutes terminating action compliance with this AD, if any, may be for the repetitive checks and tests required by the crossfeed and isolation valve control obtained from the Standardization Branch, paragraph (a) of this AD. ANM–113. unit 5QB with new knobs, in (e) An alternative method of compliance or (f) Special flight permits may be issued in accordance with Airbus Service Bulletin adjustment of the compliance time that A300–28–0061, Revision 1, dated March provides an acceptable level of safety may be accordance with sections 21.197 and 21.199 14, 1992. used if approved by the Manager, of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to Note 3: Airbus Service Bulletin A300–28– Standardization Branch, ANM–113, FAA, Transport Airplane Directorate. Operators a location where the requirements of this AD 0061, Revision 1, references ECE Service shall submit their requests through an can be accomplished. Bulletins 28–191, dated July 26, 1982, and appropriate FAA Principal Maintenance (g) The actions shall be done in accordance 28–228, dated November 1, 1991, as Inspector, who may add comments and then with the following Airbus service documents, additional sources of procedural information send it to the Manager, Standardization which contain the specified list of effective for replacement of the control knobs. Branch, ANM–113. pages:

Revision level Date shown on Service bulletin referenced and date Page No. shown on page page

Airbus All Operator Telex (AOT) 28±03, June 6, 1991 ...... 1±3 ...... June 6, 1991 Airbus Service Bulletin A300±28±055, Revision 3, December 19, 1991 ...... 1,4 ...... 3 ...... Dec. 19, 1991. 2, 3, 5, 6 ...... 2 ...... Sept. 19, 1991. 7, 9, 10, 13 ...... Original ...... Oct. 16, 1983. 8, 11, 12 ...... 1 ...... July 2, 1991. Airbus Service Bulletin A300±28±055, Change Notice 3.A., March 16, 1992 ...... 1±2 ...... Mar. 16, 1992 Airbus Service Bulletin A300±28±0061, Revision 1, March 14, 1992 ...... 1 ...... 1 ...... Mar. 14, 1992. 2±7 ...... Original ...... Jan. 23, 1992.

This incorporation by reference was support assemblies. It also requires a FOR FURTHER INFORMATION CONTACT: Mr. approved by the Director of the Federal reduction in VNE, and installation of Charles Harrison, Aerospace Engineer, Register in accordance with 5 U.S.C. 552(a) appropriate airspeed indicator markings Federal Aviation Administration, and 1 CFR part 51. Copies may be obtained and a placard. This amendment requires Southwest Region, Rotorcraft from Airbus Industrie, 1 Rond Point Maurice the same actions required by the Bellonte, 31707 Blagnac Cedex, France. Certification Office, ASW–170, Fort Copies may be inspected at the FAA, existing priority letter AD, but restricts Worth, Texas 76193–0170, telephone Transport Airplane Directorate, 1601 Lind the applicability to the Model 412 (817) 222–5447, FAX (817) 222–5959. Avenue, SW., Renton, Washington; or at the helicopters with a certain steel main SUPPLEMENTARY INFORMATION: A Office of the Federal Register, 800 North rotor control swashplate support proposal to amend part 39 of the Federal Capitol Street, NW., Suite 700, Washington, assembly (steel swashplate support Aviation Regulations (14 CFR part 39) DC. assembly) installed. This amendment by superseding priority letter AD 92– (h) This amendment becomes effective on also allows the installation of an 03–13, issued January 31, 1992, which May 9, 1997. improved main rotor control swashplate is applicable to Bell Helicopter Textron, Issued in Renton, Washington, on March assembly that terminates the Inc. Model 412 helicopters, was 26, 1997. requirements of this AD. This published in the Federal Register on S.R. Miller, amendment is prompted by reported October 25, 1996 (61 FR 55231). That Acting Manager, Transport Airplane cracking and in-service failures of action proposed to require a daily Directorate, Aircraft Certification Service. certain steel swashplate support inspection of certain steel main rotor [FR Doc. 97–8266 Filed 4–3–97; 8:45 am] assemblies. The actions specified by this control swashplate support assemblies, BILLING CODE 4910±13±U AD are intended to prevent failure of the a reduction in VNE, and installation of steel swashplate support assembly that appropriate airspeed markings and a could result in loss of main rotor control placard. It also proposed an optional 14 CFR Part 39 and subsequent loss of control of the installation of an improved steel main helicopter. rotor control swashplate support [Docket No. 96±SW±17-AD; DATES: Effective May 9, 1997. Amendment 39±9980; AD 97±07±06] assembly or an aluminum swashplate The incorporation by reference of support assembly, that, when installed, RIN 2120±AA64 certain publications listed in the constitutes a terminating action for the regulations is approved by the Director requirements of this AD. Airworthiness Directives; Bell of the Federal Register as of May 9, Interested persons have been afforded Helicopter Textron, Inc. Model 412 1997. an opportunity to participate in the Helicopters ADDRESSES: The service information making of this amendment. No AGENCY: Federal Aviation referenced in this AD may be obtained comments were received on the Administration, DOT. from Bell Helicopter Textron, Inc., P.O. proposal or the FAA’s determination of ACTION: Final rule. Box 482, Fort Worth, Texas 76101. This the cost to the public. The FAA has information may be examined at the determined that air safety and the SUMMARY: This amendment supersedes FAA, Office of the Assistant Chief public interest require the adoption of an existing priority letter airworthiness Counsel, 2601 Meacham Blvd., Room the rule with one change—a reference to directive (AD), applicable to Bell 663, Fort Worth, Texas, or at the Office a specific part of a service bulletin was Helicopter Textron, Inc. Model 412 of the Federal Register, 800 North added for clarification. The FAA has helicopters, that currently requires a Capitol Street, NW., suite 700, determined that this change will neither daily inspection of certain swashplate Washington, DC. increase the economic burden on any Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16073 operator nor expand the scope of the § 39.13 [Amended] assembly, P/N 412–010–443–101 or -109, in AD. 2. Section 39.13 is amended by accordance with the Accomplishment adding a new airworthiness directive Instructions of ASB 412–92–61, dated May The FAA estimates that 40 helicopters 14, 1992, constitutes a terminating action for of U.S. registry will be affected by this (AD), Amendment 39–9980, to read as the requirements of this AD, and the red AD, that it will take approximately 20 follows: radial arc on each airspeed indicator and the work hours per helicopter to accomplish AD 27–07–06 Bell Helicopter Textron, Inc.: airspeed placard installed as a result of this the required actions, and that the Docket No. 96–SW–17–AD. Supersedes AD may be removed. average labor rate is $60 per work hour. priority letter AD 92–03–13, issued (e) An alternative method of compliance or The aluminum swashplate support January 31, 1992, Docket No. 92–ASW– an adjustment of the compliance time that provides an equivalent level of safety may be assembly, P/N 412–010–443–101 or 31. Applicability: Model 412 helicopters, with used if approved by the Manager, Rotorcraft –109 costs $4,526. The steel swashplate Certification Office. Operators shall submit support assembly, P/N 412–010–453– steel main rotor control swashplate support assembly (steel swashplate support their requests through an FAA principal 105, costs $9,234. Based on these assembly), part number (P/N) 412–010–453– maintenance inspector, who may concur or figures, the total cost impact of the AD 101, installed, certificated in any category. comment and then send it to the Manager, on U.S. operators is estimated to be Note 1: This AD applies to each helicopter Rotorcraft Certification Office. $417,360, if all the swashplates in the identified in the preceding applicability Note 3: Information concerning the fleet are replaced with support provision, regardless of whether it has been existence of approved alternative methods of assemblies, P/N 412–010–453–105. modified, altered, or repaired in the area compliance with this AD, if any, may be subject to the requirements of this AD. For obtained from the Rotorcraft Certification The regulations adopted herein will helicopters that have been modified, altered, Office. not have substantial direct effects on the or repaired so that the performance of the (f) Special flight permits may be issued in States, on the relationship between the requirements of this AD is affected, the accordance with sections 21.197 and 21.199 national government and the States, or owner/operator must use the authority of the Federal Aviation Regulations (14 CFR on the distribution of power and provided in paragraph (e) to request approval 21.197 and 21.199) to operate the helicopter responsibilities among the various from the FAA. This approval may address to a location where the requirements of this levels of government. Therefore, in either no action, if the current configuration AD can be accomplished. accordance with Executive Order 12612, eliminates the unsafe condition, or different (g) The inspections, installation, and actions necessary to address the unsafe replacement, if necessary, shall be done in it is determined that this final rule does condition described in this AD. Such a accordance with Bell Helicopter Textron, Inc. not have sufficient federalism request should include an assessment of the Alert Service Bulletin (ASB) 412–92–57, implications to warrant the preparation effect of the changed configuration on the Revision A, dated January 30, 1992, or ASB of a Federalism Assessment. unsafe condition addressed by this AD. In no 412–92–61, dated May 14, 1992, as For the reasons discussed above, I case does the presence of any modification, appropriate. This incorporation by reference certify that this action (1) is not a alteration, or repair remove any helicopter was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) ‘‘significant regulatory action’’ under from the applicability of this AD. Compliance: Required as indicated, unless and 1 CFR part 51. Copies may be obtained Executive Order 12866; (2) is not a from Bell Helicopter Textron, Inc., P.O. Box ‘‘significant rule’’ under DOT accomplished previously. To prevent failure of the steel swashplate 482, Fort Worth, Texas 76101. Copies may be Regulatory Policies and Procedures (44 support assembly that could result in loss of inspected at the FAA, FAA, Office of the FR 11034, February 26, 1979); and (3) main rotor control and subsequent loss of Assistant Chief Counsel, 2601 Meacham will not have a significant economic control of the helicopter, accomplish the Blvd., Room 663, Fort Worth, Texas; or at the impact, positive or negative, on a following: Office of the Federal Register, 800 North substantial number of small entities (a) Before further flight after the effective Capitol Street, NW., suite 700, Washington, DC. under the criteria of the Regulatory date of this AD, and thereafter, before the first flight of each day, visually inspect, with (h) This amendment becomes effective on Flexibility Act. A final evaluation has May 9, 1997. an inspection mirror and a bright light, the been prepared for this action and it is Issued in Fort Worth, Texas, on March 14, contained in the Rules Docket. A copy forward and aft clevis areas of the steel swashplate support assembly, part number 1997. of it may be obtained from the Rules (P/N) 412–010–453–101, in accordance with Eric Bries, Docket at the location provided under Part I of Bell Helicopter Textron, Inc. Alert Acting Manager, Rotorcraft Directorate, the caption ‘‘ADDRESSES.’’ Service Bulletin (ASB) 412–92–57, Revision Aircraft Certification Service. List of Subjects in 14 CFR Part 39 A, dated January 30, 1992. (b) Before further flight after the effective [FR Doc. 97–8426 Filed 4–3–97; 8:45 am] BILLING CODE 4910±13±U Air transportation, Aircraft, Aviation date of this AD, install a red radial arc on safety, Incorporation by reference, each airspeed indicator to prohibit airspeeds above 110 knots. Near the pilot’s airspeed Safety. indicator, install a placard made of material 14 CFR Part 39 that is not easily erased, disfigured, or Adoption of the Amendment [Docket No. 95±SW±36±AD; Amendment obscured that contains the following 39±9981; AD 97±07±07] Accordingly, pursuant to the statement in lettering that is 0.2 inch authority delegated to me by the minimum in height: ‘‘VNE not to exceed 110 RIN 2120±AA64 Administrator, the Federal Aviation KIAS or VNE from the airspeed limitation Administration amends part 39 of the placard, whichever is less.’’ Airworthiness Directives; Bell Federal Aviation Regulations (14 CFR Note 2: ASB No. 412–92–58, dated January Helicopter Textron, A Division of part 39) as follows: 27, 1992, contains information on the Textron Canada Ltd. Model 206L, L±1, airspeed limitation. L±3, and L±4 Helicopters PART 39ÐAIRWORTHINESS (c) If a crack is found, before further flight, AGENCY: Federal Aviation DIRECTIVES replace the steel swashplate support assembly, P/N 412–010–453–101, with an Administration, DOT. 1. The authority citation for part 39 airworthy part. ACTION: Final rule. (d) Installation of an improved steel continues to read as follows: swashplate support assembly, P/N 412–010– SUMMARY: This amendment adopts a Authority: 49 USC 106(g), 40113, 44701. 453–105, or aluminum swashplate support new airworthiness directive (AD), 16074 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations applicable to Bell Helicopter Textron, A solely on a RIN of 24,000, and a mast under the criteria of the Regulatory Division of Textron Canada Ltd. (BHTC) retirement life based on a maximum RIN Flexibility Act. A final evaluation has Model 206L, L–1, L–3, and L–4 of 44,000 or a maximum number of been prepared for this action and it is helicopters, that requires creation of a flight hours, whichever occurs first. contained in the Rules Docket. A copy component history card using a Interested persons have been afforded of it may be obtained from the Rules Retirement Index Number (RIN) system, an opportunity to participate in the Docket at the location provided under establishing a system for tracking making of this amendment. No the caption ADDRESSES. increases to the accumulated RIN, and comments were received on the a maximum accumulated RIN for certain proposal or the FAA’s determination of List of Subjects in 14 CFR Part 39 main rotor masts (masts) and main rotor the cost to the public. The FAA has Air transportation, Aircraft, Aviation trunnions (trunnions). This amendment determined that air safety and the safety, Incorporation by reference, is prompted by fatigue analyses and public interest require the adoption of Safety. the rule as proposed, except for the tests that show certain masts and Adoption of the Amendment trunnions fail sooner than originally parenthetical insertion of the number of anticipated because of the unanticipated RIN’s in paragraphs (d) and (e). The Accordingly, pursuant to the higher number of external load lifts and FAA has determined that this change authority delegated to me by the takeoffs (torque events) performed with will neither increase the economic Administrator, the Federal Aviation those masts and trunnions in addition to burden on any operator nor expand the Administration amends part 39 of the the time-in-service (TIS) accrued under scope of the AD. Federal Aviation Regulations (14 CFR other operating conditions. The actions The FAA estimates that 711 part 39) as follows: specified by this AD are intended to helicopters of U.S. registry will be prevent fatigue failure of the mast or affected by this AD, that it will take PART 39ÐAIRWORTHINESS trunnion, which could result in loss of approximately (1) 8 work hours per DIRECTIVES the main rotor system and subsequent helicopter to replace the mast and 10 1. The authority citation for part 39 loss of control of the helicopter. work hours per helicopter to replace the continues to read as follows: trunnion due to the new method of DATES: Effective May 9, 1997. Authority: 49 USC 106(g), 40113, 44701. The incorporation by reference of determining the retirement life required by this AD; (2) 2 work hours per certain publications listed in the § 39.13 [Amended] regulations is approved by the Director helicopter to create the component 2. Section 39.13 is amended by of the Federal Register as of May 9, history card or equivalent record adding a new airworthiness directive to 1997. (record); (3) 10 work hours per helicopter to maintain the record each read as follows: ADDRESSES: The service information referenced in this AD may be obtained year, and that the average labor rate is AD 97–07–07 Bell Helicopter Textron, a from Bell Helicopter Textron, A $60 per work hour. Required parts will Division of Textron Canada Ltd.: Amendment 39–9981. Docket No. 95– Division of Textron Canada Ltd. 12,800 cost approximately $9,538 per mast and $2,083 per trunnion. Based on these SW–36–AD. Rue de L’Avenir, Mirabel, Quebec, figures, the total cost impact of the AD Applicability: Model 206L, 206L–1, 206L– Canada J7J1R4, ATTN: Product Support on U.S. operators is estimated to be 3, and 206L–4 helicopters, with main rotor Engineering Light Helicopters. This $2,016,989, and each subsequent year to mast (mast), part number (P/N) 206–040– information may be examined at the be $1,945,889. These costs assume 535–001, –005, –101, or –105, installed, or FAA, Office of the Assistant Chief main rotor trunnion (trunnion), P/N 206– replacement of the mast and trunnion in Counsel, 2601 Meacham Blvd., Room 011–120–103, installed, certificated in any one-sixth of the fleet each year, creation 663, Fort Worth, Texas; or at the Office category. and maintenance of the records for all of the Federal Register, 800 North Note 1: This AD applies to each helicopter the fleet the first year, and creation of Capitol Street, NW., Suite 700, identified in the preceding applicability one-sixth of the fleet’s records and Washington, DC. provision, regardless of whether it has been maintenance of the records for all the modified, altered, or repaired in the area FOR FURTHER INFORMATION CONTACT: Mr. fleet each subsequent year. subject to the requirements of this AD. For Jurgen Priester, Aerospace Engineer, The regulations adopted herein will helicopters that have been modified, altered, Rotorcraft Certification Office, not have substantial direct effects on the or repaired so that the performance of the Rotorcraft Directorate, FAA, 2601 States, on the relationship between the requirements of this AD is affected, the Meacham Blvd., Fort Worth, Texas national government and the States, or owner/operator must use the authority 76137, telephone (817) 222–5159, fax on the distribution of power and provided in paragraph (f) to request approval (817) 222–5959. from the FAA. This approval may address responsibilities among the various either no action, if the current configuration SUPPLEMENTARY INFORMATION: A levels of government. Therefore, in eliminates the unsafe condition, or different proposal to amend part 39 of the Federal accordance with Executive Order 12612, actions necessary to address the unsafe Aviation Regulations (14 CFR part 39) to it is determined that this final rule does condition described in this AD. Such a include an airworthiness directive (AD) not have sufficient federalism request should include an assessment of the that is applicable to BHTC Model 206L, implications to warrant the preparation effect of the changed configuration on the 206L–1, 206L–3, and 206L–4 helicopters of a Federalism Assessment. unsafe condition addressed by this AD. In no was published in the Federal Register For the reasons discussed above, I case does the presence of any modification, on November 14, 1996 (61 FR 58355). certify that this action (1) is not a alteration, or repair remove any helicopter That action proposed to require, within ‘‘significant regulatory action’’ under from the applicability of this AD. the next 100 hours TIS, creation of a Executive Order 12866; (2) is not a Compliance: Required within 100 hours component history card using the RIN ‘‘significant rule’’ under DOT time-in-service after the effective date of this AD, unless accomplished previously. system for certain masts and trunnions; Regulatory Policies and Procedures (44 To prevent fatigue failure of the mast or and establishing a system for tracking FR 11034, February 26, 1979); and (3) trunnion, which could result in loss of the increases to the accumulated RIN. That will not have a significant economic main rotor system and subsequent loss of action also proposed to establish a impact, positive or negative, on a control of the helicopter, accomplish the retirement life for trunnions based substantial number of small entities following: Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16075

(a) Create a component history card or an Product Support Engineering Light Part 71) by establishing Class E airspace equivalent record for the affected mast and Helicopters. Copies may be inspected at the at Thomson, GA, and amending Class E trunnion. FAA, Office of the Assistant Chief Counsel, airspace at Augusta, GA, (62 FR 3629). (b) Determine the accumulated Retirement 2601 Meacham Blvd., Room 663, Fort Worth, This action will provide adequate Class Index Number (RIN) to date based on the Texas; or at the Office of the Federal Register, number of takeoffs and external load lifts 800 North Capitol Street, NW., Suite 700, E airspace for IFR operations at (torque events) for parts in service in Washington, DC. Thomson-McDuffie Airport. accordance with paragraphs 1 and 2 of the (i) This amendment becomes effective on Interested parties were invited to Accomplishment Instructions of Bell May 9, 1997. participate in this rulemaking Helicopter Textron, Inc. Alert Service Issued in Fort Worth, Texas, on March 14, proceeding by submitting written Bulletin (ASB) No. 206L–94–99, Revision A, 1997. comments on the proposal to the FAA. dated May 1, 1995. Record this accumulated Eric Bries, No comments objecting to the proposal RIN on the component history card. were received. Designations for Class E (c) After complying with paragraphs (a) Acting Manager, Rotorcraft Directorate, and (b) of this AD, during each operation Aircraft Certification Service. airspace extending upward from 700 thereafter, maintain a count of the number of [FR Doc. 97–8425 Filed 4–3–97; 8:45 am] feet or more above the surface are external load lifts and the number of takeoffs BILLING CODE 4910±13±U published in Paragraph 6005 of FAA performed and at the end of each day’s Order 7400.9D dated September 4, 1996, operations, increase the accumulated RIN on and effective September 16, 1996. The the component history cards as follows: 14 CFR Part 71 Class E airspace designation listed in (1) For the trunnion, this document will be published (i) Increase the RIN for the Model 206, [Airspace Docket No. 96±ASO±29] subsequently in the Order. 206L–1, and 206L–3 helicopters by 1 for each torque event. Establishment of Class E Airspace; The Rule (ii) Increase the RIN for the Model 206L– Thomson, GA, and Amendment of This amendment to Part 71 of the 4 helicopters by 2 for each torque event. Class E Airspace; Augusta, GA (2) For the mast, increase the RIN for the Federal Aviation Regulations (14 CFR Model 206L, 206L–1, 206L–3, and 206L–4 AGENCY: Federal Aviation part 71) establishes stand-alone Class E helicopters by 1 for each torque event. Administration (FAA), DOT. airspace at Thomson, GA, for the (d) Remove the trunnion from service on or ACTION: Final rule. Thomson-McDuffie Airport and amends before attaining the maximum accumulated Class E airspace at Augusta, GA, by RIN (24,000) in accordance with Table 1 of SUMMARY: This amendment establishes removing the airspace previously the Accomplishment Instructions of Bell Class E airspace at Thomson, GA, for the Helicopter Textron, Inc. ASB No. 206L–94– required for the Thomson-McDuffie 99, Revision A, dated May 1, 1995. Thomson-McDuffie Airport. Currently Airport. (e) Remove the mast from service on or the Class E airspace area for the airport The FAA has determined that this before attaining the maximum accumulated is included in the Augusta, GA, Class E regulation only involves an established RIN (44,000) or the flight hour service life airspace area. The McDuffie NDB was body of technical regulations for which limit, whichever occurs first, in accordance relocated from an off-airport to an on- frequent and routine amendments are with Table 2 of the Accomplishment airport site. As a result the NDB necessary to keep them operationally Instructions of Bell Helicopter Textron, Inc. Standard Instrument Approach current. It, therefore, (1) is not a ASB No. 206L–94–99, Revision A, dated May Procedure (SIAP) has been revised. The 1, 1995. ‘‘significant regulatory action’’ under (f) An alternative method of compliance or subsequent airspace review revealed Executive Order 12866; (2) is not a adjustment of the compliance time that that less Class E airspace was now ‘‘significant rule’’ under DOT provides an acceptable level of safety may be required for the Thomson-McDuffie Regulatory Policies and Procedures (44 used if approved by the Manager, Rotorcraft Airport. As reduced the Class E airspace FR 11034; February 26, 1979); and (3) Certification Office, Rotorcraft Directorate, area for the Thomson-McDuffie Airport does not warrant preparation of a FAA. Operators shall submit their requests no longer intersects the remainder of the regulatory evaluation as the anticipated through an FAA Principal Maintenance Augusta Class E airspace area. impact is so minimal. Since this is a Inspector, who may concur or comment and Therefore, it is necessary to establish then send it to the Manager, Rotorcraft routine matter that will only affect air Certification Office. stand alone Class E airspace extending traffic procedures and air navigation, it upward from 700 feet above the surface Note 2: Information concerning the is certified that this rule will not have existence of approved alternative methods of (AGL) at Thomson, GA, for the a significant economic impact on a compliance with this AD, if any, may be Thomson-McDuffie Airport and amend substantial number of small entities obtained from the Rotorcraft Certification the Augusta, GA, Class E airspace area under the criteria of the Regulatory Office. by removing the airspace previously Flexibility Act. (g) Special flight permits may be issued in required for the Thomson-McDuffie accordance with sections 21.197 and 21.199 Airport. List of Subjects in 14 CFR Part 71 of the Federal Aviation Regulations (14 CFR EFFECTIVE DATE: 0901 UTC, May 22, Airspace, Incorporation by reference, 21.197 and 21.199) to operate the helicopter 1997. Navigation (air). to a location where the requirements of this AD can be accomplished. FOR FURTHER INFORMATION CONTACT: Adoption of the Amendment Benny L. McGlamery, Operations (h) The creation of the component history In consideration of the foregoing, the card, documentation, and removal of the Branch, Air Traffic Division, Federal trunnion and mast shall be done in Aviation Administration, P.O. Box Federal Aviation Administration accordance with Bell Helicopter Textron, Inc. 20636, Atlanta, Georgia 30320; amends 14 CFR Part 71 as follows: ASB No. 206L–94–99, Revision A, dated May telephone (404) 305–5570. 1, 1995. This incorporation by reference was PART 71Ð[AMENDED] SUPPLEMENTARY INFORMATION: approved by the Director of the Federal 1. The authority citation for 14 CFR Register in accordance with 5 U.S.C. 552(a) History and 1 CFR part 51. Copies may be obtained Part 71 continues to read as follows: from Bell Helicopter Textron, A Division of On January 24, 1997, the FAA Authority: 49 U.S.C. 106(g); 40103, 40113, Textron Canada Ltd. 12,800 Rue de L’Avenir, proposed to amend Part 71 of the 40120; EO 10854, 24 FR 9565, 3 CFR, 1959– Mirabel, Quebec, Canada J7J1R4, ATTN: Federal Aviation Regulations (14 CFR 1963 Comp., p. 389; 14 CFR 11.69. 16076 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

§ 71.1 [Amended] EFFECTIVE DATE: 0901 UTC March 27, penalty-reduction policy for small 2. The incorporation by reference in 1997. entities as required by the Small 14 CFR 71.1 of Federal Aviation FOR FURTHER INFORMATION CONTACT: Business Regulatory Enforcement Administration Order 7400.9D, Airspace William Buck, Airspace Specialist, Fairness Act, Pub. L. No. 104–121, 110 Designations and Reporting Points, Operations Branch, AWP–530, Air Stat. 857 (1996). The Commission also dated September 4, 1996, and effective Traffic Division, Western-Pacific requests comments on the policy. After September 16, 1996, is amended as Region, Federal Aviation the comment period has closed and the follows: Administration, 15000 Aviation Commission has gained experience in applying the policy, the Commission Paragraph 6005 Class E airspace areas Boulevard, Lawndale, California, 90261, extending upward from 700 feet above the telephone (310) 725–6556. intends to re-evaluate the policy in light surface of the earth. of its experience and the comments of SUPPLEMENTARY INFORMATION: interested persons. * * * * * History DATES: Effective March 29, 1997. ASO GA E5 Thomson, GA [New] Federal Register Document 97–4577, Interested persons may submit Thomson-McDuffie Airport, GA comments on the policy on or before ° ′ ′′ ° ′ ′′ Airspace Docket No. 96–AWP–30, (Lat. 33 31 47 N. long. 82 31 00 W) published on February 25, 1997 (62 FR December 31, 1997. That airspace extending upward from 700 8369), revised the description of the ADDRESSES: Interested persons should feet above the surface within a 7.5-mile Class E airspace area at Victorville, CA. submit three copies of their written radius of Thomson-McDuffie Airport. An error was discovered in the data, views, and opinions to Jonathan G. * * * * * geographic coordinates for the Katz, Secretary, Securities and Exchange ASO GA E5 Augusta, GA [Revised] Victorville, CA, Class E airspace area. Commission, 450 Fifth St. N.W., Augusta, Bush Field, GA This action corrects that error. Washington, D.C. 20549. Comment (Lat. 33°22′12′′ N. long. 81°57′52′′ W) letters also may be submitted Correction to Notice of Proposed electronically to the following electronic Bushe NDB Rulemaking (Lat. 33°17′13′′ N. long. 81°56′49′′ W) mail address: [email protected]. Daniel Field Accordingly, pursuant to the All comment letters should refer to File (Lat. 33°27′59′′ N. long. 82°02′21′′ W) authority delegated to me, the No. S7–14–97; this file number should Burke County Airport geographic coordinates for the Class E be included on the subject line if E:mail ° ′ ′′ ° ′ ′′ (Lat. 33 02 28 N. long. 82 00 14 W) airspace are at Victorville, CA, as is used. All comment letters will be Burke County NDB published in the Federal Register on made available for public inspection (Lat. 33°02′33′′ N. long. 82°00′17′′ W) That airspace extending upward from 700 February 25, 1997, Federal Register and copying at the Commission’s Public feet above the surface within an 8.2-mile Document 97–4577; page 8370, column Reference Room, Room 1024, 450 Fifth radius of Bush Field and within 8 miles west 2), is corrected as follows: St., N.W., Washington, D.C. 20549. and 4 miles east of Augusta ILS localizer Electronically submitted comment § 71.1 [Corrected] south course extending from the 8.2-mile letters will be posted on the radius to 16 miles south of the Bushe NDB, * * * * * Commission’s Internet Web site (http:// and within a 6.3-mile radius of Daniel Field, AWP CA E5 Victorville, CA www.sec.gov). and within a 6.2-mile radius of Burke County ° ′ ′′ FOR FURTHER INFORMATION CONTACT: Airport and within 3.5 miles each side of the By removing ‘‘(lat. 34 35 67 N., long. Joan ° ′ ′′ 243° bearing from the Burke County NDB 117 22 93 W.)’’ and substituting ‘‘(lat. McKown (202–942–4530) or Susan ° ′ ′′ ° ′ ′′ extending from the 6.2-mile radius to 7 miles 34 35 40 N., long. 117 22 56 W.)’’. Mathews (202–942–4737), Office of the southwest of the NDB. * * * * * Chief Counsel, Division of Enforcement, * * * * * Issued in Los Angeles, California, on or Amy Kroll (202–942–0927) or Anne Issued in College Park, Georgia, on March March 5, 1997. Sullivan (202–942–0954), Office of the 24, 1997. George D. Williams, General Counsel. Wade T. Carpenter, Manager, Air Traffic Division, Western-Pacific SUPPLEMENTARY INFORMATION: The Small Acting Manager, Air Traffic Division, Region. Business Regulatory Fairness Act Southern Region. [FR Doc. 97–8500 Filed 4–3–97; 8:45 am] (‘‘SBREFA’’ or ‘‘the Act’’) was enacted 1 [FR Doc. 97–8614 Filed 4–3–97; 8:45 am] BILLING CODE 4910±13±M on March 29, 1996. SBREFA seeks to BILLING CODE 4910±13±M improve the regulatory climate for small entities 2 by, among other things: SECURITIES AND EXCHANGE • Expanding the extent to which the 14 CFR Part 71 COMMISSION rule making process must include evaluation of the impact of proposed [Airspace Docket No. 96±AWP±30] 17 CFR Part 202 rules (and rule changes) on small entities; 3 [Release Nos. 33±7408, 34±38447, 35±26696, Amendment of Class E Airspace; 39±2350, IC±22588, and IA±1625; File No. Victorville, CA S7±14±97] 1 Pub. L. No. 104–121, 110 Stat. 857 (codified in scattered sections of 5 U.S.C., 15 U.S.C. and as a AGENCY: note to 5 U.S.C. § 601) (1996). Federal Aviation Penalty-Reduction Policy for Small Administration (FAA), DOT. 2 The definition of ‘‘small entity’’ under SBREFA Entities is the same as the definition of ‘‘small entity’’ under ACTION: Final rule; correction. the Regulatory Flexibility Act, 5 U.S.C. § 601 et seq. AGENCY: Securities and Exchange (‘‘Reg. Flex. Act’’). SBREFA § 221(1). The Reg. Flex. SUMMARY: This action corrects an error Commission. Act defines ‘‘small entity’’ to include ‘‘small in the geographic coordinates of a final ACTION: Policy statement; request for business.’’ Pursuant to the Reg. Flex. Act, 5 U.S.C. rule that was published in the Federal § 601(3), the Commission has adopted appropriate comments. definitions of ‘‘small business’’ for purposes of the Register on February 25, 1997 (62 FR Reg. Flex. Act. See infra n.10. 8369), Airspace Docket No. 96–AWP– SUMMARY: The Securities and Exchange 3 5 U.S.C. §§ 603(a), 604, and 605(b), codifying 30. Commission is issuing a statement of its SBREFA §§ 241 and 243. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16077

• Expanding the rights of action for assessing penalties on small entities, or small organization as defined by small businesses to seek judicial review and the appropriate conditions and Commission rules adopted for the purpose of 4 compliance with the Regulatory Flexibility of rules impacting small entities; exclusions for a penalty-reduction 10 • Requiring agencies to establish Act. An entity not included in these policy for small entities that violate the definitions will be considered ‘‘small’’ for small entity penalty reduction or waiver federal securities laws. On the basis of purposes of this policy if it meets the total policies; 5 and that review, the Commission announces • asset amount that applies to issuers as set Directing agencies to expand their its Penalty-Reduction Policy for small forth in Rule 157(a) of the Securities Act of efforts to provide formal and informal entities. Although the Commission’s 1933.11 guidance to small entities.6 informal practice has been to consider (b) The foregoing policy does not create a In this release, the Commission some or all of the factors contained in right or remedy for any person. This policy announces a small entity penalty- the policy in its penalty analysis for all shall not apply to any remedy that may be reduction policy (‘‘Penalty-Reduction sought by the Commission other than civil entities, in accord with the mandates of money penalties, whether or not such other Policy’’ or ‘‘Policy’’) as mandated by SBREFA, the Commission sets forth in SBREFA and solicits comment on the remedy may be characterized as penal or this release a formal policy specifically remedial. Policy. for small entities that embodies these SBREFA provides a general standard factors. The Commission also invites B. Penalties Eligible for Reduction for penalty-reduction policies: comments on this Policy. The Policy will apply only to civil Each agency regulating the activities of money penalties. It will not apply to any small entities shall establish a policy or I. Penalty-Reduction Policy remedy that the Commission may seek program within 1 year of enactment of this A. Text of Policy other than civil money penalties, section to provide for the reduction, and, whether or not such other remedy may under appropriate circumstances for the The text of the policy follows: 12 waiver, of civil penalties for violations of a be characterized as penal or remedial. The Commission’s policy with respect to SBREFA provides that an agency may statutory or regulatory requirement by a whether to reduce or assess civil money small entity. Under appropriate consider an entity’s ‘‘ability to pay,’’ penalties against a small entity is: and requires agencies to report to circumstances, an agency may consider (a) The Commission will consider on a ability to pay in determining penalty case-by-case basis whether to reduce or not Congress on the ‘‘total amount of assessments on small entities.7 assess civil money penalties against a small penalty reductions.’’ The Commission A statement entered into the entity. In determining whether to reduce or interprets these statements to refer to Congressional Record after enactment of not assess penalties against a specific small civil money penalties. Committee SBREFA explains that agencies have entity, the following considerations will statements that were included in the ‘‘flexibility to tailor their specific apply: Congressional Record after enactment of programs to their missions and (1) Except as provided in paragraph (a)(3) SBREFA also support limiting penalty charters’’ and instructs agencies ‘‘to below, penalty reduction will not be reduction policies to civil money develop the boundaries of their program available for any small entity if: 13 (i) The small entity was subject previously penalties. Moreover, an Environmental and the specific circumstances for Protection Agency (‘‘EPA’’) policy cited providing for a waiver or reduction of to an enforcement action; 8 (ii) Any of the small entity’s violations penalties.’’ To that end, SBREFA involved willful or criminal conduct; or 10 Pursuant to the Reg. Flex. Act, 5 U.S.C. specifies that a penalty-reduction policy (iii) The small entity did not make a good § 601(3), the Commission has adopted appropriate adopted by an agency may be subject to faith effort to comply with the law. definitions of ‘‘small business’’ for purposes of the the requirements or limitations of other (2) In considering whether the Commission Reg. Flex. Act. Based on an analysis of the language and legislative history of the Reg. Flex. Act, applicable statutes. SBREFA also lists will reduce or refrain from assessing a civil Congress does not appear to have intended that Act six possible exclusions or conditions money penalty, the Commission may to apply to natural persons (as opposed to that an agency may incorporate in its consider: individual proprietorships) or to foreign entities. policy.9 (i) The egregiousness of the violations; The Commission understands that staff at the Small The Commission has reviewed the (ii) The isolated or repeated nature of the Business Administration (SBA) have taken the same violations; position. Telephone conversation with Gregory J. current requirements of the federal (iii) The violator’s state of mind when Dean, Jr., Assistant Chief Counsel for Finance and securities laws, its current practice in committing the violations; Programs, SBA Office of Advocacy (Mar. 13, 1997). (iv) The violator’s history (if any) of legal See 17 CFR 270.0–10, 275.0–7, 240.0–10, 230.157, 250.110, and 260.0–7. The Commission recently 4 5 U.S.C. § 611, codifying SBREFA § 242. or regulatory violations; proposed amendments to certain of these 5 SBREFA § 223. (v) The extent to which the violator definitions. Definitions of ‘‘Small Business’’ or 6 SBREFA §§ 212, 213, 214 (codified at 15 U.S.C. cooperated during the investigation; ‘‘Small Organization’’ Under the Investment § 648(c)(3)), and 215. In a companion release, the (vi) Whether the violator has engaged in Company Act of 1940, the Investment Advisers Act Commission is adopting an informal guidance subsequent remedial efforts to mitigate the of 1940, the Securities Exchange Act of 1934, and program as required by SBREFA. Informal effects of the violation and to prevent future the Securities Act of 1933, Securities Act Rel. No. Guidance Program for Small Entities, Securities Act 7383, 62 FR 4106 (Jan. 28, 1997). The Commission Rel. No. 33–7407 (Mar. 27, 1997). The Commission violations; (vii) The degree to which a penalty will extended the comment period for the proposed previously, on January 28, 1997, adopted small amendments to April 30, 1997, 62 FR 13356 (Mar. entity compliance guides as required by SBREFA. deter the violator or others from committing 20, 1997). Securities Act Rel. No. 7342, 62 FR 4104 ( Jan. 28, future violations; and 11 At present, this threshold is $5 million. Thus, 1997) (codified at 17 CFR 202.8). (viii) Any other relevant fact. non-regulated entities, such as general partnerships, 7 SBREFA § 223(a). SBREFA also establishes that (3) The Commission also may consider privately held corporations or professional service ‘‘[i]n any civil or administrative action against a whether to reduce or not assess a civil money organizations, with assets of $5 million or less may small entity, guidance given by an agency applying penalty against a small entity, including a qualify for penalty-reduction. the law to facts provided by the small entity may small entity otherwise excluded from this 12 See Johnson v. SEC, 87 F.3d 484 (D.C. Cir. be considered as evidence of the reasonableness or policy under paragraphs (a)(1)(i)–(iii) above, 1996) (six-month suspension from supervisory appropriateness of any proposed fines, penalties or if the small entity can demonstrate to the positions at broker-dealers constitutes a penalty for damages sought against such small entity.’’ Id. Commission’s satisfaction that it is the purposes of 28 U.S.C. § 2462). § 213(a). 13 financially unable to pay the penalty, ‘‘Small Business Regulatory Enforcement 8 ‘‘Small Business Regulatory Enforcement Fairness Act: Views of the House Committees of Fairness Act—Joint Managers Statement of immediately or over a reasonable period of Jurisdiction on the Congressional Intent Regarding Legislative History and Congressional Intent,’’ 142 time, in whole or in part. the ‘Small Business Regulatory Enforcement Cong. Rec. S3244 (daily ed. Mar. 29, 1996). (4) For purposes of this policy, an entity Fairness Act of 1996,’ ’’ 142 Cong. Rec. E572 (daily 9 SBREFA § 223(b). qualifies as ‘‘small’’ if it is a small business ed. Apr. 19, 1996); 142 Cong. Rec. at S3244. 16078 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations in the statements as an example of an contained in paragraph (a)(1) of the reduction on a small entity’s correction appropriate policy is limited to civil Policy, but does not incorporate the of a violation within a reasonable time money penalties.14 other three. period. If a small entity violates the securities laws, the violation cannot be C. Other Relevant Statutes 1. Multiple Enforcement Actions ‘‘undone.’’ Rather, the Commission’s The Policy is consistent with the SBREFA permits an agency to exclude enforcement program focuses on statutory provisions in the Securities from its policy small entities that have stopping current violative conduct or Enforcement Remedies and Penny Stock been subject to multiple enforcement preventing future conduct through the Act of 1990,15 the Insider Trading actions. The Commission historically use of injunctions and temporary Sanctions Act of 1984,16 and other has made a similar determination under restraining orders, and by recovering ill- statutes 17 that grant the Commission the Section 21B(c) of the Exchange Act gotten gains in the form of disgorgement authority to impose civil money when considering whether a penalty is or by requiring undertakings to improve penalties for a broad range of violations in the public interest.20 The compliance procedures at firms. The of the federal securities laws.18 These Commission believes it is appropriate to Office of Compliance Inspections and Acts give the Commission flexibility to deny access to the Penalty-Reduction Examinations (‘‘OCIE’’) issues tailor sanctions and recommend factors Policy to small entities against which deficiency letters to regulated entities that guide the Commission’s discretion the Commission previously has filed an found to have weaknesses in their in imposing money penalties. Although action. Therefore, the Policy contains compliance systems and or to have each decision is based on fact-specific this exclusion. violated applicable rules and circumstances, with respect to each 2. Willful or Criminal Conduct regulations. Depending on the nature of violator the Commission presently may violations found, however, even if an SBREFA permits an agency to exclude consider: (1) the violator’s financial entity corrects the violations, OCIE may from its policy a small entity whose ability to pay a penalty; (2) whether the make an enforcement referral in an violation involves willful or criminal violator is a repeat offender; (3) effort to deter future violations by the conduct. Thomas J. Bliley, Jr., Chairman cooperation provided during the entity. Because enforcement action is of the House Commerce Committee, investigation; (4) subsequent remedial initiated when a violation is particularly efforts; (5) whether the violation was explained in a statement entered into the Congressional Record after egregious, or when an entity has failed willful; (6) the degree to which a to correct adequately its violations, penalty will deter future violations; and enactment of SBREFA that: 19 penalty reduction for correcting a (7) any other relevant fact. We will not tolerate, and this bill does not violation that is the basis of an create, any free pass for financial fraud. enforcement action would send the D. Exclusions From and Conditions to Specifically, Section 323(b)(4) of the bill the Penalty-Reduction Policy expressly excludes ‘‘violations involving wrong message to regulated entities. Section 223(b) of SBREFA lists six willful or criminal conduct’’ from the small Consequently, the Commission is not possible exclusions or conditions that business enforcement variance. In the context including this condition in the Policy. agencies may incorporate in their of the federal securities laws, I understand ‘‘willful’’ to have the longstanding judicial 5. Compliance Assistance Program penalty-reduction policies, some of construction as expressed in, for example, SBREFA also permits an agency to which are similar to those factors the Tager v. Securities and Exchange apply penalty reduction to violations Commission may consider when Commission, 344 F.2d 5, 7 (2d. Cir. 1965).21 discovered through an entity’s fashioning a penalty under the statutes Consistent with Chairman Bliley’s participation in a compliance assistance described above. For the reasons statement, the Policy is not available to or audit program operated or supported discussed below, the Commission small entities if their violations involve by the agency or a state.22 Specifically, incorporates in the Policy three of the willful or criminal conduct. some agencies, for example the suggested exclusions, which are 3. Good Faith Compliance Occupational Safety and Health Administration and EPA, have offices 14 See EPA, Policy on Compliance Incentives for SBREFA permits an agency to require Small Business, 61 FR 27984 (June 3, 1996). that a small entity has made a good faith that will audit, and pass judgment on, 15 Pub. L. 101–429, 104 Stat. 931 (1990) (codified effort to comply with the law in order a regulated entity’s compliance in scattered sections of 15 U.S.C.) (‘‘Remedies for the small entity to avail itself of the program. SBREFA suggests that agencies Act’’). penalty reduction policy. The Policy could consider applying their penalty 16 Pub. L. No. 98–376, 98 Stat. 1264 (1984) reduction policies to small entity (codified in scattered sections of 15 U.S.C.) contains this exclusion. Under the (‘‘Insider Trading Act’’). Policy, a small entity may qualify for violations found in the course of such 17 See, e.g., Insider Trading and Securities Fraud penalty reduction only if the a compliance audit. Although various Enforcement Act of 1988, Pub. L. No. 100–704, 102 Commission has not alleged that its divisions within the Commission Stat. 4677 (1988) (codified in scattered sections of actions were undertaken in bad faith provide regulatory guidance, the 15 U.S.C.). Commission does not operate a formal 18 See section 20(d)(2) of the Securities Act of and if the entity proffers evidence 1933 (civil actions) (15 U.S.C. 77t(d)(2)); sections satisfactory to the Commission that it ‘‘compliance assistance or audit 21(d)(3) (civil actions), 21A (insider trading made a ‘‘good faith’’ effort to comply program.’’ 23 Rather than specify how actions), and 21B (administrative proceedings) of with the securities laws. every regulated entity should structure the Securities Exchange Act of 1934 (‘‘Exchange its compliance program, the Act’’) (15 U.S.C. §§ 78u(d)(3), 78u–1, and 78u–2); 4. Reasonable Correction Period sections 203(i)(2) (administrative proceedings) and Commission sets standards and then 209(e) (civil actions) of the Investment Advisers Act SBREFA permits an agency to relies on the ability of each regulated of 1940 (15 U.S.C. §§ 80b–3(i)(2) and 80b–9(e)); and condition the availability of penalty entity, and when applicable its self- sections 9(d) (administrative proceedings) and 42(e) regulatory organization, to determine (civil actions) of the Investment Company Act of 20 1940 (15 U.S.C. §§ 80a–9(d) and 80a–41(e)). Under this section, the Commission will how best to implement its compliance 19 consider whether the entity previously violated the See, e.g., section 21B(c)(1)–(6) of the Exchange federal or state securities laws or rules. Act (15 U.S.C. § 78u–2(c)(1)–(6)); see also SEC v. 22 SBREFA § 223(b)(2). Brumfield et al., SEC Lit. Rel. No. 14,956 (June 20, 21 ‘‘Contract with America Advancement Act of 23 Inspections and examinations by OCIE do not 1996) (penalty not imposed in light of respondent’s 1996,’’ Speech of Hon. Thomas J. Bliley, Jr., 142 constitute formal compliance assistance or audit cooperation). Cong. Rec. E591–92 (daily ed. Apr. 19, 1996). programs. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16079 program, based on the nature of its demand an appropriate penalty amount Authority: 15 U.S.C. 77s, 77t, 78d–1, 78u, business. Because the Commission does based on the entity’s ability to pay.26 78w, 78ll(d), 79r, 79t, 77sss, 77uuu, 80a–37, not have a compliance program of the Consistent with this practice, 80a–41, 80b–9, and 80b–11, unless otherwise type described in SBREFA, this paragraph (a)(3) of the Policy makes noted. condition is not in the Policy. Notably, penalty-reduction available to small * * * * * however, as a general matter, the entities that may otherwise be excluded Section 202.9 is also issued under Commission does take into under paragraph (a)(1). A small entity section 223, 110 Stat. 859 (Mar. 29, consideration compliance efforts and must demonstrate to the Commission’s 1996). gives appropriate weight to the satisfaction that it is unable financially 2. Section 202.9 is added to read as existence of effective compliance to pay a penalty before the Commission follows: procedures both in making prosecutorial will consider whether penalty-reduction § 202.9 Small entity enforcement penalty decisions regarding bringing charges is warranted. The Policy establishes that reduction policy. and in determining sanctions or the Commission, in its sole discretion, The Commission’s policy with respect penalties. may consider the eight factors in to whether to reduce or assess civil 6. Health, Safety or Environmental paragraph (a)(2) of the Policy as well as money penalties against a small entity Threats reviewing evidence presented by the is: small entity requesting penalty- (a) The Commission will consider on Finally, SBREFA mentions excluding reduction, such as sworn financial a case-by-case basis whether to reduce from a penalty reduction policy those statements, to determine whether or not assess civil money penalties violations ‘‘that pose serious health, reduction is warranted in a particular against a small entity. In determining safety or environmental threats.’’ The case. The small entity must demonstrate whether to reduce or not assess Commission does not regulate health, to the Commission’s satisfaction that it penalties against a specific small entity, safety or environmental entities. presently is unable financially to pay the following considerations will apply: Therefore, this exclusion is not in the the penalty, in whole or in part, and that (1) Except as provided in paragraph Policy. it will be unable to pay the penalty, in (a)(3) of this section, penalty reduction E. Elements the Commission May whole or in part, over a reasonable will not be available for any small entity Consider When Assessing Whether to period of time. if: (i) The small entity was subject Reduce or Not Assess Penalties II. Regulatory Requirements previously to an enforcement action; Consistent with the Commission’s The Commission is announcing a (ii) Any of the small entity’s practice and the statutes which enable Penalty Reduction Policy as required by violations involved willful or criminal the Commission to assess money SBREFA. As a general statement of conduct; or penalties, paragraph (a)(2) of the Policy policy, the Administrative Procedure (iii) The small entity did not make a identifies eight elements the Act (‘‘APA’’) does not require that the good faith effort to comply with the law. Commission may consider when Commission publish the Policy for (2) In considering whether the determining whether to reduce or not notice and comment.27 The Commission Commission will reduce or refrain from assess a civil money penalty against a wishes, however, to provide interested assessing a civil money penalty, the small entity. Although derived from parties, particularly small entities, an Commission may consider: considerations the Commission already opportunity to comment on the Policy. (i) The egregiousness of the violations; applies when determining whether, and The Commission intends to revisit the (ii) The isolated or repeated nature of the level at which, to apply penalties,24 Policy when a reasonable period has the violations; the Policy gives the Commission passed after the end of the comment (iii) The violator’s state of mind when discretion to consider any or all of these period. In its re-evaluation, the committing the violations; in any case where the Policy may apply. Commission will consider its (iv) The violator’s history (if any) of F. Ability to Pay experience administering the Policy and legal or regulatory violations; (v) The extent to which the violator comments the Commission receives. SBREFA permits an agency to cooperated during the investigation; consider ability to pay in determining List of Subjects in 17 CFR Part 202 (vi) Whether the violator has engaged penalty assessments on small entities.25 in subsequent remedial efforts to Administrative practice and Since passage of the Remedies Act in mitigate the effects of the violation and procedure. 1990, the Commission has complied to prevent future violations; with the spirit of SBREFA, considering Text of Amendment (vii) The degree to which a penalty an entity’s ability to pay before setting will deter the violator or others from a penalty amount. Generally, the In accordance with the foregoing, 17 committing future violations; and Commission seeks money penalties in CFR, Chapter II, is amended as follows: (viii) Any other relevant fact. an amount that, after careful PART 202ÐINFORMAL AND OTHER (3) The Commission also may examination of financial information PROCEDURES consider whether to reduce or not assess provided by the violator, the a civil money penalty against a small Commission determines the violator is 1. The authority citation for Part 202 entity, including a small entity able to pay. When analyzing appropriate is amended by adding the following otherwise excluded from this policy sanctions in a particular case, the citation to read as follows: under paragraphs (a)(1) (i)–(iii) of this Commission typically will direct its section, if the small entity can staff to examine an entity’s ability to pay 26 In accordance with section 21B(d) of the demonstrate to the Commission’s disgorgement first; if the entity has the Exchange Act, for example, the staff considers an satisfaction that it is financially unable ability to pay a penalty after paying entity’s ‘‘ability to continue in business and the to pay the penalty, immediately or over collectability of a penalty, taking into account any a reasonable period of time, in whole or disgorgement, the Commission will other claims of the United States or third parties upon such person’s assets and the amount of such in part. 24 See supra n.19 and accompanying text. person’s assets.’’ (4) For purposes of this policy, an 25 See SBREFA § 223(a). 27 5 U.S.C. § 553(a)(3)(A). entity qualifies as ‘‘small’’ if it is a small 16080 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations business or small organization as The zone is needed to protect contained in Executive Order 12612 and defined by Commission rules adopted personnel and property associated with has determined that it does not have for the purpose of compliance with the the Dauphin Island Spring Festival sufficient federalism implications to Regulatory Flexibility Act.1 An entity Acrobatic airshow, Dauphin Island, warrant the preparation of a Federalism not included in these definitions will be Alabama. Entry into this zone is Assessment. considered ‘‘small’’ for purposes of this prohibited unless authorized by the policy if it meets the total asset amount Captain of the Port. Environment that applies to issuers as set forth in DATES: This regulation is effective from The Coast Guard considered the § 230.157a of this chapter.2 3 p.m. to 4 p.m. on April 5, 1997. environmental impact of this proposal (b) This policy does not create a right FOR FURTHER INFORMATION CONTACT: and concluded that under section 2.B.2. or remedy for any person. This policy LTJG H. Elena McCullough, (334) 441– of Commandant Instruction M16475.1 shall not apply to any remedy that may 5286, 150 North Royal Street, Mobile, (series), this proposal is categorically be sought by the Commission other than AL 36652–2924. excluded from further environmental civil money penalties, whether or not SUPPLEMENTARY INFORMATION: In documentation. A Categorical Exclusion such other remedy may be characterized accordance with 5 U.S.C. 553, a notice Determination is available by contacting as penal or remedial. of proposed rule making was not Commander (mps), Eight Coast Guard Dated: March 27, 1997. published for this regulation and good District, 501 Magazine Street, New By the Commission. cause exists for making it effective in Orleans, LA 70130–3396. Margaret H. McFarland, less than 30 days after Federal Register List of Subjects in 33 CFR Part 165 Deputy Secretary. publication. Publishing an NPRM and [FR Doc. 97–8360 Filed 4–3–97; 8:45 am] delaying its effective date would be contrary to the public interest since Marine safety, Waterways. BILLING CODE 8010±01±M immediate action is needed to prevent Regulation damage to the vessels involved. For the reasons set out in the Background and Purpose DEPARTMENT OF TRANSPORTATION preamble, 33 CFR 165 is amended as The event requiring this regulation follows: Coast Guard will begin at 3 p.m. on April 5, 1997. The Town of Dauphin Island will be 33 CFR Part 165 PART 165Ð[AMENDED] sponsoring an airshow, with low level [COTP Mobile, AL 97±005] acrobatics, in the Pelican Passage 1. The authority citation for part 165 extending 1⁄2 mile south and 3⁄4 mile continues to read as follows: RIN 2115±AA97 east and west of Dauphin Island Pier, Authority: 33 U.S.C. 1231; 50 U.S.C. 191; Dauphin Island, Alabama, bounded by Safety Zone Regulations: Pelican 33 CFR 1.05–1(g), 6.04–1, 6.04–6, and 160.5; the previously listed coordinates. The Passage Dauphin Island, AL 49 CFR 1.46. airshow will terminate at 4 p.m. on AGENCY: Coast Guard, DOT. April 5, 1997. This regulation is issued 2. Section 165.T08–009 is added to pursuant to 33 U.S.C. 1231 as set out in ACTION: Temporary rule. read as follows: the authority citation for all of Part 165. SUMMARY: The Coast Guard is The safety zone in bounded by 30–15N, § 165.T08.009 Safety Zone: Pelican establishing a safety zone for Pelican 088–08.2W; 30–14N, 088–08.2W; 30– Passage, Dauphin Island, AL. Passage extending 1⁄2 mile south and 3⁄4 13.5N, 088–06.5N; and 30–14.5N, 088– 06.5W. (a) Location. The following area is a mile east and west of Dauphin Island safety zone: Pelican Passage extending Pier, Dauphin Island, Alabama. Regulatory Evaluation 1⁄2 mile south and 3⁄4 mile east and west of Dauphin Island Pier, Dauphin Island, 1 This temporary rule is not a Pursuant to the Reg. Flex. Act, 5 U.S.C. § 601(3), Alabama. The zone is needed to protect the Commission has adopted appropriate significant regulatory evaluation under definitions of ‘‘small business’’ for purposes of the Executive Order 12866 and is not personnel and property associated with Reg. Flex. Act. See 17 CFR 270.0–10, 275.0–7, significant under the ‘‘Department of the Town of Dauphin Island will be 240.0–10, 230.157, 250.110, and 260.0–7. The Transportation Regulatory Policies and sponsoring an airshow, with low level Commission recently proposed amendments to acrobatics. certain of these definitions. Definitions of ‘‘Small Procedures’’ (44 FR 11040; February 26, Business’’ or ‘‘Small Organization’’ Under the 1979). The Coast Guard expects the (b) Effective date: This section is Investment Company Act of 1940, the Investment economic impact of this rule to be so effective from 3 p.m. to 4 p.m. on April Advisers Act of 1940, the Securities Exchange Act minimal that a full regulatory evaluation of 1934, and the Securities Act of 1933, Securities 5, 1997, unless terminated sooner by the Act Rel. No. 7383, 62 FR 4106 (Jan. 28, 1997). The is unnecessary. This regulation will Captain of the Port. Commission extended the comment period for the only be in effect for a short period of proposed amendments to April 30, 1997, 62 FR time, and the impacts on routine (c) Regulations: In accordance with 13356 (Mar. 20, 1997). Based on an analysis of the navigation are expected to be minimal. the general regulations in § 165.23 of language and legislative history of the Reg. Flex. this part, entry into this zone is Act, Congress does not appear to have intended that Collection of Information prohibited unless authorized by the Act to apply to natural persons (as opposed to individual proprietorships) or to foreign entities. This rule contains no collection of Captain of the Port. The Commission understands that staff at the Small information requirements under the Dated: March 14, 1997. Business Administration have taken the same Paperwork Reduction Act (44 U.S.C. S.E. Hartley, position. 3501 et seq.). 2 At present, this threshold is $5 million. Thus, Commander, U.S. Coast Guard, Captain of non-regulated entities, such as general partnerships, Federalism the Port, Acting. privately held corporations or professional service organizations, with assets of $5 million or less may The Coast Guard has analyzed this [FR Doc. 97–8504 Filed 4–3–97; 8:45 am] qualify for penalty-reduction. rule under the principles and criteria BILLING CODE 4910±14±M Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16081

33 CFR Part 165 an all time high. Several recent vessel mile 78 above Head of Passes shall only allisions with bridges, one of which transit during daylight hours. [CCGD08±97±008] involved a chemical barge, and barge In accordance with 5 U.S.C. 553, a RIN 2115±AE84 breakaways, including one involving notice of proposed rulemaking was not 134 barges from two barge fleeting published for this regulation and good Amendment to Regulated Navigation facilities, have been caused by strong cause exists for making it effective in Area Regulations; Lower Mississippi currents and eddies resulting from flood less than 30 days after Federal Register River conditions on the Lower Mississippi publication. Publication of notice of River. The Commander, Eighth Coast proposed rulemaking and delay of AGENCY: Coast Guard, DOT. Guard District has already placed effective date would be contrary to ACTION: Temporary final rule. operating restrictions on tows public interest because immediate downbound on the Mississippi River to action is necessary to ensure self- SUMMARY: On March 18, 1997 (62 assure adequate safe power for propelled vessels are capable of FR14637, March 27, 1997), the Coast navigation, and additional operating operating safely in the increased Guard established a temporary regulated requirements on self-propelled vessels currents present on the river and navigation area affecting the operation of 1600 or more gross tons operating prevent downbound towing vessels of downbound tows in the Lower anywhere within the Regulated from alliding with bridges and shore- Mississippi River from mile 437 at Navigation Area (RNA). The district side structures, and colliding with other Vicksburg, MS to mile 88 above Head of commander is now establishing vessels, causing danger to the public. Passes. On March 21, 1997 (62 FR15398, requirements for fleeting operations in April 1, 1997), the Coast Guard Regulatory Evaluation which chemical barges are maintained. amended the temporary regulated This rule is not a significant In addition, these new regulations will navigation area by extending the regulatory action under section 3(f) of establish requirements for both southern limit of the regulated Executive Order 12866 and does not upbound and downbound tows navigation area to the boundary of the require an assessment of potential cost containing chemical barges, and for territorial sea at the approaches to and benefits under section 6(a)(3) of that downbound chemical or gas ships Southwest Pass and included operating order. It has not been reviewed by the operating on the Lower Mississippi requirements affecting the operation of Office of Management and Budget under River from mile 437 at Vicksburg, MS to self-propelled vessels of 1600 gross tons that order. It is not significant under the mile 78 above Head of Passes. or greater. Increasing high water regulatory policies and procedures of Downbound chemical or gas ships will conditions are causing the Coast Guard the Department of Transportation (DOT) be limited to daylight transit only. This to amend for a second time the (44 FR 11040; February 26, 1979). amended emergency Temporary regulation to establish additional safety For the reasons expressed below Regulated Navigation Area extends from measures applicable to U.S. flagged and (Small Entities), the Coast Guard one mile above the Interstate 20 foreign-flagged vessels authorized to expects the economic impact of this rule Highway Bridge at Vicksburg, carry cargoes listed under Title 46, Code to be so minimal that a full Regulatory Mississippi (Lower Mississippi River of Federal Regulations, part 151 Evaluation under paragraph 10(e) of the Mile 437), to the boundary of the (chemical barges) and parts 153–154 regulatory policies and procedures of territorial sea at the approaches to (chemical and gas ships). The Coast DOT is unnecessary. Southwest Pass. Guard is also extending the effective For purposes of this amended Small Entities date of the regulation to April 10, 1997, regulation, ‘‘chemical barges’’ are because the high water conditions are Under the Regulatory Flexibility Act defined as barges authorized to carry expected to last longer than originally (5 U.S.C. 601 et seq.), the Coast Guard cargoes listed under Title 46, Code of contemplated. The regulated navigation must consider whether this rule, if Federal Regulations § 151 (Subchapter area is needed to protect vessels, adopted, will have a significant O); ‘‘chemical ships’’ are defined as U.S. bridges, shore-side facilities and the economic impact on a substantial flagged or foreign-flagged vessels subject public from a safety hazard created by number of small entities. ‘‘Small to the requirements of Title 46, Code of high water and resulting flooding along entities’’ may include (1) small Federal Regulations, part 153 the Lower Mississippi River. businesses and not-for-profit (Subchapter O); and ‘‘gas ships’’ are Downbound barge traffic, and the organizations that are independently defined as U.S. flagged or foreign- transmitting of self-propelled vessels of owned and operated and are not flagged vessels subject to the 1600 or more gross tons and chemical dominant in their fields and (2) requirements of Title 46, Code of and gas ships are prohibited from governmental jurisdictions with Federal Regulations, part 154 entering this area unless they are in populations of less than 50,000. Small (Subchapter O). compliance with this regulation. entities in this case would not include This amended regulation requires that a significant number of companies EFFECTIVE DATES: This amended chemical barges maintained in a fleeting operating chemical or gas ships due to regulation is effective at 12:00 p.m. on area be placed in a protected position the nature and cost of operating vessels March 29, 1997 and terminates at 12 within the fleet. of this size. However, it could include p.m. on April 10, 1997. Whenever possible, shifting of small towing companies that may be FOR FURTHER INFORMATION CONTACT: chemical barges within a fleeting area affected by this rule. This amendment CDR Harvey R. Dexter, Marine Safety shall be limited to daylight hours. requires towing operations to place Division, USCG Eighth District at New Upbound and downbound tows chemical barges in the most protected Orleans, LA (504) 589–6271. containing chemical barges shall place position within the tow configuration. SUPPLEMENTARY INFORMATION: them in the most protected position This is not a constraint on operation within the tow configuration. since it does not limit the type or kind Background and Purpose Downbound chemical or gas ships of barges within a tow, but merely The velocity of river currents on the operating on the Lower Mississippi requires prudence when configuring a Lower Mississippi River is approaching River from mile 437 at Vicksburg, MS to tow. No additional restrictions on 16082 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations transit for towing operations are § 165.T08±001 Regulated Navigation Area; Administrator of EPA shall require the imposed by this amendment. This Lower Mississippi River. sale of reformulated gasoline in an regulation may also affect fleet operators * * * * * ozone nonattainment area classified as by requiring that chemical barges be (b) * * * Marginal, Moderate, Serious, or Severe moored in a protected position within (8) For purposes of this section, upon the application of the governor of the fleet. The regulation also requires ‘‘chemical barges’’ are defined as barges the state in which the nonattainment that, if chemical barges are to be shifted authorized to carry cargoes listed under area is located. On February 18, 1997, in a fleeting area, when possible they be 46 CFR part 151 (Subchapter O). EPA issued a direct final rule (62 FR shifted during the day. These (9) Chemical barges maintained in a 7164) setting an effective date for the requirements are consistent with fleeting area shall be placed in a Phoenix ozone nonattainment area to be accepted industry practice, impose protected position within the fleet. a covered area in the federal minimal financial burdens, and are (10) Whenever possible, shifting of reformulated gasoline (RFG) program. In consistent with the actions of prudent chemical barges within a fleeting area this action EPA is withdrawing the operators under the circumstances. This shall be limited to daylight hours. direct final rule because subsequent to rule is deemed to not have a substantial (11) Upbound and downbound tows publication, EPA received several economic impact. containing chemical barges shall place requests for a hearing. them in the most protected position Collection of Information within the tow configuration. DATES: This action will be effective March 31, 1997. This rule contains no collection-of- (12) For purposes of this section, information requirements under the ‘‘chemical ships’’ are defined as U.S. ADDRESSES: Materials relevant to the Paperwork Reduction Act (44 U.S.C. flagged or foreign-flagged vessels subject direct final rule have been placed in 3501 et seq.). to the requirements of 46 CFR part 153 Docket A–97–02. The docket is located (Subchapter O). at the Air Docket Section, Mail Code Federalism Implications (13) For purposes of this section, ‘‘gas 6102, U.S. Environmental Protection This action has been analyzed in ships’’ are defined as U.S. flagged or Agency, 401 M Street, SW, Washington, accordance with the principles and foreign-flagged vessels subject to the DC 20460, in room M–1500 Waterside criteria contained in Executive Order requirements of 46 CFR part 154 Mall. 12612, and it has been determined that (Subchapter O). Documents may be inspected on the proposed rulemaking does not have (14) Downbound chemical or gas business days from 8:00 a.m. to 5:30 sufficient federalism implications to ships operating on the Lower p.m. A reasonable fee may be charged warrant the preparation of a Federalism Mississippi River from mile 437 at for copying docket material. An Assessment. Vicksburg, MS to mile 78 above Head of identical docket is also located in EPA’s Passes shall only transit during daylight Region IX office in Docket A–AZ–97. Environmental Assessment hours. The docket is located at 75 Hawthorne The Coast Guard considered the (15) The Captain of the Port will Street, AIR–2, 17th Floor, San environmental impact of this proposal notify the public of changes in the status Francisco, California 94105. Documents and concluded that under paragraph of this zone by Marine Safety Radio may be inspected from 9:00 a.m. to noon 2.B.2.(g)(5) of Commandant Instruction Broadcast on VHF Marine Band Radio, and from 1:00–4:00 p.m. A reasonable M16475.1B, this proposal is Channel 22 (157.1 MHz). fee may be charged for copying docket (c) Effective dates. This section is categorically excluded from further material. effective at 12:00 p.m. on March 29, environmental documentation. A FOR FURTHER INFORMATION CONTACT: ‘‘Categorical Exclusion Determination’’ 1997 and terminates at 12 p.m. on April 10, 1997. Janice Raburn at U.S. Environmental is available in the docket for inspection Protection Agency Office of Air and or copying where indicated under Dated: March 28, 1997. Radiation, 401 M Street, SW (6406J), ADDRESSES. Timothy W. Josiah, Washington, DC 20460, (202) 233–9000. List of Subjects in 33 CFR Part 165 Rear Admiral, U.S. Coast Guard, Commander, Eighth Coast Guard District. SUPPLEMENTARY INFORMATION: The preamble, regulatory language and Harbors, Marine safety, Navigation [FR Doc. 97–8777 Filed 4–2–97; 2:44 pm] regulatory support document are also (waters), Reporting and recordkeeping BILLING CODE 4910±14±M requirements, Safety measures, and available electronically from the EPA Waterways. internet Web site and via dial-up modem on the Technology Transfer Temporary Regulations ENVIRONMENTAL PROTECTION Network (TTN), which is an electronic AGENCY For the reasons set out in the bulletin board system (BBS) operated by preamble the Coast Guard amends 33 40 CFR Part 80 EPA’s Office of Air Quality Planning CFR Part 165 as follows: and Standards. Both services are free of [FRL±5807±3] charge, except for your existing cost of PART 165Ð[AMEMDED] internet connectivity or the cost of the Regulations of Fuels and Fuel phone call to TTN. Users are able to 1. The authority citation for Part 165 Additives: Extension of the access and download files on their first continues to read as follows: Reformulated Gasoline Program to the call using a personal computer per the Authority: 33 U.S.C. 1231; 50 U.S.C. 191, Phoenix, Arizona Moderate Ozone following information. The official 33 CFR 1.05–1(g), 6.04–1, 6.04–6, and 160.5; Nonattainment Area Federal Register version is made 46 CFR 1.46. AGENCY: Environmental Protection available on the day of publication on 2. In Section 165.T08–001 paragraph Agency (EPA). the primary internet sites listed below. (b)(8) is revised; paragraphs (b)(9), ACTION: Withdrawal of direct final rule. The EPA Office of Mobile Sources also (b)(10), (b)(11), (b)(12), (b)(13), (b)(14), publishes these notices on the and (b)(15) are added; and paragraph (c) SUMMARY: Under section 211(k)(6) of the secondary Web site listed below and on is revised to read as follows: Clean Air Act, as amended (Act), the the TTN BBS. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16083

Internet (Web) this action. Other types of entities not By letter dated January 17, 1997, the http://www.epa.gov/docs/fedrgstr/EPA- listed in the table could also be Governor of the State of Arizona applied AIR/ (either select desired date or use regulated. To determine whether your to EPA to include the Phoenix moderate Search feature) business would have been regulated by ozone nonattainment area in the federal http://www.epa.gov/OMSWWW/ (look this action, you should carefully RFG program. The Governor requested in What’s New or under the specific examine the list of areas covered by the an implementation date of June 1, 1997. rulemaking topic) reformulated gasoline program in The direct final rule published by EPA § 80.70 of title 40 of the Code of Federal on February 18, 1997 (62 FR 7164) TTN BBS: 919–541–5742 Regulations. If you have questions extended the RFG program to the (1200–14400 bps, no parity, 8 data bits, regarding the applicability of this action Phoenix moderate ozone nonattainment 1 stop bit) to a particular entity, consult the person area by setting two implementation Voice Helpline: 919–541–5384 listed in the preceding FOR FURTHER dates. EPA set an effective date of June Off-line: Mondays from 8:00 AM to INFORMATION CONTACT section. 1, 1997 for refiners, importers, and 12:00 Noon ET I. Background distributors, and July 1, 1997 for A user who has not called TTN As part of the Clean Air Act retailers and wholesale purchaser- previously will first be required to consumers. answer some basic informational Amendments of 1990, Congress added a questions for registration purposes. new subsection (k) to section 211 of the Also on February 18, 1997 EPA After completing the registration Act. Subsection (k) prohibits the sale of published in the Federal Register a process, proceed through the following gasoline that EPA has not certified as Notice of Proposed Rulemaking (NPRM) menu choices from the Top Menu to reformulated (‘‘conventional gasoline’’) (62 FR 7197), in which EPA proposed to access information on this rulemaking. in the nine worst ozone nonattainment apply the prohibitions of subsection areas beginning January 1, 1995. Section GATEWAY TO TTN TECHNICAL 211(k)(5) to the Phoenix, Arizona 211(k)(10)(D) defines the areas covered nonattainment area. The Agency AREAS (Bulletin Boards) by the reformulated gasoline (RFG) OMS—Mobile Sources Information published both a proposed rulemaking program as the nine ozone (Alerts display a chronological list of and a direct final rule because it viewed nonattainment areas having a 1980 recent documents) Rulemaking & setting the effective date for the addition population in excess of 250,000 and Reporting of the Phoenix ozone nonattainment having the highest ozone design values area to the federal RFG program as non- At this point, choose the topic (e.g., during the period 1987 through 1989.1 Fuels) and subtopic (e.g., Reformulated controversial and anticipated no adverse Under section 211(k)(10)(D), any area or critical comments. Gasoline) of the rulemaking, and the reclassified as a severe ozone system will list all available files in the nonattainment area under section 181(b) II. Withdrawal of the Phoenix, Arizona chosen category in date order with brief is also to be included in the RFG Opt-In Direct Final Rule descriptions. To download a file, type program. EPA published final the letter ‘‘D’’ and hit your Enter key. regulations for the RFG program on After publication of the direct final Then select a transfer protocol that is February 16, 1994. See 59 FR 7716. rule and the proposed rule in the supported by the terminal software on Any other ozone nonattainment area Federal Register, EPA received several your own computer, and pick the classified as Marginal, Moderate, requests for a hearing. A copy of these appropriate command in your own Serious, or Severe may be included in comments can be found in Air Docket software to receive the file using that the program at the request of the A–97–02. (See ADDRESSES) Since EPA same protocol. After getting the files you Governor of the state in which the area received a request for a hearing, as want onto your computer, you can quit is located. Section 211(k)(6)(A) provides stipulated in the direct final rule, the the TTN BBS with the oodbye that upon the application of a Governor, final rule adding the Phoenix ozone command. EPA shall apply the prohibition against nonattainment area to the RFG program Please note that due to differences selling conventional gasoline in any is being withdrawn by today’s action between the software used to develop area requested by the Governor which effective immediately. Today’s the document and the software into has been classified under subpart 2 of withdrawal affects the amendment of which the document may be Part D of Title I of the act as a Marginal, section 80.70, paragraph (m) appearing downloaded, changes in format, page Moderate, Serious or Severe ozone at 62 FR 7167 (February 18, 1997), length, etc. may occur. nonattainment area. Subparagraph which would have become effective Regulated entities. Entities potentially 211(k)(6)(A) further provides that EPA is April 4, 1997, had no adverse or critical regulated by this action are those which to apply the prohibition as of the date comments been received. produce, supply or distribute motor the Administrator ‘‘deems appropriate, gasoline. Regulated categories and not later than January 1, 1995, or 1 year EPA is withdrawing this revision to entities include: after such application is received, the regulations without providing prior whichever is later.’’ In some cases the notice and an opportunity to comment Examples of regulated enti- effective date may be extended for such because it finds there is good cause Category ties an area as provided in section within the meaning of 5 U.S.C. 553(b) to Industry ...... Petroleum refiners, motor 211(k)(6)(B) based on a determination do so. Today’s withdrawal must be gasoline distributors and by EPA that there is ‘‘insufficient effective before the date on which the retailers. domestic capacity to produce’’ RFG. direct final rule would have been Finally, EPA is to publish a governor’s effective, April 4, 1997. This would not This table is not intended to be application in the Federal Register. be possible were EPA to provide an exhaustive, but rather provides a guide opportunity for public comment on this for readers regarding entities likely to be 1 Applying these criteria, EPA has determined the withdrawal. For the same reasons, EPA regulated by this action. This table lists nine covered areas to be the metropolitan areas finds it has good cause under 5 U.S.C. including Los Angeles, Houston, New York City, the types of entities that EPA is now Baltimore, Chicago, San Diego, Philadelphia, 533(d) to make this withdrawal aware could potentially be regulated by Hartford and Milwaukee. immediately effective. 16084 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

III. Statutory Authority not alter any currently existing federal estimated annual costs to State, local or requirements. tribal governments in the aggregate, or The Statutory authority for the action to the private sector, of $100 million or VI. Executive Order 12866 proposed today is granted to EPA by more, and it does not establish sections 211 (c) and (k) and 301 of the Under Executive Order 12866,2 the regulatory requirements that may Clean Air Act, as amended; 42 U.S.C. Agency must determine whether a significantly or uniquely affect small 7545 (c) and (k) and 7601. regulation is ‘‘significant’’ and therefore governments. IV. Environmental Impact subject to OMB review and the requirements of the Executive Order. List of Subjects in 40 CFR Part 80 The federal RFG program provides The Order defines ‘‘significant Environmental protection, Air reductions in ozone-forming VOC regulatory action’’ as one that is likely pollution control, Fuel additives, emissions, oxides of nitrogen (NOx), and to result in a rule that may: Gasoline, and Motor vehicle pollution. air toxics. Reductions in VOCs are (1) Have an annual effect on the Dated: March 31, 1997. environmentally significant because of economy of $100 million or more, or Carol M. Browner, the associated reductions in ozone adversely affect in a material way the formation and in secondary formation of economy, a sector of the economy, Administrator. particulate matter, with the associated productivity, competition, jobs, the 40 CFR part 80 is amended as follows: improvements in human health and environment, public health or safety, or welfare. Exposure to ground-level ozone State, local or tribal governments of PART 80ÐREGULATION OF FUELS (or smog) can cause respiratory communities; AND FUEL ADDITIVES problems, chest pain, and coughing and (2) Create a serious inconsistency or 1. The authority citation for part 80 may worsen bronchitis, emphysema, otherwise interfere with an action taken continues to read as follows: and asthma. Animal studies suggest that or planned by another agency; long-term exposure (months to years) to (3) Materially alter the budgetary Authority: Secs. 114, 211, and 301(a) of the impact of entitlements, grants, user fees, Clean Air Act, as amended (42 U.S.C. 7414, ozone can damage lung tissue and may 7545 and 7601(a)). lead to chronic respiratory illness. or loan programs or the rights and Reductions in emissions of toxic air obligations of recipients thereof, or § 80.70 [Amended] pollutants are environmentally (4) Raise novel legal or policy issues 2. In § 80.70, paragraph (m) is important because they carry significant arising out of legal mandates, the removed. benefits for human health and welfare President’s priorities, or the principles [FR Doc. 97–8670 Filed 4–3–97; 8:45 am] primarily by reducing the number of set forth in this Executive Order.3 cancer cases each year. It has been determined that this action BILLING CODE 6560±50±P is not a ‘‘significant regulatory action’’ The Arizona Governor’s Task Force under the terms of Executive Order estimated that if federal RFG were 12866 and is therefore not subject to FEDERAL EMERGENCY required to be sold in Phoenix, VOC OMB review. MANAGEMENT AGENCY emissions would be cut by more than nine tons/day. In addition, all vehicles VII. Unfunded Mandates 44 CFR Part 64 would have improved emissions and the Under Section 202 of the Unfunded [Docket No. FEMA±7662] area would also get reductions in toxic Mandates Reform Act of 1995 emissions. Today’s action means that (‘‘UMRA’’), Pub. L. 104–4, EPA must Suspension of Community Eligibility the Governor of Arizona’s request to prepare a budgetary impact statement to include the Phoenix ozone accompany any general notice of AGENCY: Federal Emergency nonattainment area in the federal RFG proposed rulemaking or final rule that Management Agency, FEMA. program will not be effective beginning includes a Federal mandate which may ACTION: Final rule. June 1, 1997. Thus, the Phoenix result in estimated costs to State, local, SUMMARY: This rule identifies nonattainment area will forego the air or tribal governments in the aggregate, communities, where the sale of flood quality benefits that would have or to the private sector, of $100 million insurance has been authorized under resulted from a June 1, 1997 or more in any one year. Under Section the National Flood Insurance Program implementation date of the RFG 205, for any rule subject to Section 202 (NFIP), that are suspended on the program. EPA generally must select the least effective dates listed within this rule costly, most cost-effective, or least V. Regulatory Flexibility because of noncompliance with the burdensome alternative that achieves floodplain management requirements of In the direct final rule, EPA explained the objectives of the rule and is the program. If the Federal Emergency why it had determined that it was not consistent with statutory requirements. Management Agency (FEMA) receives necessary to prepare a regulatory Under Section 203, before establishing documentation that the community has flexibility analysis in connection with any regulatory requirements that may adopted the required floodplain that action. EPA also determined that significantly or uniquely affect small management measures prior to the the direct final rule would not have a governments, EPA must take steps to effective suspension date given in this significant economic impact on a inform and advise small governments of rule, the suspension will be withdrawn substantial number of small entities. the requirements and enable them to by publication in the Federal Register. Today’s action withdraws the direct provide input. final rule, an action that would have EPA has determined that today’s EFFECTIVE DATES: The effective date of revised federal regulations. Thus, it was action does not trigger the requirements each community’s suspension is the not necessary to prepare a regulatory of UMRA. The action does not include third date (‘‘Susp.’’) listed in the third flexibility analysis. Likewise, the a Federal mandate that may result in column of the following tables. withdrawal will not have a significant ADDRESSES: If you wish to determine economic impact on a substantial 2 See 58 FR 51735 (October 4, 1993). whether a particular community was number of small entities, because it does 3 Id. at section 3(f)(1)–(4). suspended on the suspension date, Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16085 contact the appropriate FEMA Regional table. No direct Federal financial measures with effective enforcement Office or the NFIP servicing contractor. assistance (except assistance pursuant to measures. The communities listed no FOR FURTHER INFORMATION CONTACT: the Robert T. Stafford Disaster Relief longer comply with the statutory Robert F. Shea Jr., Division Director, and Emergency Assistance Act not in requirements, and after the effective Program Implementation Division, connection with a flood) may legally be date, flood insurance will no longer be Mitigation Directorate, 500 C Street, provided for construction or acquisition available in the communities unless SW., Room 417, Washington, DC 20472, of buildings in the identified special they take remedial action. (202) 646–3619. flood hazard area of communities not participating in the NFIP and identified Regulatory Classification SUPPLEMENTARY INFORMATION: The NFIP for more than a year, on the Federal enables property owners to purchase This final rule is not a significant Emergency Management Agency’s flood insurance which is generally not regulatory action under the criteria of initial flood insurance map of the otherwise available. In return, section 3(f) of Executive Order 12866 of community as having flood-prone areas communities agree to adopt and September 30, 1993, Regulatory (section 202(a) of the Flood Disaster administer local floodplain management Planning and Review, 58 FR 51735. Protection Act of 1973, 42 U.S.C. aimed at protecting lives and new 4106(a), as amended). This prohibition Paperwork Reduction Act construction from future flooding. against certain types of Federal This rule does not involve any Section 1315 of the National Flood assistance becomes effective for the collection of information for purposes of Insurance Act of 1968, as amended, 42 communities listed on the date shown the Paperwork Reduction Act, 44 U.S.C. U.S.C. 4022, prohibits flood insurance in the last column. The Executive 3501 et seq. coverage as authorized under the Associate Director finds that notice and National Flood Insurance Program, 42 public comment under 5 U.S.C. 553(b) Executive Order 12612, Federalism U.S.C. 4001 et seq., unless an are impracticable and unnecessary This rule involves no policies that appropriate public body adopts because communities listed in this final have federalism implications under adequate floodplain management rule have been adequately notified. Executive Order 12612, Federalism, measures with effective enforcement Each community receives a 6-month, October 26, 1987, 3 CFR, 1987 Comp., measures. The communities listed in 90-day, and 30-day notification p. 252. this document no longer meet that addressed to the Chief Executive Officer statutory requirement for compliance that the community will be suspended Executive Order 12778, Civil Justice with program regulations, 44 CFR part unless the required floodplain Reform 59 et seq. Accordingly, the communities management measures are met prior to This rule meets the applicable will be suspended on the effective date the effective suspension date. Since standards of section 2(b)(2) of Executive in the third column. As of that date, these notifications have been made, this Order 12778, October 25, 1991, 56 FR flood insurance will no longer be final rule may take effect within less 55195, 3 CFR, 1991 Comp., p. 309. available in the community. However, than 30 days. some of these communities may adopt List of Subjects in 44 CFR Part 64 National Environmental Policy Act and submit the required documentation Flood insurance, Floodplains. of legally enforceable floodplain This rule is categorically excluded Accordingly, 44 CFR part 64 is management measures after this rule is from the requirements of 44 CFR part amended as follows: published but prior to the actual 10, Environmental Considerations. No suspension date. These communities environmental impact assessment has PART 64Ð[AMENDED] will not be suspended and will continue been prepared. their eligibility for the sale of insurance. 1. The authority citation for part 64 Regulatory Flexibility Act A notice withdrawing the suspension of continues to read as follows: the communities will be published in The Executive Associate Director has Authority: 42 U.S.C. 4001 et seq.; the Federal Register. determined that this rule is exempt from Reorganization Plan No. 3 of 1978, 3 CFR, In addition, the Federal Emergency the requirements of the Regulatory 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Management Agency has identified the Flexibility Act because the National 3 CFR, 1979 Comp., p. 376. special flood hazard areas in these Flood Insurance Act of 1968, as communities by publishing a Flood amended, 42 U.S.C. 4022, prohibits § 64.6 [Amended] Insurance Rate Map (FIRM). The date of flood insurance coverage unless an 2. The tables published under the the FIRM if one has been published, is appropriate public body adopts authority of § 64.6 are amended as indicated in the fourth column of the adequate floodplain management follows:

Date certain Federal assist- Commu- Current effective ance no longer State/location nity No. Effective date of eligibility map date available in spe- cial flood hazard areas

Region II New York: Baxter Estates, village of, Nassau County 360459 July 15, 1975, Emerg; May 16, 1983, Reg; Apr. 2, 1997 ..... Apr. 2, 1997. Apr. 2, 1997, Susp. Bayville, village of, Nassau County ...... 360988 Oct. 25, 1974, Emerg; Sept. 15, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Cedarhurst, village of, Nassau County ..... 360460 Aug. 14, 1974, Emerg; Sept. 1, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. 16086 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Date certain Federal assist- Commu- Current effective ance no longer State/location nity No. Effective date of eligibility map date available in spe- cial flood hazard areas

Centre Island, village of, Nassau County 360461 Aug. 19, 1975, Emerg; Oct. 18, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Cove Neck, village of, Nassau County ..... 360462 June 11, 1975, Emerg; July 18, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. East Rockaway, village of, Nassau Coun- 360463 Feb. 16, 1973, Emerg; Dec. 1, 1978, Reg; ...... do ...... Do. ty. Apr. 2, 1997, Susp. Freeport, village of, Nassau County ...... 360464 Nov. 26, 1971, Emerg; Feb. 14, 1976, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Glen Cove, city of, Nassau County ...... 360465 Aug. 16, 1974, Emerg; March 1, 1978, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Great Neck, village of, Nassau County .... 361519 Dec. 18, 1974, Emerg; Nov. 17, 1982, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Great Neck Estates, village of, Nassau 360466 May 20, 1975, Emerg; June 15, 1983, Reg; ...... do ...... Do. County. Apr. 2, 1997, Susp. Hempstead, town of, Nassau County ...... 360467 Sept. 10, 1971, Emerg; Apr. 16, 1979, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Hewlett Bay Park, village of, Nassau 360468 Nov. 25, 1974, Emerg; Jan. 19, 1983, Reg; ...... do ...... Do. County. Apr. 2, 1997, Susp. Hewlett Harbor, village of, Nassau Coun- 360469 Nov. 2, 1973, Emerg; June 15, 1979, Reg; ...... do ...... Do. ty. Apr. 2, 1997, Susp. Hewlett Neck, village of, Nassau County 360470 Dec. 10, 1974, Emerg; Jan. 19, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Island Park, village of, Nassau County .... 360471 Nov. 26, 1971, Emerg; Feb. 14, 1976, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Kensington, village of, Nassau County .... 360472 July 15, 1975, Emerg; Jan. 19, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Kings Point, village of, Nassau County .... 360473 Nov. 13, 1974, Emerg; July 5, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Lattingtown, village of, Nassau County .... 360474 Nov. 20, 1974, Emerg.; Sept. 1, 1978, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp. Laurel Hollow, village of, Nassau County 360475 May 8, 1975, Emerg.; Jan. 6, 1983, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp. Lawrence, village of, Nassau County ...... 360476 June 27, 1975, Emerg.; May 16, 1983, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp. Long Beach, city of, Nassau County ...... 365338 Mar. 5, 1971, Emerg.; June 30, 1972, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp. Manorhaven, village of, Nassau County .. 360479 Dec. 26, 1974, Emerg.; June 1, 1983, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp.. Mill Neck, village of, Nassau County ...... 360481 June 19, 1975, Emerg.; Oct. 18, 1983, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp.. North Hempstead, village of, Nassau 360482 Dec. 17, 1971 Emerg.; Apr. 15, 1977, Reg.; ...... do ...... Do. County. Apr. 2, 1997, Susp.. Oyster Bay, village of, Nassau County .... 360483 Sept. 5, 1973, Emerg.; Aug. 1, 1978, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp.. Oyster Bay Cove, village of, Nassau 361486 May 13, 1975, Emerg.; Sept. 30, 1983, Reg.; ...... do ...... Do. County. Apr. 2, 1997, Susp.. Plandome Manor, village of, Nassau 360486 July 7, 1975, Emerg.; June 15, 1983, Reg.; ...... do ...... Do. County. Apr. 2, 1997, Susp.. Port Washington North, village of, Nas- 361562 Dec. 4, 1974, Emerg.; July 5, 1983, Reg.; ...... do ...... Do. sau County. Apr. 2, 1997, Susp.. Rockville Centre, village of, Nassau 360488 May 31, 1974, Emerg.; Nov. 17, 1982, Reg.; ...... do ...... Do. County. Apr. 2, 1997, Susp.. Roslyn, village of, Nassau County ...... 360489 July 5, 1974, Emerg.; Jan. 5, 1984, Reg.; Apr...... do ...... Do. 2, 1997, Susp.. Roslyn Harbor, village of, Nassau County 361035 June 23, 1976, Emerg.; Dec. 15, 1983, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp.. Russell Gardens, village of, Nassau 361583 Apr. 22, 1976, Emerg.; Nov. 17, 1982, Reg.; ...... do ...... Do. County. Apr. 2, 1997, Susp.. Saddle Rock, village of, Nassau County .. 360491 July 17, 1975, Emerg.; Oct. 18, 1983, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp.. Sands Point, village of, Nassau County ... 360492 Dec. 18, 1974, Emerg.; June 15, 1983, Reg.; ...... do ...... Do. Apr. 2, 1997, Susp.. Sea Cliff, village of, Nassau County ...... 360493 Sept. 17, 1973, Emerg; Feb. 1, 1978, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Valley Stream, village of, Nassau County 360495 July 22, 1975, Emerg; Jan. 5, 1984, Reg; Apr...... do ...... Do. 2, 1997, Susp. Woodsburgh, village of, Nassau County .. 360496 Jan. 14, 1975, Emerg; June 1, 1983, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16087

Date certain Federal assist- Commu- Current effective ance no longer State/location nity No. Effective date of eligibility map date available in spe- cial flood hazard areas

Region VI Texas: Aubrey, town of, Denton County ...... 480776 Aug. 7, 1996, Emerg; Apr. 2, 1997, Reg; Apr...... do ...... Do. 2, 1997, Susp. Copper Canyon, town of, Denton County 481508 July 8, 1985, Emerg; Sept. 18, 1987, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Corinth, town of, Denton County ...... 481143 Mar. 5, 1975, Emerg; May 15, 1979, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Cross Roads, town of, Denton County ..... 481513 Jan. 6, 1988, Reg; Apr. 2, 1997, Susp ...... do ...... Do. Denton, city of, Denton County ...... 480194 Feb. 18, 1972, Emerg; Aug. 1, 1979, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Denton County, unincorporated areas ..... 480774 July 22, 1975, Emerg; May 4, 1987, Reg; Apr...... do ...... Do. 2, 1997, Susp. Double Oak, town of, Denton County ...... 481516 May 28, 1982, Emerg; Mar. 4, 1987, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Flower Mound, town of, Denton County ... 480777 July 31, 1975, Emerg; Sept. 18, 1986, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Hickory Creek, town of, Denton County ... 481150 July 3, 1990, Emerg; Mar. 1, 1991, Reg; Apr...... do ...... Do. 2, 1997, Susp. Highland Village, city of, Denton County .. 481105 June 16, 1978, Emerg; July 16, 1987, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Lake Dallas, city of, Denton County ...... 480780 Apr. 7, 1976, Emerg; Aug. 5, 1986, Reg; Apr...... do ...... Do. 2, 1997, Susp. Lewisville, city of, Denton County ...... 480195 Jan. 20, 1975, Emerg; Oct. 18, 1988, Reg; ...... do ...... Do. Apr. 2, 1997, Susp. Little Elm, town of, Denton County ...... 481152 May 13, 1991, Reg; Apr. 2, 1997, Susp ...... do ...... Do. Northlake, town of, Denton County ...... 480782 Apr. 16, 1990, Emerg; Sept. 30, 1994, Reg; .....do ...... Do. Apr. 2, 1997, Susp. Roanoke, city of, Denton County ...... 480785 Mar. 14, 1991, Emerg; Apr. 2, 1997, Reg; .....do ...... Do. Apr. 2, 1997, Susp. Shady Shores, town of, Denton County ... 481135 Apr. 16, 1979, Emerg; May 11, 1982, Reg; .....do ...... Do. Apr. 2, 1997, Susp. Trophy Club, town of, Denton County ...... 481606 June 12, 1987, Reg; Apr. 2, 1997, Susp ...... do ...... Do. Region VIII Colorado: Westminster, city of, Jefferson and 080008 July 13, 1973, Emerg; Sept. 30, 1988, Reg; .....do ...... Do. Adams Counties. Apr. 2, 1997, Susp. Region II New York: Weedsport, village of, Cayuga 360132 June 7, 1974, Emerg; Apr. 1, 1982, Reg; Apr. Apr. 16, 1997 ... Apr. 16, 1997. County. 16, 1997, Susp. Region V Illinois: Seneca, village of, Lasalle and Grundy 170407 May 9, 1975, Emerg; Feb. 1, 1985, Reg; Apr...... do ...... Do. Counties. 16, 1997, Susp. Sun River Terrace, village of, Kankakee 171015 Oct. 26, 1984, Emerg; June 19, 1985, Reg; .....do ...... Do. County. Apr. 16, 1997, Susp. Code for reading third column: Emerg.;ÐEmergency; Reg.;ÐRegular; Rein.ÐReinstatement; Susp.ÐSuspension.

(Catalog of Federal Domestic Assistance No. 44 CFR Part 65 elevations for new buildings and their 83.100, ‘‘Flood Insurance.’’) contents. [Docket No. FEMA±7213] Issued: March 26, 1997. DATES: These modified base flood Richard W. Krimm, Changes in Flood Elevation elevations are currently in effect on the Executive Associate Director, Mitigation Determinations dates listed in the table and revise the Directorate. Flood Insurance Rate Map(s) (FIRMs) in [FR Doc. 97–8662 Filed 4–3–97; 8:45 am] AGENCY: Federal Emergency effect prior to this determination for Management Agency, FEMA. each listed community. BILLING CODE 6718±05±P ACTION: Interim rule. From the date of the second publication of these changes in a SUMMARY: This interim rule lists newspaper of local circulation, any communities where modification of the person has ninety (90) days in which to base (1% annual chance) flood request through the community that the elevations is appropriate because of new Executive Associate Director reconsider scientific or technical data. New flood the changes. The modified elevations insurance premium rates will be may be changed during the 90-day calculated from the modified base flood period. 16088 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

ADDRESSES: The modified base flood effect in order to qualify or to remain Regulatory Classification. elevations for each community are qualified for participation in the This interim rule is not a significant available for inspection at the office of National Flood Insurance Program. regulatory action under the criteria of the Chief Executive Officer of each These modified elevations, together section 3(f) of Executive Order 12866 of community. The respective addresses with the floodplain management criteria September 30, 1993, Regulatory are listed in the following table. required by 44 CFR 60.3, are the Planning and Review, 58 FR 51735. FOR FURTHER INFORMATION CONTACT: minimum that are required. They Frederick H. Sharrocks, Jr., Chief, should not be construed to mean that Executive Order 12612, Federalism the community must change any Hazard Identification Branch, Mitigation This rule involves no policies that existing ordinances that are more Directorate, 500 C Street SW., have federalism implications under stringent in their floodplain Washington, DC 20472, (202) 646–2796. Executive Order 12612, Federalism, management requirements. The SUPPLEMENTARY INFORMATION: The dated October 26, 1987. modified base flood elevations are not community may at any time enact listed for each community in this stricter requirements of its own, or Executive Order 12778, Civil Justice interim rule. However, the address of pursuant to policies established by other Reform Federal, state or regional entities. the Chief Executive Officer of the This rule meets the applicable community where the modified base The changes in base flood elevations standards of section 2(b)(2) of Executive flood elevation determinations are are in accordance with 44 CFR 65.4. Order 12778. available for inspection is provided. National Environmental Policy Act Any request for reconsideration must List of Subjects in 44 CFR Part 65 This rule is categorically excluded be based upon knowledge of changed Flood insurance, Floodplains, from the requirements of 44 CFR part conditions, or upon new scientific or Reporting and recordkeeping 10, Environmental Consideration. No technical data. requirements. Accordingly, 44 CFR part environmental impact assessment has The modifications are made pursuant 65 is amended to read as follows: to section 201 of the Flood Disaster been prepared. Protection Act of 1973, 42 U.S.C. 4105, Regulatory Flexibility Act PART 65Ð[AMENDED] and are in accordance with the National Flood Insurance Act of 1968, 42 U.S.C. The Executive Associate Director, 1. The authority citation for part 65 4001 et seq., and with 44 CFR part 65. Mitigation Directorate, certifies that this continues to read as follows: For rating purposes, the currently rule is exempt from the requirements of Authority: 42 U.S.C. 4001 et seq.; effective community number is shown the Regulatory Flexibility Act because Reorganization Plan No. 3 of 1978, 3 CFR, and must be used for all new policies modified base flood elevations are 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, and renewals. required by the Flood Disaster 3 CFR, 1979 Comp., p. 376. The modified base flood elevations Protection Act of 1973, 42 U.S.C. 4105, are the basis for the floodplain and are required to maintain community § 65.4 [Amended] management measures that the eligibility in the National Flood 2. The tables published under the community is required to either adopt Insurance Program. No regulatory authority of § 65.4 are amended as or to show evidence of being already in flexibility analysis has been prepared. follows:

Dates and name of news- State and county Location paper where notice was Chief executive officer Effective date of modi- Community published of community fication No.

Illinois: DuPage and Cook Village of Burr Ridge ... Feb. 7, 1997, Feb. 14, Mr. Emil J. Coglianese, May 15, 1997 ...... 170071C 1997, The Doings. Jr., President of the Village of Burr Ridge, 7660 South County Line Road, Burr Ridge, Illinois 60521. DuPage ...... Village of Carol Stream Jan. 9, 1997, Jan. 16, Mr. Ross Ferraro, Presi- Jan. 2, 1997 ...... 170202C 1997, Daily Herald. dent of the Village of Carol Stream, 500 North Gary Avenue, Carol Stream, Illinois 60188. Cook ...... City of Prospect Feb. 7, 1997, Feb. 14, The Honorable Edward Jan. 30, 1997 ...... 170919B Heights. 1997, Daily Hearld. P. Rotchford, Mayor of the City of Pros- pect Heights, 1 North Elmhurst Road, Pros- pect Heights, Illinois 60070. DuPage ...... Unincorpated Areas .... Jan. 9, 1997, Jan. 16, Mr. Gayle M. Franzen, Jan. 2, 1997 ...... 170197C 1997, Daily Herald. Chairman of the DuPage County Board of Commis- sioners, 421 North County Farm Road, Wheaton, Illinois 60187. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16089

Dates and name of news- State and county Location paper where notice was Chief executive officer Effective date of modi- Community published of community fication No.

Virginia: Arlington ...... Unincorporated Areas Feb. 7, 1997, Feb. 14, Ms. Ellen M. Bosman, May 15, 1997 ...... 515520B 1997, Arlington Journal. Chairman of the Ar- lington County Board of Commissioners, 2100 Clarendon Bou- levard, Suite 300, Ar- lington, Virginia 22201. Michigan: Kalamazoo .. City of Kalamazoo ...... Jan. 24, 1997, Jan. 31, The Honorable Barbara Jan. 17, 1997 ...... 260315C 1997, Kalamazoo Ga- Larson, Mayor of the zette. City of Kalamazoo, 241 West South Street, Kalamazoo, Michigan 49007. North Carolina: Wayne City of Goldsboro ...... Jan. 20, 1997, Jan. 27, Mr. Richard M. Slozak, Apr. 27, 1997 ...... 370255B 1997, Goldsboro News- Goldsboro City Man- Argus. ager, 214 North Cen- ter Street, Goldsboro, North Carolina 27533. Ohio: Lorain ...... City of Avon ...... Feb. 4, 1997, Feb. 11, The Honorable James Jan. 27, 1997 ...... 390348C 1997, The Morning A. Smith, Mayor of Journal. the City of Avon, 36774 Detroit Road, Avon, Ohio 44011± 1588. Allen ...... Unincorporated Areas Jan. 27, 1997, Feb. 3, Ms. Alberta Lee, Presi- Jan. 21, 1997 ...... 390758B 1997, Lima News. dent, Board of Com- missioners, 301 North Main Street, P.O. Box 1243, Lima, Ohio 45802.

(Catalog of Federal Domestic Assistance No. modified base flood elevations for each base flood elevations were also 83.100, ‘‘Flood Insurance.’’) community. This date may be obtained published in the Federal Register. Dated: March 27, 1997. by contacting the office where the maps This final rule is issued in accordance Richard W. Krimm, are available for inspection as indicated with section 110 of the Flood Disaster Executive Associate Director, Mitigation on the table below. Protection Act of 1973, 42 U.S.C. 4104, Directorate. and 44 CFR part 67. ADDRESSES: The final base flood The Agency has developed criteria for [FR Doc. 97–8660 Filed 4–3–97; 8:45 am] elevations for each community are BILLING CODE 6718±03±M floodplain management in floodprone available for inspection at the office of areas in accordance with 44 CFR part the Chief Executive Officer of each 60. community. The respective addresses 44 CFR Part 67 Interested lessees and owners of real are listed in the table below. property are encouraged to review the Final Flood Elevation Determinations FOR FURTHER INFORMATION CONTACT: proof Flood Insurance Study and Flood Insurance Rate Map available at the AGENCY: Frederick H. Sharrocks, Jr., Chief, Federal Emergency address cited below for each Management Agency (FEMA). Hazard Identification Branch, Mitigation Directorate, 500 C Street SW., community. ACTION: Final rule. Washington, DC, 20472, (202) 646–2796. The base flood elevations and modified base flood elevations are made SUMMARY: Base (1% annual chance) SUPPLEMENTARY INFORMATION: The final in the communities listed below. flood elevations and modified base Federal Emergency Management Agency Elevations at selected locations in each flood elevations are made final for the (FEMA or Agency) makes final community are shown. communities listed below. The base determinations listed below of base flood elevations and modified base flood elevations and modified base National Environmental Policy Act flood elevations are the basis for the flood elevations for each community This rule is categorically excluded floodplain management measures that listed. The proposed base flood from the requirements of 44 CFR part each community is required either to elevations and proposed modified base 10, Environmental Consideration. No adopt or to show evidence of being flood elevations were published in environmental impact assessment has already in effect in order to qualify or newspapers of local circulation and an been prepared. remain qualified for participation in the opportunity for the community or National Flood Insurance Program individuals to appeal the proposed Regulatory Flexibility Act (NFIP). determinations to or through the The Executive Associate Director, EFFECTIVE DATES: The date of issuance of community was provided for a period of Mitigation Directorate, certifies that this the Flood Insurance Rate Map (FIRM) ninety (90) days. The proposed base rule is exempt from the requirements of showing base flood elevations and flood elevations and proposed modified the Regulatory Flexibility Act because 16090 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations final or modified base flood elevations # Depth in # Depth in are required by the Flood Disaster feet above feet above Protection Act of 1973, 42 U.S.C. 4104, ground. ground. Source of flooding and location *Elevation Source of flooding and location *Elevation and are required to establish and in feet in feet maintain community eligibility in the (NGVD) (NGVD) National Flood Insurance Program. No regulatory flexibility analysis has been Maps available for inspection Approximately 1,600 feet east prepared. at the Okaloosa County Plan- of the end of Wasque Road ning and Inspection Depart- in the vicinity of Wasque Regulatory Classification ment, 1804 Lewis Turner Bou- Point ...... *13 This final rule is not a significant levard, Suite 200, Fort Walton At the intersection of Dyke Beach, Florida. Road and the western-most regulatory action under the criteria of Jeep Trail ...... *10 section 3(f) of Executive Order 12866 of GEORGIA Maps available for inspection September 30, 1993, Regulatory at the Edgartown Town Hall, Planning and Review, 58 FR 51735. Colquitt County (unincor- 70 Main Street, 3rd Floor, porated areas) (FEMA Dock- Edgartown, Massachusetts. Executive Order 12612, Federalism et No. 7190) This rule involves no policies that Okapilco Creek: NEW YORK have federalism implications under Old Berlin Road (approximately Executive Order 12612, Federalism, 32.5 miles above mouth) ..... *231 Brutus (town), Cayuga County dated October 26, 1987. Approximately 150 feet down- (FEMA Docket No. 7195) stream of State Route 35 ..... *281 Skaneateles Creek: Executive Order 12778, Civil Justice Maps available for inspection Approximately 560 feet down- Reform at the Colquitt County Com- stream of Farm Bridge ...... *383 This rule meets the applicable missioner's Office, 1220 South Approximately 1,370 feet up- stream of Farm Bridge ...... *387 standards of section 2(b)(2) of Executive Main, Moultrie, Georgia. ÐÐÐ Cold Spring Brook: Order 12778. Approximately 50 feet up- Moultrie (city), Colquitt County Administrative practice and stream of River Forest Drive *384 (FEMA Docket No. 7190) procedure, Flood insurance, Reporting At the confluence with Old Erie and record keeping requirements. Okapilco Creek: Canal ...... *396 Accordingly, 44 CFR part 67 is Approximately 37.8 miles North Brook: amended as follows: above mouth ...... *261 At the Old Erie Canal ...... *396 Approximately 41.2 miles Approximately 20 feet up- PART 67Ð[AMENDED] above mouth ...... *280 stream of the Old Erie Canal *396 Channel F: Maps available for inspection Upstream side of NE 9th 1. The authority citation for part 67 at the Brutus Town Clerk's Of- Street ...... *273 continues to read as follows: fice, 9021 North Seneca Approximately 130 feet down- Street, Weedsport, New York. Authority: 42 U.S.C. 4001 et seq.; stream of NE 7th Street ...... *273 Reorganization Plan No. 3 of 1978, 3 CFR, Ochlockonee River: ÐÐÐ 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Approximately 0.65 mile up- Gardiner (town), Ulster County 3 CFR, 1979 Comp., p. 376. stream of Meigs Road bridge *249 (FEMA Docket No. 7195) § 67.11 [Amended] Approximately 1.06 miles up- Mara Kill: stream of Meigs Road bridge *250 At County Road No. 7 ...... *239 2. The tables published under the Channel D: Approximately 1,140 feet up- authority of § 67.11 are amended as Corporate limits (approximately stream of Sparkling Ridge follows: 0.15 mile upstream of the Road ...... *539 confluence with # Maps available for inspection Depth in Ochlockonee River) ...... *249 at the Gardiner Town Hall, 95 feet above Approximately 0.26 mile up- ground. Main Street, Gardiner, New Source of flooding and location stream of the confluence York. *Elevation with Ochlockonee River ...... *249 in feet (NGVD) Maps available for inspection OHIO at the City of Moultrie Engi- FLORIDA neering Department, 1108 1st Canal Winchester (village), Street, N.E., Moultrie, Georgia. Franklin County (FEMA Okaloosa County (unincor- Docket No. 7195) porated areas) (FEMA Dock- MASSACHUSETTS Tussing-Bachman-Bush Ditch: et No. 7190) Just downstream of County Gulf of Mexico: Edgartown (town), Dukes Route 7 (Groveport Road) ... *741 Approximately 800 feet south County (FEMA Docket No. At upstream county boundary *769 7164) of intersection of Amberjack Maps available for inspection Drive and Santa Rosa Bou- Atlantic Ocean: at the Canal Winchester Vil- levard ...... *10 Approximately 620 feet south lage Hall, 10 North High Approximately 1,000 feet of the intersection of Herring Street, Canal Winchester, southwest of intersection of Creek Road and Atlantic Ohio. Interstate Route 98 and Cal- Drive ...... *10 ÐÐÐ houn Avenue ...... *12 Approximately 2,000 feet south Approximately 600 feet south of the end of Pohoganot Franklin County (unincor- of intersection of Amberjack Road where it intersects with porated Areas) (FEMA Drive and Santa Rosa Bou- an Access Road ...... *9 Docket No. 7195) levard ...... *10 Nantucket Sound: Georges Creek Overland Flow: Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16091

# Depth in # Depth in # Depth in feet above feet above feet above ground. ground. ground. Source of flooding and location *Elevation Source of flooding and location *Elevation Source of flooding and location *Elevation in feet in feet in feet (NGVD) (NGVD) (NGVD)

At confluence with Georges Maps available for inspection Approximately 1,025 feet up- Creek ...... *747 at the Derry Township Munici- stream of North Charleroi Approximately 2,080 feet up- pal Building, 650 Derry Road, bridge ...... *762 stream of confluence with Derry, Pennsylvania. Maps available for inspection Georges Creek ...... *751 ÐÐÐ at the City Hall, 100 Third Maps available for inspection East Cocalico (township), Street, Monessen, Pennsylva- at the Franklin County Zoning Lancaster County (FEMA nia. Department, 373 South High Docket No. 7190) ÐÐÐ Street, 15th Floor, Columbus, New Stanton (borough), West- Ohio. Stony Run: Approximately 265 feet up- moreland County (FEMA Docket No. 7110) PENNSYLVANIA stream of confluence with Cocalico Creek ...... *369 Belson Run: Allegheny (township), West- Approximately 0.6 mile up- At downstream corporate limits moreland County (FEMA stream of Denver Road ...... *423 with Hempfield ...... *1,043 Docket No. 7110) Maps available for inspection At upstream corporate limits with Hempfield (near Pine Run (Lower Reach): at the East Cocalico Township Sandworks Road) ...... *1,133 Just upstream of CONRAIL ..... *789 Hall, 100 Hill Road, Denver, Approximately 600 feet up- Pennsylvania. Maps available for inspection at the Borough Municipal stream of State Route 56 ÐÐÐ (Bypass) ...... *815 Building, 451 West Center Av- East Huntingdon (township), enue, New Stanton, Penn- Maps available for inspection Westmoreland County sylvania. at the Allegheny Community (FEMA Docket No. 7110) Building, 136 Community ÐÐÐ Belson Run: Building Road, Leechburg, North Huntingdon (township), Pennsylvania. Approximately 400 feet up- Westmoreland County stream of Sunny Lane ...... *1,138 (FEMA Docket No. 7110) ÐÐÐ Approximately 625 feet up- Brush Creek: Delmont (borough), West- stream of Sunny Lane ...... *1,139 Just upstream of confluence of moreland County (FEMA Maps available for inspection Docket No. 7112) Bushy Run ...... *917 at the East Huntingdon Munici- Upstream side of second Turtle Creek (Upper Reach): pal Building, Route 981, crossing of CONRAIL ...... *929 Approximately 400 feet down- Alverton, Pennsylvania. stream of the most upstream Maps available for inspection ÐÐÐ crossing of Old William Penn at the North Huntingdon Town- Highway ...... *1,054 Hempfield (township), West- ship Hall, 11279 Center High- Approximately 350 feet up- moreland County (FEMA way, North Huntingdon, Penn- stream of the most upstream Docket No. 7175) sylvania. crossing of Old William Penn Sewickley Creek: ÐÐÐ Highway ...... *1,063 Approximately 0.5 mile down- Penn (township), Westmore- Maps available for inspection stream of confluence with land County (FEMA Docket at the Delmont Borough Office, Buffalo Run ...... *930 No. 7110) 77 Greensburg Street, Approximately 1,000 feet Lyons Run: Delmont, Pennsylvania. downstream of confluence At Pleasant Valley Road (L.R. ÐÐÐ with Buffalo Run ...... *932 64089) ...... *915 Approximately 1.1 miles up- Derry (township) Westmore- Brush Creek: stream of Pleasant Valley land County (FEMA Docket Approximately 100 feet down- Road ...... *981 No. 7116) stream of CONRAIL ...... *958 Brush Creek: Loyalhanna Creek: Approximately 300 feet up- stream of State Route 766 ... *1,071 Upstream side of most up- At Borough of Latrobe cor- stream crossing of State porate limits ...... *970 Down Run: Route 766 ...... *1,100 Approximately 800 feet down- At upstream side of Lewis Ave- Approximately 125 feet up- stream of confluence of nue ...... *1,010 stream of the most upstream Saxman Run ...... *970 Approximately 240 feet up- crossing of State Route 766 *1,101 stream of Lewis Avenue ...... *1,016 McGee Run: Maps available for inspection Approximately 660 feet down- Maps available for inspection at the Township Building, Mu- stream of North Ligonier at the Hempfield Municipal nicipal Court, Harrison City, Street ...... *1,130 Building, Woodward Drive, Pennsylvania. Approximately 540 feet down- Greensburg, Pennsylvania. stream of North Ligonier ÐÐÐ ÐÐÐ Street ...... *1,133 Rostraver (township), West- Garlane Mills Run: Monessen (city), Westmore- moreland County (FEMA At a point approximately 1,110 land County (FEMA Docket Docket No. 7175) feet upstream of West 5th No. 7112) Speers Run: Avenue ...... *1,291 Monongahela River: Approximately 0.2 mile down- At a point approximately 1,080 Approximately 0.5 mile up- stream of State Route 200 ... *811 feet upstream of West 5th stream of the Donora-Mo- At confluence of Speers Run Avenue ...... *1,292 nessen bridge ...... *760 Tributary 2 and 3 ...... *903 16092 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

# Depth in # Depth in # Depth in feet above feet above feet above ground. ground. ground. Source of flooding and location *Elevation Source of flooding and location *Elevation Source of flooding and location *Elevation in feet in feet in feet (NGVD) (NGVD) (NGVD)

Speers Run Tributary 2: Confluence with Jacob's Creek ÐÐÐ At confluence with Speers Run *903 (Lower Reach) ...... *1,036 Unity (township), Westmore- At downstream side of up- Approximately 100 feet down- land County (FEMA Docket stream Norfolk and Western stream of Chestnut Street .... *1,036 No. 7112) Railway culvert ...... *990 Maps available for inspection Slate Creek: Speers Run Tributary 3: at the Scottdale Borough Hall, Approximately 1,700 feet up- At confluence with Speers Run *903 10 Mt. Pleasant Road, stream of U.S. Route 30 ...... *1,142 Approximately 0.3 mile up- Scottdale, Pennsylvania. Approximately 1,200 feet up- stream of Norfolk and West- stream of U.S. Route 30 ...... *1,142 ern Railway ...... *932 ÐÐÐ Speers Run Tributary 4: Seward (borough), Westmore- Maps available for inspection At confluence with Speers Run *844 land County (FEMA Docket at the Unity Township Munici- Approximately 40 feet down- No. 7112) pal Building, R.D. 3, Latrobe, Pennsylvania. stream of Norfolk and West- Conemaugh River: ern Railway ...... *863 Downstream corporate limits of ÐÐÐ Monongahela River: the Borough of Seward ...... *1,099 Washington (township), West- At county boundary ...... *757 Upstream corporate limits of moreland County (FEMA At upstream side of Interstate the Borough of Seward ...... *1,102 Docket No. 7110) Route 70 ...... *764 Pucketa Creek: Youghiogheny River: Maps available for inspection at Ms. Rose Bouch's Home, Approximately 725 feet down- At the downstream corporate stream of State Route 380 ... *921 limits (in the area of Corner of Washington Street Approximately 0.4 mile up- Collinsburg Road) ...... *769 and Hedges Street, Seward, Pennsylvania. stream of Ashbaug Road ..... *1,071 Maps available for inspection Pine Run (Upper Reach): ÐÐÐ at the Rostraver Township Mu- Approximately 0.6 mile up- # nicipal Building, R.D. 4, Port South Huntington (township), stream of Chamber Road Royal Road, Belle Vernon, Westmoreland County (Pine Run Road) ...... *987 Pennsylvania. (FEMA Docket No. 7175) Maps available for inspection ÐÐÐ Sewickley Creek: at the Washington Township Salem (township), Westmore- Approximately 0.5 mile down- Municipal Building, 285 Pine land County (FEMA Docket stream of confluence of Buf- Run Church Road, Apollo, No. 7110) falo Run ...... *930 Pennsylvania. Crab Tree Creek: Approximately 1,000 feet Approximately 0.3 mile down- downstream of confluence WISCONSIN stream of U.S. Route 119 .... *990 with Buffalo Run ...... *932 West Bend (city), Washington Approximately 130 feet up- Maps available for inspection County (FEMA Docket No. stream of L.R. 64054 ...... *1,037 at the South Huntington Town- 7195) Maps available for inspection ship Hall, 75 Supervisor Drive, Silver Creek: at the Township Municipal West Newton, Pennsylvania. Approximately 52 feet down- Building, Congruity Road, ÐÐÐ stream of City Park Drive ..... *899 Greensburg, Pennsylvania. Downstream side of West Tredyffrin (township), Chester ÐÐÐ Washington Street culvert .... *932 County (FEMA Docket No. Silverbrook Creek: Sewickley (township), West- 7179) Upstream side of Silverbrook moreland County (FEMA Little Valley Creek Drive ...... *928 Docket No. 7110) On the upstream side of Mill Approximately 900 feet up- Youghiogheny River Tributary: Road ...... *147 stream of U.S. Highway 45 .. *955 At the corporate limits with Approximately 1,800 feet up- Washington Creek: Borough of Sutersville ...... *864 stream of Church Road ...... *245 Approximately 200 feet down- Approximately 100 feet down- Tributary No. 2 of Trout Creek: stream of Valley Avenue ...... *981 stream of corporate limits Approximately 450 feet up- with Borough of Sutersville .. *860 At confluence with Trout Creek *160 Approximately 100 feet up- stream of Shepherds Drive .. *1,002 Maps available for inspection stream of the confluence Maps available for inspection at the Sewickley Municipal with Trout Creek ...... *160 at the West Bend City Hall, Building, Mars Hill Road, Irwin, 1115 South Main Street, West Pennsylvania. East Tributary to Crum Creek: Approximately 650 feet up- Bend, Wisconsin. ÐÐÐ stream of Devon Road ...... *467 Scottdale (borough), West- Approximately 830 feet up- (Catalog of Federal Domestic Assistance No. moreland County (FEMA stream of Devon Road ...... *470 83.100, ‘‘Flood Insurance.’’) Docket No. 7110) Maps available for inspection Dated: March 27, 1997. Jacob's Creek (Lower Reach): at the Tredyffrin Municipal Richard W. Krimm, Approximately 0.5 mile up- Building, 1100 DuPortail Road, Executive Associate Director, Mitigation stream of 5th Avenue ...... *1,031 Berwyn, Pennsylvania. Upstream Borough of Directorate. Scottdale corporate limits ..... *1,036 [FR Doc. 97–8659 Filed 4–3–97; 8:45 am] Stauffer Run: BILLING CODE 6718±04±P Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16093

FEDERAL COMMUNICATIONS Synopsis of Second Report and Order BOC provision of interLATA telecommunications services also COMMISSION I. Introduction applied to interLATA information 47 CFR Chapter I 1. In February 1996, the services, however, the BOCs were ‘‘Telecommunications Act of 1996’’ [CC Docket No. 96±152; FCC 97±101] limited to providing alarm monitoring became law. The intent of the 1996 Act services on an intraLATA basis. Implementation of the is ‘‘to provide for a pro-competitive, de- 5. Section 275 of the Act refers Telecommunications Act of 1996: regulatory national policy framework generally to BOC and incumbent local Telemessaging, Electronic Publishing, designed to accelerate rapidly private exchange carrier (LEC) provision of and Alarm Monitoring Services sector deployment of advanced alarm monitoring services and does not telecommunications and information differentiate between interLATA and AGENCY: Federal Communications technologies and services to all intraLATA or between interstate and Commission. Americans by opening all intrastate alarm monitoring services. In ACTION: Final rule; interpretation. telecommunications markets to the NPRM, we sought comment on the competition.’’ extent of the Commission’s authority SUMMARY: The Second Report and Order 2. On July 18, 1996, the Commission over intrastate alarm monitoring (Order) released March 25, 1997 released a Notice of Proposed services. We also asked whether, if the clarifies the definition of ‘‘alarm Rulemaking (61 FR 39385 (July 29, Commission lacks express authority monitoring service’’ and the manner in 1996)) (NPRM) regarding over intrastate alarm monitoring which the Commission will apply the implementation of sections 260, 274, services, the Commission has authority nondiscrimination provisions of section and 275 of the Communications Act to preempt state regulation with respect 275(b) of the Telecommunications Act addressing telemessaging, electronic to these matters pursuant to Louisiana of 1996 (the 1996 Act). This Order publishing, and alarm monitoring PSC. implements the alarm monitoring services, respectively. This Order ii. Discussion provisions of section 275 of the 1996 implements the alarm monitoring Act. provisions of section 275. 6. For the reasons stated below, we 3. Section 275 prohibits Bell EFFECTIVE DATE: May 5, 1997. find that section 275, and the Operating Companies (BOCs) from Commission’s authority thereunder, FOR FURTHER INFORMATION CONTACT: providing alarm monitoring service applies to intrastate as well as interstate Michelle Carey, Attorney, Common until February 8, 2001, although it alarm monitoring services provided by Carrier Bureau, Policy and Program exempts from this prohibition those incumbent LECs and their affiliates. We Planning Division, (202) 418–1580. BOCs that were providing alarm also find that section 2(b) does not limit SUPPLEMENTARY INFORMATION: This is a monitoring service as of November 30, the Commission’s authority to establish summary of the Commission’s Order 1995. This Order clarifies the definition rules governing intrastate alarm adopted March 21, 1997, and released of ‘‘alarm monitoring service’’ and the monitoring service pursuant to section March 25, 1997. The full text of this manner in which we will apply the 275. We hold, therefore, that the states Order is available for inspection and nondiscrimination provisions of section may regulate incumbent LEC provision copying during normal business hours 275(b). We address the enforcement of alarm monitoring services, but may in the FCC Reference Center, 1919 M issues related to sections 260, 274, and not do so in a manner that is St., NW., Room 239, Washington, DC. 275 in a separate proceeding. inconsistent with section 275 and the The complete text also may be obtained interpretations established in this Order. through the World Wide Web, at http:/ II. Scope of the Commission’s Authority 7. We find that section 275, by its /www.fcc.gov/Bureaus/Common A. Scope of Authority Over Alarm terms, applies to interstate and Carrier/Orders/fcc97–101.wp, or may be Monitoring Services intrastate alarm monitoring services. purchased from the Commission’s copy The statute makes no distinction contractor, International Transcription i. Background between interstate and intrastate alarm Service, Inc., (202) 857–3800, 2100 M 4. Pursuant to Computer III, the monitoring services, but rather enacts a St., NW., Suite 140, Washington, DC Commission has traditionally regulated broad prohibition on all BOC provision 20037. alarm monitoring services provided by of alarm monitoring services, except for BOCs as enhanced (or information) ‘‘grandfathered’’ BOCs. Significantly, Regulatory Flexibility Certification services. The Commission has section 275(b) provides that ‘‘an As required by the Regulatory determined that ‘‘all of the services that incumbent local exchange carrier * * * Flexibility Act, the Order contains a the Commission has previously engaged in the provision of alarm Final Regulatory Flexibility Certification considered to be ‘enhanced services’ are monitoring service shall not subsidize which is set forth in the Order. A brief ‘information services.’ ’’ See its alarm monitoring services either description of the certification follows. Implementation of the Non-Accounting directly or indirectly from telephone The Commission certifies, pursuant to Safeguards of Sections 271 and 272 of exchange service operations.’’ Because 5 U.S.C. 605(b), that the regulations the Communications Act of 1934, as telephone exchange service is a local, adopted in this Order will not have a amended, CC Docket No. 96–149, First intrastate service, section 275(b) plainly significant economic impact on a Report and Order and Further Notice of addresses intrastate service. Thus, the substantial number of ‘‘small entities,’’ Proposed Rulemaking, (62 FR 2927 safeguards provided in section 275(b) as this term is defined in 5 U.S.C. (January 21, 1997)) at ¶ 102 (Non- clearly and explicitly relate to intrastate 601(6). The Commission therefore is not Accounting Safeguards Order). service. Given that section 275(b) required to prepare a final regulatory Accordingly, we use the term applies explicitly to intrastate service, flexibility analysis of the regulations ‘‘information services’’ to apply to both. we find that Congress intended that all adopted in this Order. This certification These rules applied to all BOC-provided of section 275 apply to intrastate alarm and a statement of its factual basis are alarm monitoring services—intrastate as monitoring service. set forth in the Order, as required by 5 well as interstate. Because the Modified 8. This interpretation of section 275 U.S.C. 605(b). Final Judgment (MFJ) prohibition on also is consistent with existing 16094 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Commission regulation of alarm the purpose of section 275. Accordingly, that the Commission lacks authority to monitoring and other enhanced consistent with the Court’s statement in preempt inconsistent state rules services. As discussed above, alarm Louisiana, we find that section 2(b) does regarding intrastate alarm monitoring monitoring services provided by BOCs not limit our authority over intrastate services. are currently regulated as enhanced alarm monitoring services. Consistent services and are subject to Computer III with our finding in the Local B. Scope of Authority to Issue Rules to nondiscrimination safeguards. These Competition Order (61 FR 45476 Implement Section 275 safeguards apply to the intrastate as well (August 29, 1996)) and the Non- i. Background as interstate aspects of alarm monitoring Accounting Safeguards Order, we find services. that in enacting section 275 after section 15. Section 275 contains several terms 9. We also find that adopting the view 2(b) and addressing services that are that are subject to varying that section 275, and our authority intrastate in nature, Congress intended interpretation. The NPRM sought thereunder, applies only to interstate the express language of section 275 to comment on whether several provisions services would lead to implausible take precedence over any limiting of section 275 should be clarified. results. If section 275 were interpreted language in section 2(b). to apply only to interstate alarm 12. We similarly are not persuaded ii. Discussion monitoring services, the five-year that section 601(c) of the 1996 Act 16. In the NPRM, we identified areas prohibition on BOC entry into alarm evinces an intent by Congress to of ambiguity in the requirements of monitoring service in section 275(a) preserve states’ authority over intrastate section 275 that may benefit from the would apply only to the extent that a alarm monitoring. Section 601(c) of the adoption of rules that clarify and BOC provides alarm monitoring services 1996 Act provides that the Act and its implement those mandates. We find that on an interstate basis. Because the amendments ‘‘shall not be construed to Congress enacted in section 275 jurisdictional nature of an alarm modify, impair, or supersede Federal, principles that can best be implemented monitoring service depends on whether State, or local law unless expressly so if we give affected parties more specific the monitoring center is situated in the provided in such Act or amendments.’’ guidelines concerning the requirements same state as the monitored premises, a As shown above, we conclude that of that section, which will enable the BOC could escape a prohibition on section 275 expressly modifies the Commission to carry out effectively and providing interstate alarm monitoring Commission’s existing statutory service by establishing a monitoring authority and authorizes adoption of efficiently its enforcement obligations center in each state in which it sought regulations implementing the under the Communications Act. to do business. We agree with AICC and requirements of section 275 that apply 17. We reject the suggestion of the AT&T that such a reading would render to incumbent LECs’ provision of both California Commission that we issue the section 275(a) prohibition against intrastate and interstate alarm nonbinding ‘‘guidelines’’ that would be BOC entry into the alarm monitoring monitoring service. applied by the states if they so choose. business nearly meaningless, a result 13. We also find implausible the Such an approach could result in that in our view is contrary to the plain suggestion that we should interpret inconsistent and uncertain application intent of this section. We further find section 275 to apply broadly to all alarm of the requirements of section 275, that limiting the scope of the monitoring services, but that the which may deter or hamper alarm prohibition to interstate alarm Commission’s rulemaking authority monitoring service providers that wish monitoring services would be contrary under that section is limited to to offer service on a nationwide basis. to the rule of statutory construction interstate services. Rather, we conclude 18. Based on the foregoing, we find, ‘‘that one provision should not be that the Commission’s rulemaking pursuant to the general rulemaking interpreted in a way * * * that renders authority pursuant to section 275 is authority vested in the Commission by other provisions of the same statute coextensive with the reach of the sections 4(i), 201(b), and 303(r) of the inconsistent or meaningless.’’ statute. As discussed below, the Communications Act, and consistent 10. Nevertheless, several parties argue Commission possesses broad with fundamental principles of that sections 2(b) of the 1934 Act and rulemaking authority to implement and administrative law, that the Commission 601(c) of the 1996 Act prevent the interpret provisions of the has the requisite authority to Commission from exercising authority Communications Act. Nothing in promulgate rules implementing section over intrastate alarm monitoring section 275 or elsewhere in the Act 275 of the Communications Act. services. Section 2(b) provides that deprives the Commission of this ‘‘nothing in this Act shall be construed authority. 19. It is well-established that the to apply to or give the Commission 14. We therefore find that section 275 Commission possesses authority to jurisdiction with respect to * ** and the Commission’s authority adopt rules to implement the charges, classifications, practices, thereunder apply to all alarm requirements of the Communications services, facilities, or regulations for or monitoring services—interstate or Act. Sections 4(i), 201(b), and 303(r) of in connection with intrastate intrastate—and affirm our tentative the Act authorize the Commission to communications service * * *.’’ In conclusion that section 275 applies to adopt rules it deems necessary or Louisiana PSC, the Supreme Court held interLATA and intraLATA alarm appropriate in order to carry out its that, in order to overcome section 2(b)’s monitoring services. We further hold responsibilities under the limitation of Commission authority over that the rules we establish to implement Communications Act, so long as those intrastate service, Congress must either section 275 are binding upon the states rules are not otherwise inconsistent modify section 2(b) or grant the and that states may not impose any with the Communications Act. Commission additional authority over requirements that are inconsistent with Moreover, courts repeatedly have held intrastate services. section 275 or the Commission’s rules. that the Commission’s general 11. As discussed above, we find that Because we find that section 275 rulemaking authority is ‘‘expansive’’ Congress, by the Act’s use of the term provides the Commission with direct rather than limited. In addition, it is ‘‘telephone exchange service,’’ explicitly authority over intrastate alarm well-established that an agency has the granted the Commission authority over monitoring services, we reject the authority to adopt rules to administer intrastate alarm monitoring services for argument of the New York Commission congressionally mandated requirements. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16095

C. Constitutional Issues restrictions imposed on BOCs do not customer’s premises and transmit a 20. BellSouth and U S WEST raise violate the Bill of Attainder Clause. signal to a remote monitoring center. U S WEST neither operates the constitutional concerns with respect to III. Alarm Monitoring Service Defined our implementation of section 275. monitoring center nor provides the BellSouth contends that the A. Scope of Section 275(e) ‘‘devices’’ that transmit the alarm signal. Commission must be ‘‘circumspect’’ in i. Background Rather, U S WEST only provides the its construction of section 275 because transmission link between the two 23. Section 275(e) defines ‘‘alarm locations. the prohibition on alarm monitoring monitoring service’’ as: A service that 26. The definition of alarm services ‘‘impose[s an] impermissible uses a device located at a residence, monitoring service in section 275(e) prior restraint[] on BOCs’ speech place of business, or other fixed does not specify whether the ‘‘device’’ activities,’’ in violation of the First premises—(1) to receive signals from that transmits the information or the Amendment. Further, it maintains that other devices located at or about such service provided by the ‘‘remote section 275, as well as other sections of premises regarding a possible threat at monitoring center’’ that receives the the Act, are unconstitutional ‘‘bills of such premises to life, safety, or information must be offered by a BOC attainder’’ to the extent they single out property, from burglary, fire, vandalism, in order for its service to qualify as an BOCs by name and impose restrictions bodily injury, or other emergency, and alarm monitoring service. Nor does the on them alone. Recognizing that we (2) to transmit a signal regarding such have no discretion to ignore Congress’ threat by means of transmission legislative history address this issue. We mandate to apply sections 275, facilities of a [LEC] or one of its affiliates find, however, that a service that only BellSouth urges us to construe these to a remote monitoring center to alert a transmits a signal from the monitored sections, and others, narrowly. U S person at such center of the need to premises to the monitoring center, and WEST concurs with BellSouth that inform the customer or another person therefore does not ‘‘use a device * ** section 275 is an unlawful bill of or police, fire, rescue, security, or public to receive signals from other devices attainder and urges the Commission not safety personnel of such threat * * *. located at or about such premises to adopt any structural rules beyond the The NPRM tentatively concluded that ** *’’ cannot qualify as alarm express terms of the statute. the provision of underlying basic monitoring service regardless of 21. Although decisions about the tariffed telecommunications services whether it is regulated as a constitutionality of congressional does not fall within the definition of telecommunications service or an enactments are generally outside the alarm monitoring service under section information service. Since alarm jurisdiction of administrative agencies, 275(e). The NPRM further tentatively monitoring service is offered throughout we have an obligation under Supreme concluded that Ameritech’s alarm the country by alarm companies that use Court precedent to construe a statute monitoring service falls within the BOC-provided basic telephone service ‘‘where fairly possible to avoid definition in section 275(e) and is to provide transmission between the substantial constitutional questions’’ therefore grandfathered under section monitored premises and the alarm and not to ‘‘impute to Congress an 275(a)(2). The NPRM sought comment monitoring center, the statutory intent to pass legislation that is on whether any other services provided interpretation advocated by U S WEST inconsistent with the Constitution as by incumbent LECs should be would grandfather all BOCs and, construed by the [Supreme Court].’’ As considered alarm monitoring services consequently, would make none subject BellSouth concedes, we have no under section 275(e) and grandfathered to the prohibition in section 275(a). We discretion to ignore Congress’ mandate under section 275(a)(2). reject this interpretation because it respecting these sections or any other would render section 275(a) sections of the Act. Nevertheless, we ii. Discussion superfluous. For the same reason, we find BellSouth’s argument to be without 24. We find that a service provided by also reject U S WEST’s contention that merit. We find that the prohibition on incumbent LECs to transmit information an information service used to transmit the provision of alarm monitoring for use in connection with an alarm signals used for alarm monitoring, such services in section 275 is not a monitoring service, such as U S WEST’s as its ‘‘Versanet’’ service, should be restriction on BellSouth’s speech under ‘‘ScanAlert’’ or ‘‘Versanet,’’ does not classified as an alarm monitoring the First Amendment. constitute an alarm monitoring service service merely because it includes an 22. Similarly, we reject BellSouth and as defined by the Act. We further find, enhanced component. Whether a U S WEST’s argument that section 275 for the reasons discussed below, that the particular service qualifies as an is an unconstitutional ‘‘bill of attainder’’ service provided by Ameritech enhanced or information service does because the statute singles out BOCs by constitutes an alarm monitoring service, not necessarily qualify it as an alarm name and imposes restrictions on them as defined by section 275(e). monitoring service. We therefore affirm alone. We conclude that section 275 is 25. Incumbent LEC Services Used to our tentative conclusion that an not an unconstitutional bill of attainder Transmit Alarm Monitoring incumbent LEC that provides a basic simply because it applies only to the Information. We conclude that an telecommunications service that is used BOCs. Rather, judicial precedent teaches incumbent LEC that provides a service by third parties to offer an alarm that, in determining whether a statute used to transmit alarm monitoring monitoring service is not engaged in the amounts to an unlawful bill of attainder, information used by a third party to provision of an alarm monitoring we must consider whether the statute furnish alarm monitoring service is not service. We further find that an ‘‘further[s] nonpunitive legislative engaged in the provision of alarm incumbent LEC that provides an purposes,’’ and whether Congress monitoring service under the Act. U S enhanced service that transmits an evinced an intent to punish. We find no WEST argues that its basic service alarm signal to a third party is not evidence, and BellSouth and U S WEST ‘‘Scan-Alert’’ and enhanced ‘‘Versanet’’ engaged in the provision of alarm have offered none, that would support service qualify as alarm monitoring monitoring service. We find that our a finding that Congress enacted section services under section 275(e) because conclusion will satisfy Congress’s intent 275 to punish the BOCs. Thus, we these services ‘‘use’’ a device to receive to impose a five-year restriction on BOC conclude that the section 275 signals from other devices at the entry into the alarm monitoring services 16096 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations market and the associated protections to B. Meaning of ‘‘Provision’’ in Section 31. We find that BOC participation in nonaffiliated alarm monitoring 275(a) sales agency, marketing, and/or various compensation arrangements in providers. i. Background 27. We clarify, however, that the connection with alarm monitoring services does not necessarily constitute prohibition on BOC provision of alarm 29. Section 275(a)(1) prevents BOCs the provision of alarm monitoring under monitoring services in section 275(a) from ‘‘engag[ing] in the provision’’ of section 275(a). Whereas other provisions applies only to alarm monitoring alarm monitoring service until February 8, 2001. Section 275(b) places certain of the Act explicitly bar BOCs from services as defined in section 275(e). nondiscrimination obligations on all engaging in such activities in Neither U S WEST nor any other BOC incumbent LECs ‘‘engaged in the connection with other services, section is precluded from continuing to provide provision’’ of alarm monitoring services. 275 does not, by its terms, prohibit a telecommunications and information In the NPRM, we sought comment on BOC from acting as a sales agent or services used by unaffiliated firms to the types of activities that constitute the marketing alarm monitoring service. We provide alarm monitoring service. We ‘‘provision’’ of alarm monitoring therefore reject AICC’s suggestion that also clarify, in accord with BellSouth’s services subject to this section. We we should flatly prohibit BOCs from request, that ‘‘service offerings such as asked parties to address, with entering into arrangements to act as remote meter reading * * *, remote specificity, the levels and types of sales agents on behalf of alarm monitoring of customer premises involvement in alarm monitoring that monitoring service providers or to equipment (CPE) for maintenance and would constitute ‘‘engag[ing] in the market on behalf of, or in conjunction other purposes, or other services in provision’’ of alarm monitoring service. with, alarm monitoring service which the purpose of the service We tentatively concluded that resale of providers. offering is not to alert public safety alarm monitoring service constitutes the 32. We recognize, however, that there personnel of [a] threat’’ do not provision of such service and sought may be certain situations where a BOC is not directly providing alarm constitute alarm monitoring services comment on whether, among other monitoring service, but its interests are because such services do not fall within things, billing and collection, sales agency, marketing and/or various so intertwined with the interests of an the definition of alarm monitoring alarm monitoring service provider that service in section 275(e). Since section compensation arrangements, either individually or collectively, would the BOC itself may be considered to be 275(e) defines alarm monitoring service ‘‘engag[ed] in the provision’’ of alarm constitute the provision of alarm specifically to include transmission of monitoring in contravention of section monitoring. We also asked parties to signals ‘‘regarding a possible threat at 275(a). We conclude therefore that we address any other factors that may be such premises to life, safety, or property will examine sales agency and relevant in determining whether an from burglary, fire, vandalism, bodily marketing arrangements between a BOC incumbent LEC, including a BOC, is injury or other injury * * *’’ we find and an alarm monitoring company on a providing alarm monitoring service that service offerings that do not involve case-by-case basis to determine whether under section 275. a possible threat, such as those they constitute the ‘‘provision’’ of alarm BellSouth mentions, do not fall within ii. Discussion monitoring service. In evaluating such the definition in section 275(e). arrangements, we will take into account 30. We conclude, consistent with our 28. Ameritech’s Service. Ameritech’s a variety of factors including whether reading of the statutory definition of the terms and conditions of the sales ‘‘SecurityLink’’ service was described in alarm monitoring service, that an agency and marketing arrangement are its 1995 CEI plan as ‘‘the sale, incumbent LEC, including a BOC, is made available to other alarm installation, monitoring and engaged in the ‘‘provision’’ of alarm monitoring companies on a maintenance of intrusion and motion monitoring service if it operates the nondiscriminatory basis. detection systems, fire detection ‘‘remote monitoring center’’ in 33. In addition, we will also consider systems, and other types of monitoring connection with the provision of alarm how the BOC is being compensated for and control systems, * * * the monitoring service to end users. As its services. For example, if a BOC, transmission of a non-voice message noted above, if an incumbent LEC is acting as a sales agent or otherwise from the residential, commercial or merely providing the CPE and/or the marketing the services of a particular governmental alarm system to a central underlying transmission service, it is alarm monitoring service provider, has monitoring station * * * [and] a voice not engaged in the provision of alarm a financial stake in the commercial call placed by personnel at the monitoring service under section 275. success of that provider, such monitoring station to the police or fire We further find, consistent with involvement with the alarm monitoring department and to persons designated to Commission precedent, that the resale company may constitute the be contacted in the event of an alarm of a service constitutes the provision of ‘‘provision’’ of alarm monitoring ** *.’’ This service fits squarely within that service. We therefore affirm our service. Such a BOC may be unlawfully tentative conclusion that the resale of the definition of alarm monitoring providing alarm monitoring services if alarm monitoring service constitutes the service in section 275(e). We therefore its compensation for marketing such provision of such service under section services is based on the net revenues of find that Ameritech’s ‘‘SecurityLink’’ 275. We also conclude that BOC an alarm monitoring service provider to service falls within the definition of an performance of the billing and which the BOC furnishes such alarm monitoring service under section collection for a particular alarm marketing services. In that 275(e). Since Ameritech is the only BOC monitoring company does not, in itself, circumstance, a BOC’s compensation that was authorized to provide alarm constitute the provision of alarm would not be tied to its performance in monitoring service as of November 30, monitoring service under section 275(a). marketing the unaffiliated firm’s service, 1995, we find that Ameritech is the only Indeed, BOCs perform billing and but rather would depend on the BOC that qualifies for ‘‘grandfathered’’ collection for many services that they unaffiliated firm’s performance in treatment under section 275(a)(2). themselves do not offer and, in some offering alarm monitoring service. We cases, are barred from offering. find that this approach to evaluating Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16097 sales agency and marketing B. Discussion B. Discussion arrangements will preserve the strength 37. We conclude that regulations 40. Meaning of Section 275(b)(1). We of the five-year restriction on BOC entry conclude that no rules are necessary to into the alarm monitoring services further interpreting the terms of section 275(a)(2) are not needed at this time. implement section 275(b)(1), based on market and the associated protections to the record before us; we will reconsider Both Ameritech and AICC offer differing nonaffiliated alarm monitoring this decision if circumstances warrant. interpretations of these terms and providers. 41. As noted above, section 275(b)(1) 34. Some parties have noted that the disagree on the applicability of section obligates an incumbent LEC to provide question of what constitutes ‘‘engag[ing] 275 in the context of a specific factual nonaffiliated entities the same network in the provision’’ of alarm monitoring situation. These circumstances have led services it provides to its own alarm service under section 275(a) is at issue us to conclude that the scope of section monitoring operations on in the context of Southwestern Bell 275(a)(2) is better addressed on a case- nondiscriminatory terms and Telephone Company’s (SWBT) by-case basis where the Commission is conditions. We find that this comparably efficient interconnection able to consider all of the facts that may nondiscrimination requirement does not (CEI) plan to provide ‘‘security apply to a particular transaction. require an incumbent LEC to provide services.’’ The lawfulness of SWBT’s V. Nondiscrimination Safeguards network services that the LEC does not security services is a fact-specific use in its own alarm monitoring determination that is outside the scope A. Background operations. In addition, we agree with of this rulemaking. We will not address, U S WEST that, if an incumbent LEC is therefore, any comments filed in this 38. Section 275(b)(1) requires an not providing alarm monitoring proceeding that address the merits of incumbent LEC engaged in the services, it is not subject to the SWBT’s CEI plan. The SWBT CEI plan provision of alarm monitoring services nondiscrimination requirement of proceeding, however, will be resolved to ‘‘provide nonaffiliated entities, upon section 275(b)(1). consistent with the policies adopted in reasonable request, with the network 42. We also conclude that the this Order. services it provides to its own alarm nondiscrimination requirement of 35. Finally, we reject BellSouth’s monitoring operations, on section 275(b)(1) is independent of the contention that section 275(a)(2) permits nondiscriminatory terms and nondiscrimination requirement of non-grandfathered BOCs to engage in conditions.’’ Prior to the Act, alarm section 202(a). Section 275(b)(1) the provision of alarm monitoring to the monitoring services were regulated as requires incumbent LECs to provide extent that they do not obtain an ‘‘equity enhanced services and were subject to nonaffiliated entities, upon reasonable interest in’’ or ‘‘financial control of’’ an the nondiscrimination requirements request, ‘‘network services * * * on alarm monitoring service provider. We established under the Commission’s nondiscriminatory terms and find that section 275(a)(2) pertains Computer II and Computer III regimes. conditions.’’ Section 202(a) prohibits exclusively to alarm monitoring Under Computer III and Open Network ‘‘any unjust and unreasonable activities by a grandfathered BOC and, Architecture, BOCs have been permitted discrimination * * *, or * * * any therefore, has no applicability to non- to provide enhanced services on an undue or unreasonable preference or grandfathered BOCs. integrated basis. Moreover, BOCs have advantage’’ by common carriers. IV. Existing Alarm Monitoring Service been required to provide at tariffed rates Because the section 275(b)(1) Providers nondiscriminatory interconnection to nondiscrimination bar, unlike that of unbundled network elements used to section 202(a), is not qualified by the A. Background provide enhanced services. terms ‘‘unjust and unreasonable,’’ we 36. Section 275(a)(1) generally 39. We noted in the NPRM that conclude that Congress intended a more prohibits the BOCs from engaging in the sections 201 and 202 of the stringent standard in section 275(b)(1). provision of alarm monitoring services 43. We interpret the term ‘‘network Communications Act already place until February 8, 2001. Section 275(a)(2) services’’ to include all significant nondiscrimination allows BOCs that were providing alarm telecommunications services used by an obligations on common carriers. We monitoring services as of November 30, incumbent LEC in its provision of alarm 1995, to continue to do so, but provides concluded that the Computer III monitoring service. We do not find that that ‘‘[s]uch Bell operating company or nondiscrimination provisions continue this section requires incumbent LECs to affiliate may not acquire any equity to apply to the extent they are not provide information services or other interest in, or obtain financial control of, inconsistent with the nondiscrimination services that use LEC facilities or any unaffiliated alarm monitoring requirements of section 275(b)(1). We features not part of the LECs’ bottleneck service entity after November 30, 1995, sought comment on whether the network because there is little danger of and until 5 years after the date of existing nondiscrimination and network discrimination in the provision of such enactment of the Telecommunications unbundling rules in Computer III, as services. We also decline to interpret the Act of 1996, except that this sentence they apply to BOC provision of alarm term ‘‘network services’’ as we do the shall not prohibit an exchange of monitoring service, are consistent with term ‘‘network elements,’’ to include customers for the customers of an the requirements of section 275 and ‘‘features, functionalities and unaffiliated alarm monitoring service whether they should be applied to all capabilities available through those entity.’’ The NPRM sought comment on incumbent LECs for the provision of services,’’ as AICC suggests. Our whether regulations are needed to alarm monitoring. We also sought definition of ‘‘network elements’’ is define further the terms of section comment on whether and what types of based on the statutory definition of that 275(a)(2) and, in particular, on what is specific regulations are necessary to term, and we find no basis in section meant by the terms ‘‘equity interest’’ implement section 275(b)(1), to the 275 or elsewhere in the Act for the and ‘‘financial control.’’ It also sought extent that parties argue that the definition of ‘‘network services’’ comment on the conditions under nondiscrimination provisions of advocated by AICC. which an ‘‘exchange of customers’’ is Computer III and ONA are inconsistent 44. Computer III/ONA Requirements permitted by the Act. or should not be applied. and Section 275(b)(1). We also conclude 16098 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations that the Computer III/ONA requirements Communications, Except 49. Third, our conclusion that section are consistent with the requirements of Radiotelephone). The SBA has 275(b)(1) imposes a more stringent section 275(b)(1). We affirm our prescribed the size standard for a ‘‘small standard for determining whether conclusion, therefore, that the Computer business concern’’ under SIC code 4813 discrimination is unlawful than that III/ONA requirements continue to as 1,500 or fewer employees. which already exists under sections 201 govern the BOCs’ provision of alarm 47. Many of the conclusions adopted and 202 and applies to all incumbent monitoring services. In addition, we in this Order apply only to the BOCs LECs, will not have a significant find that the nondiscrimination which, because they are large economic impact on small incumbent requirements of section 275(b)(1) apply corporations that are dominant in their LECs. Incumbent LECs, including small to the BOCs’ provision of both field of operation and have more than incumbent LECs, are subject to pre- intraLATA and interLATA alarm 1,500 employees, do not fall within the existing nondiscrimination monitoring services, as well as other SBA’s definition of a ‘‘small business requirements under the Act and state incumbent LECs’ provision of alarm concern.’’ Some of the conclusions law and therefore already are required monitoring services. The parties have adopted in this Order apply, however, to respond to complaints of not indicated that there is any to all incumbent LECs. Some of these discriminatory behavior or more strictly inconsistency between the incumbent LECs may have fewer than limit their participation in nondiscrimination requirements of 1,500 employees and thus meet the discriminatory activities. We therefore Computer III/ONA and section SBA’s size standard to be considered find that the impact of the Order on 275(b)(1). Section 275(b)(1), moreover, ‘‘small.’’ Because such incumbent LECs, incumbent LECs, including small does not repeal or otherwise affect the however, are either dominant in their incumbent LECs, of the more stringent Computer III/ONA requirements. We field of operations or are not standard of section 275(b)(1) will be de will consider in the Commission’s independently owned and operated, minimis. Computer III Further Remand consistent with our prior practice, they 50. Finally, our decision not to extend proceeding whether the Computer III/ are excluded from the definition of the Computer III/ONA ONA requirements need to be revised or ‘‘small entity’’ and ‘‘small business nondiscrimination requirements to all eliminated. For the same reason, we also concern.’’ Accordingly, our use of the incumbent LECs providing intraLATA decline to extend the Computer III/ONA terms ‘‘small entities’’ and ‘‘small alarm monitoring services, as noted in requirements to all incumbent LECs, as businesses’’ does not encompass small Section V, will prevent any significant economic impact on incumbent LECs, recommended by AT&T. incumbent LECs. Out of an abundance particularly small incumbent LECs, by of caution, however, for regulatory VI. Procedural Matters sparing them the regulatory burdens and flexibility purposes, we will consider economic impact of complying with A. Final Regulatory Flexibility small incumbent LECs within this Certification those additional rules. certification and use the term ‘‘small 51. For all of these reasons, we certify 45. The Commission certified in the incumbent LECs’’ to refer to any pursuant to section 605(b) of the RFA NPRM that the conclusions it proposed incumbent LECs that arguably might be that the conclusions adopted in this to adopt would not have a significant defined by SBA as ‘‘small business Order will not have a significant economic impact on a substantial concerns.’’ economic impact on a substantial number of small entities because the 48. The Commission adopts the number of small entities. The proposed conclusions did not pertain to conclusions in this Order to ensure the Commission shall provide a copy of this small entities. No comments were prompt implementation of section 275 certification to the Chief Counsel for received in response to the of the Act, which addresses the Advocacy of the SBA, and include it in Commission’s request for comment on provision of alarm monitoring services the report to Congress pursuant to the its certification. For the reasons stated by BOCs and other incumbent LECs. We SBREFA. A copy of this certification below, we certify that the conclusions certify that although there may be a will also be published in the Federal adopted herein will not have a substantial number of small incumbent Register. significant economic impact on a LECs affected by the decisions adopted substantial number of small entities. herein, the conclusions we adopt in this B. Final Paperwork Reduction Analysis This certification conforms to the Order will not have a significant 52. As required by the Paperwork Regulatory Flexibility Act (RFA), as economic impact on those affected Reduction Act of 1995, Public Law 104– amended by the Small Business small incumbent LECs. First, section 13, the NPRM invited the general public Regulatory Enforcement Fairness Act of 275(a) applies only to Bell Operating and the OMB to comment on the 1996 (SBREFA). Companies, prohibiting them, with Commission’s proposed changes to its 46. The RFA provides that the term certain exceptions, from providing information collection requirements. ‘‘small business’’ has the same meaning alarm monitoring service until February Specifically, the Commission proposed as the term ‘‘small business concern’’ 8, 2001. Thus, in clarifying the to extend various reporting under the Small Business Act. The definition of ‘‘alarm monitoring service’’ requirements, which apply to the BOCs Small Business Act defines a ‘‘small and the manner in which we will apply under Computer III, to all incumbent business concern’’ as one that is the nondiscrimination provisions of LECs pursuant to section 275(b)(1). The independently owned and operated; is section 275(b)(1), this Order has no OMB, in approving the proposed not dominant in its field of operation; significant economic impact on small changes in accordance with the and meets any additional criteria incumbent LECs. Second, we have not Paperwork Reduction Act, established by the Small Business adopted additional rules governing the ‘‘encourage[d] the [Commission] to Administration (SBA). SBA has not nondiscrimination requirements of investigate the potential for sunsetting developed a definition of ‘‘small section 275(b), which applies to all these requirements as competition and incumbent LECs.’’ The closest incumbent LECs; therefore, there is no other factors allow.’’ In this Order, the applicable definition under SBA rules is change in the status quo as to the Commission adopts none of the changes for Standard Industrial Classification regulation of incumbent LECs in this to our information collection (SIC) code 4813 (Telephone regard. requirements proposed in the NPRM. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16099

We therefore need not address the SDA Security Systems, Inc. business five per cent or more of whose OMB’s comment, although we note that Security Systems by Hammond, Inc. stock, warrants, options or debt our decision is consistent with the Sentry Alarm Systems of America, Inc. securities are owned by the applicant or OMB’s recommendation. Sentry Protective Systems an officer, director, stockholder or key Smith Alarm Systems management personnel of the applicant. VII. Ordering Clauses Superior Monitoring Service, Inc. SVI Systems, Inc. This list must include a description of 53. Accordingly, It is ordered that Time Warner Cable each subsidiary’s principal business and pursuant to sections 1, 2, 4, 201–202, United States Telephone Association (USTA) a description of each subsidiary’s 275, and 303(r) of the Communications U S WEST, Inc. (U S WEST) relationship to the applicant. * ** Act of 1934, as amended, 47 U.S.C. 151, Valley Burglar & Fire Alarm Co., Inc. * * * * * 152, 154, 201–202, 275, and 303(r), the Vector Security Federal Communications Commission Voice-Tel Report and Order is Adopted, and the William F. Caton, requirements contained herein will Wayne Alarm Systems Acting Secretary. become effective May 5, 1997. Yellow Pages Publishers Association [FR Doc. 97–8482 Filed 4–3–97; 8:45 am] 54. It is further ordered that the [FR Doc. 97–8605 Filed 4–3–97; 8:45 am] BILLING CODE 6712±01±P Secretary shall send a copy of this BILLING CODE 6712±01±P Report and Order, including the final regulatory flexibility certification, to the Chief Counsel for Advocacy of the Small 47 CFR Part 27 DEPARTMENT OF DEFENSE Business Administration, in accordance [GN Docket No. 97±50; FCC 96±278] with paragraph 605(b) of the Regulatory 48 CFR Part 235 Flexibility Act, 5 U.S.C. 601 et seq. The Wireless Communications Service Federal Communications Commission. (``WCS''); Correction [DFARS Case 96±D028] William F. Caton, AGENCY: Federal Communications Acting Secretary. Defense Federal Acquisition Commission. Regulation Supplement; Streamlined Note: This attachment will not appear in ACTION: Correction to final rule. Research and Development Clause the Code of Federal Regulations. Lists SUMMARY: This document contains Attachment—List of Commenters in CC corrections to the final rules which were Docket No. 96–152 AGENCY: Department of Defense (DoD). published Monday, March 3, 1997 (62 ACTION: Final rule. Alarm Detection Systems, Inc. FR 9636). The rules contain the Alarm Industry Communications Committee licensing procedures and technical SUMMARY: The Director of Defense (AICC) standards for the Wireless Procurement has issued a final rule Alert Holdings Group, Inc. Communications Service (‘‘WCS’’). Ameritech amending the Defense Federal Association of Directory Publishers EFFECTIVE DATE: March 21, 1997. Acquisition Regulation Supplement Association of Telemessaging Services FOR FURTHER INFORMATION CONTACT: Josh (DFARS) to authorize continued use of International Roland or Matthew Moses, Wireless streamlined research and development AT&T Corporation (AT&T) Telecommunications Bureau, (202) 418– solicitation and contracting procedures Atlas Security Service, Inc. 0660. at the contracting activities that Bell Atlantic Telephone Companies (Bell participated in the test of such Atlantic) SUPPLEMENTARY INFORMATION: procedures. BellSouth Corporation (BellSouth) Background Checkpoint Ltd. EFFECTIVE DATE: April 4, 1997. Cincinnati Bell Telephone (Cincinnati Bell) The final regulation that is the subject FOR FURTHER INFORMATION CONTACT: Commercial Instruments & Alarm Systems, of this correction designated the Defense Acquisition Regulations Inc. information required to be disclosed on Council, Attn: Mr. Michael Pelkey, Commonwealth Security Systems, Inc. applications in the WCS for a radio PDUSD (A&T) DP (DAR), IMD 3D139, ElectroSecurity Corporation station authorization or for consent to 3062 Defense Pentagon, Washington, DC Entergy Technology Holding Company George Alarm Company, Inc. assignment or transfer of control, 20301–3062. Telephone (703) 602–0131; Information Industry Association including applications filed on FCC telefax number (703) 602–0350. Please Joint Parties Forms 175 and 600. cite DFARS Case 96–D028 in all correspondence related to this issue. MCI Telecommunications Corporation (MCI) Need for Correction Merchant’s Alarm Systems SUPPLEMENTARY INFORMATION: Midwest Alarm Company, Inc. As published, the final rules contains Morse Signal Devices an inadvertent omission in the text A. Background New York State Department of Public Service which is in need of correction. (New York Commission) On October 18, 1994, the Director of Newspaper Association of America Correction of Publication Defense Procurement authorized a test NSS National Security Service Accordingly, in FR Doc. 97–5128 of streamlined research and NYNEX Corporation (NYNEX) published on March 3, 1997 (62 FR development contracting procedures for Pacific Telesis Group (PacTel) 9636), make the following correction. complex, detailed requirements for Peak Alarm Company, Inc. which the Broad Agency People of the State of California/California On page 9669, in column 2, the first sentence of paragraph (a)(1) is corrected Announcement process is PUC (California Commission) inappropriate. This rule will permit the Per Mar Security Services to read as follows: Post Alarm Systems contracting activities that participated Rodriguez, Francisco § 27.307 [Corrected] in the test to continue to use the Safe Systems (a) * * * streamlined procedures pending Safeguard Alarms, Inc. (1) A list of its subsidiaries, if any. development and publication of SBC Communications, Inc. (SBC) Subsidiary means any FCC-regulated permanent procedures. 16100 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

B. Regulatory Flexibility Act (d) Regardless of whether or not the Exhibit—Research and Development Streamlined Contract Format This final rule does not constitute a RDSS is used, the contracting officer significant revision within the meaning may use the research and development Part I—The Schedule of FAR 1.501 and Public Law 98–577, streamlined contracting format at Section A, Solicitation/Contract Form and publication for public comment is 235.7006 for any acquisition that meets (A.1) Research and development not required. However, comments from the criteria in 235.7002(b). streamlined solicitation (RDSS). Include the small entities concerning the affected following in the RDSS: § 235.7003 [Removed and Reserved] DFARS subpart will be considered in (i) Solicitation number; accordance with 5 U.S.C. 610. Such 4. Section 235.7003 is removed and (ii) A statement that award will be made comments should cite DFARS Case 96– reserved. in accordance with DFARS Subpart 235.70, Research and Development Streamlined D028 in correspondence. 5. Section 235.7005 is amended by Contracting Procedures; C. Paperwork Reduction Act revising the section heading and the (iii) A statement as to whether the RDSS introductory text to read as follows: includes a supplemental package; The Paperwork Reduction Act does (iv) Instructions for obtaining any not apply because this rule does not § 235.7005 The research and development supplemental package, including use of impose any new information collection streamlined contract (RDSC). Electronic Bulletin Boards, as appropriate; requirements that require the approval (v) A statement that all of the mandatory of the Office of Management and Budget The RDSC is the streamlined contract terms, clauses, and provisions, and certain under 44 U.S.C. 3501, et seq. that results from the use of the RDSS or asterisked terms, clauses, and provisions in other solicitation procedures that meet DFARS 235.7006 are incorporated by List of Subjects in 48 CFR Part 235 the criteria for use of the RDSS. Include reference. This statement must list the asterisked terms, clauses, and provisions that Government procurement. the following in RDSCs: apply. (for example: ‘‘All of the mandatory Michele P. Peterson, * * * * * terms, clauses, and provisions at DFARS 235.7006, Research and development Executive Editor, Defense Acquisition 6. Section 235.7006 is revised to read Regulations Council. streamlined contract format, and the as follows: Therefore, 48 CFR Part 235 is following items listed therein for use as amended as follows: applicable are incorporated by reference: B.4, § 235.7006 The research and development B.5, C.1, E.3, I.80.’’) Additions to and 1. The authority citation for 48 CFR streamlined contracting format. deletions from the clauses and provisions Part 235 continues to read as follows: (a) The clauses and provisions listed in the standard format, and data Authority: 41 U.S.C. 421 and 48 CFR prescribed in the exhibit to paragraph required to be inserted in blanks in clauses Chapter 1. or solicitation provisions, when known at the (d) of this section are mandatory unless time the solicitation is published, must be PART 235ÐRESEARCH AND they are marked with an asterisk. Terms, clearly annotated in the RDSS; DEVELOPMENT CONTRACTING clauses and provisions marked with an (vi) A statement that the clauses and asterisk are for use as appropriate as provisions are those in effect through FAC § 235.7001 [Amended] lll, DAC lll, and Departmental Letter prescribed elsewhere in FAR and lll 2. Section 235.7001 is amended by No. ; DFARS. List in the solicitation (vii) A statement that the standard removing paragraph (a) and published in the Commerce Business evaluation factors at Section M of this redesignating paragraphs (b) and (c) as Daily (see paragraph (d)(A.1)(v) of this subpart apply, or, if they do not apply, the paragraphs (a) and (b), respectively. section) the numbers of any asterisked applicable evaluation factors. If the standard 3. Section 235.7002 is amended by terms, clauses, and provisions that evaluation factors are modified in any way, revising the introductory text of apply to the acquisition, and the text of the modifications must be clearly expressed paragraph (a), and paragraphs (b) and any special provisions, instructions, or so that the result is unambiguous. Additions (d) to read as follows: to and deletions from Section M must be notices that are approved for use in the clearly annotated in the RDSS; § 235.7002 Applicability. solicitation. (viii) Identification of data requirements by (a) The following contracting offices (b) At the time of contract award to including either: have been approved by the Director of educational or nonprofit institutions, (A) A summary of the data requirements Defense Procurement for participation that identifies all deliverable data items, and delete those clauses and provisions that specifies number of copies and frequency of in the test and may use the procedures do not apply to such institutions, and, delivery; or of this subpart pending implementation as necessary, replace with the (B) A notice that DD Form 1423, Contract of permanent procedures. appropriate alternatives. For example, Data Requirements List, is included in the * * * * * FAR 52.203–10 will be included in all supplemental package; (b) Consider using the procedures in solicitations, but deleted in awards to (ix) Type of cost contract contemplated; this subpart when the acquisition will educational institutions. (x) Estimated period of performance; result in a cost-reimbursement type (xi) Notice of preproposal conference, if (c) The use of FAR and DFARS applicable, with location, date, and time; contract that is valued at $10,000,000 or provisions and clauses, and (xii) Notice of small business or other set- less and meets the criteria for research nonstandard provisions and clauses aside, if applicable; and development as defined in 235.001 approved for agency use, that are not in (xiii) Notice of place, date, and time and FAR 35.001. The procedures in this technical and cost proposals are due; subpart shall not be used for— the research and development (xiv) Number of copies of technical and (1) Contracts to be performed outside streamlined contract format provided by cost proposals required; of the United States and Puerto Rico; the Exhibit in this section, shall be (xv) Proposal page limitations; (2) Contracts denominated in other approved in accordance with agency (xvi) Whether multiple awards are than U.S. dollars; or procedures. contemplated; (xvii) Name, address, and telephone (3) Acquisitions using simplified (d) The research and development number of contracting officer; acquisition procedures. streamlined contract format is set forth (xviii) Any applicable Commerce Business * * * * * in the following exhibit: Daily numbered notes; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16101

(xix) Statement that a DD Form 254, generally enhanced effectiveness of This statement may contain information Contract Security Classification operations). There are few areas for which may be used to assist the Award Fee Specification, will be included in the improvement; these areas are all minor; there Review Board in its evaluation of the supplemental package, if appropriate; are no recurring problems; and management Contractor’s performance during the period. (xx) The statement of work, or a statement has initiated effective corrective action (vii) Disputes. The decision of the Fee that the statement of work is in the whenever needed. Determining Official on the amount of award supplemental package; and (B) Very good performance: The fee will not be subject to the ‘‘Disputes’’ (xxi) The applicable Standard Industrial contractor’s performance of most contract clause. Classification (SIC) code and small business task requirements is uniformly well above (viii) Award fee payment. size standard. standard and exceeds the standard in many (A) As determined by the Fee Determining (A.2) Research and development significant areas. Although some areas may Official, payment of any award fee will not streamlined contract (RDSC). Use either require improvements these are minor and be subject to the ‘‘Allowable Cost and Standard Form (SF) 33, Solicitation, Offer are more than offset by better performance in Payment’’ and ‘‘Termination (Cost and Award, or SF 26, Award/Contract. other areas. Few, if any, recurring Reimbursement)’’ clauses of this contract. Section B, Supplies or Services and Prices/ deficiencies have been noted in the (B) The Contractor may submit vouchers Costs Contractor’s performance and the contractor for the award fee immediately upon receipt has demonstrated/taken satisfactory of the Contracting Officer’s written award fee (Use appropriate CLIN structure. Include corrective action. Innovative management notification. item descriptions.) *(B.5) Target Cost and Fee. (Applicable to (B.1) Type of Contract. actions have resulted intangible or intangible llllllll benefits to the Government (i.e., improved incentive fee-type contracts. The following This is a Contract. information shall be inserted into the *(B.2) Estimated Cost. (Use when no fee quality, responsiveness, increased quantity, increased timeliness, or generally enhanced appropriate blanks in clause I.54.) The target will be paid) lllll effectiveness of operations). cost is $ . The total estimated cost for this contract is The target fee is $lllll. $lllll (C) Good performance: Contractor’s performance of most contract task The minimum fee the contractor may The total estimated cost for this contract is receive is $lllll. $llllll requirements meets the standard, and it exceeds the standard in several significant The maximum fee the contractor may *(B.3) Cost-Plus-Fixed-Fee. (Applicable to lllll areas. While the remainder of the contractor’s receive is $ . fee-bearing contracts) Share ratio:llllllll. The total estimated cost for this contract effort generally meets contract requirements, llllll areas requiring improvement are more than (Government/Contractor) $ *(B.6) Payment of Fixed Fee on Cost-Plus- The total fixed fee for this contract is $ offset by better performance in other areas. llllll Management actions taken or initiated have Fixed-Fee (Completion) Contracts. The fixed resulted in some demonstrated benefits to the fee shall be paid in monthly installments *(B.4) Award Fee. (Applicable to award based upon the percentage of completion of fee-type contracts) Government (i.e., improved quality, responsiveness, timeliness, or effectiveness work as determined by the Administrative In addition to the fee set forth elsewhere Contracting Officer, subject to the in the contract, the Contractor may earn an of operations). lll (D) Marginal performance: Contractor withholding provisions of the contract. award fee up to $ on the basis of *(B.7) Payment of Fixed Fee on Cost-Plus- performance during the performance periods, performance meets most contract standards. Although there are areas of good or better Fixed-Fee (Term) Contracts. (Applicable to and in the amount specified in the award fee cost-plus-fixed-fee (term) contracts when the plan. performance, these are more or less offset by lower rated performance in other areas. Little clause at FAR 52.216–8 is used.) Pursuant to (i) Monitoring of performance. The the clause at FAR 52.216–8, Fixed Fee, and additional tangible benefit is observable due contractor’s performance will be monitored subject to withholding provisions contained to contractor effort or initiative. continually by the Award Fee Review Board. in that clause or elsewhere in this contract, (E) Submarginal performance: Contractor (ii) Award fee plan. This plan provides fixed fee shall be paid to the Contractor based performance is below standard in several necessary administrative information, upon the percentage of hours completed as areas. Contractor performance in accordance including the evaluation criteria and related to the total hours set forth in the with requirements is inconsistent. Quality, schedule, for the purpose of implementing contract on each voucher. The Contractor responsiveness, timeliness, and/or economy the award fee provision. Upon contract shall certify to the level of effort expended in many areas require attention and action. award, the Contractor will be provided the during that period. The Government award fee plan subject to any withholding Corrective actions have not been taken, or are llllll technical representative shall sign a authorized by the (insert ineffective. Overall submarginal performance statement on the certificate that the work appropriate contracting official). shall not be given award fee. performed during the period has been (iii) Modification of award fee plan. Before (v) Maximum payable award fee. The performed satisfactorily. the start of an evaluation period, the maximum payable award fee in any *(B.8) Options. (Applicable to contracts Government may unilaterally— evaluation period shall be determined based with options) The Government may require (A) Modify the award fee performance on the amount set forth in the applicable performance of the work required by CLIN evaluation criteria and areas applicable to the contract line items and a percentage based on lll. The Contracting Officer shall provide evaluation period; and the Government’s evaluation of the written notice of intent to exercise this (B) Redistribute the remaining award fee Contractor’s performance as follows: option to the Contractor on or before dollars among the remaining periods. The lllll. If the Government exercises this Contracting Officer will notify the Contractor Percent of option by lll, the Contractor shall in writing of the changes and modify the Performance maximum perform at the estimated cost and fee, if award fee plan accordingly. award fee payable applicable, set forth as follows: (iv) The following standards of llllllll performance shall be used in determining Estimated Cost ...... $ Excellent ...... l% to l% OR whether and to what extent the Contractor llllllll has earned or may be entitled to receive any Very Good ...... l% to l% Estimated Cost ...... $ Good ...... l% to l% Fixed Fee ...... $llllllll award fee: llllllll (A) Excellent performance: Contractor Marginal ...... l% to l% Total ...... $ performance of virtually all contract task Submarginal ...... 0% OR Estimated Cost ...... $llllllll requirements is uniformly well above llllllll standard and exceeds the standard by a (vi) Self-evaluation. The Contractor may Base Fee ...... $ submit to the Contracting Officer within five Maximum Award substantial margin in numerous significant llllllll working days after the end of each award fee Fee ...... $ tangible or intangible benefits to the llllllll Government (i.e., improved quality, evaluation period, a brief written self- Total ...... $ responsiveness, increased timeliness, or evaluation of its performance for the period. 16102 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

OR accomplished by the contracting officer or a of Labor Compliance Office agrees to a Target Cost ...... $llllllll designated representative. shorter time. llllllll Minimum Fee ...... $ Section F, Deliveries or Performance *(G.5) Contracting Officer’s Representative. Target Fee ...... $llllllll (To be filled in at time of contract award.) *(F.1) FAR 52.242–15 Stop Work Order— Maximum Fee ...... $llllllll The Contracting Officer’s representative for Alternate I. Share Ratio ...... $llllllll this contract is: (F.2) Delivery of Reports. lllllllllllllllllllll Section C, Description/Specifications/Work (i) All data shall be delivered in lllllllllllllllllllll Statements accordance with the delivery schedule lllllllllllllllllllll *(C.1) Classified Work Statement. shown on the Contract Data Requirements *(G.6) Invoice Instructions. (Insert invoice (Applicable if Section C is classified.) The List, attachments, or as incorporated by instructions.) description/specifications/work statement reference. entitled, ‘‘llllll,’’ classified (ii) All reports and correspondence (G.7) Accounting and Appropriation Data llllll, dated llllll, is submitted under this contract shall include (Insert accounting and appropriation data.) incorporated herein by reference. A copy the contract number and project number and Section H, Special Contract Requirements be forwarded prepaid. A copy of the letters may be obtained from the Contracting (H.1) Incorporation of Section K by of transmittal shall be delivered to the Officer, if a need-to-know is established and Reference. Pursuant to Federal Acquisition Procuring Contracting Officer (PCO) and the appropriate security clearance has been Regulation (FAR) 15.406–1(b), Section K of granted. Administrative Contracting Officer (ACO). the solicitation is hereby incorporated by *(C.2) Unclassified Work Statement. The addresses are set forth on the contract reference. (Applicable if Section C is unclassified and award cover page. All other address(es) and *(H.2) Rent-Free Use of Government is attached to the contract.) The description/ code(s) for consignee(s) are as set forth in the specifications/work statement is included as contract or incorporated by reference. Property. The Contractor may use on a rent- Attachment llllll. *(F.3) FAR 52.247–55 F.O.B. Point of free, noninterference basis, as necessary for *(C.3) Contractor’s Technical Proposal. Delivery of Government-Furnished Property. the performance of this contract, the (Applicable if portions of the Contractor’s *(F.4) The work under this contract shall Government property accountable under llll proposal are incorporated by reference. commence on llllllll and be contract(s) . The Contractor is Include only those portions of the proposal completed no later than llllllll. responsible for scheduling the use of all property covered by the above referenced that specifically describe the work to be Section G, Contract Administration Data performed.) The Contractor’s proposal contract(s) and the Government shall not be entitled, ‘‘llllll,’’ pages llllll, *(G.1) Contractor Payment Address. (To be responsible for conflicts, delays, or dated llllll, is incorporated herein by filled in at time of contract award. Applicable disruptions to any work performed by the reference. if the Contractor has specified a payment Contractor due to use of any or all such address other than the address shown on the Section D, Packing and Marking property under this contract or any other cover page of the contract.) contracts under which use of such property (D.1) Commercial Packaging. Contractor Payment Address: lllllllllllllllllllll is authorized. Preservation, packaging, and packing shall *(H.3) Government-Furnished Property. provide adequate protection against physical lllllllllllllllllllll lllllllllllllllllllll The Government will furnish to the damage during shipment for all deliverable Contractor for use in the performance of the items in accordance with standard *(G.2) Incremental Funding. (Applicable to contract on a rent-free basis the Government- commercial practices. incrementally funded contracts.) This contract is incrementally funded pursuant to owned property listed in an attachment to Section E, Inspection and Acceptance the Limitation of Funds clause, FAR 52.232– this contract, subject to the provisions of the (1) Federal Acquisition Regulation clauses: 22. Funds are hereby obligated in the amount Government Property Clause of the Contract *(E.1) .... 52.246–8 Inspection of Re- of $lllll and it is estimated that they Clauses. search and De- are sufficient for contract performance (H.4) Scientific/Technical Information. If velopment—Cost through lllll. not already registered, the Contractor is Reimbursement. *(G.3) Incremental Funding. (Applicable to encouraged to register for Defense Technical *(E.2) .... 52.246–8 Inspection of Re- incrementally funded contracts.) This Information Center (DTIC) service by search and De- contract is incrementally funded pursuant to contacting the following: velopment—Cost the Limitation of Funds clause, FAR 52.232– Defense Technical Information Center, Reimbursement 22. Funds are hereby obligated in the amount Attn: Registration Section (DTIC–BCS), 8725 (Alternate I). $lllll and it is estimated that they are John J. Kingman Road, Suite 0944, Fort *(E.3) .... 52.246–9 Inspection of Re- sufficient for contract performance through Belvoir, VA 22060–0944, (703) 767–8273 or search and De- lllll. Additional incremental funding 1–800–CAL–DTIC (225–3842), menu velopment planned, but not obligated, is: selection 2. (Short Form). (Insert funding schedule.) To avoid duplication of effort and conserve (2) Defense Federal Acquisition Regulation *(G.4) Request for Equal Opportunity scientific and technical resources, the Supplement clauses. Preaward Clearance of Subcontracts. Contractor is encouraged to search existing *(E.4) .... 252.246– Material Inspec- (Applicable to subcontracts over $1 million.) sources in DTIC to determine the current 7000 tion and Receiv- To provide the Contracting Officer with state of the art concepts, studies, etc. ing Report. adequate time to process the Contractor’s (H.5) Reserved. request for preaward clearance of *(H.6) (Insert nonstandard clause(s) (3) Other provisions. subcontracts as required by FAR 52.222–28, approved in accordance with agency (E.5) Inspection and Acceptance. the prime contractor shall request preaward procedures, if applicable.) Inspection and acceptance of any and all clearance through the Contracting Officer at Part II—Contract Clauses deliverables under this contract will be least 30 calendar days before the proposed award date, unless the cognizant Department Section I, Contract Clauses

(I.1) ...... 52.252–2 Clauses Incorporated by Reference. (I.2) ...... 52.202–1 Definitions. (I.3) ...... (1) (I.4) ...... 52.203–3 Gratuities. (I.5) ...... 52.203–5 Covenant Against Contingent Fees. (I.6) ...... 52.203–7 Anti-Kickback Procedures. (I.7) ...... 52.203–10 Price or Fee Adjustment for Illegal or Improper Activity. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16103

(I.8) ...... 52.209–6 Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment. (I.9) ...... (1) (I.10) ...... (1) (I.11) ...... (1) (I.12) ...... 52.215–26 Integrity of Unit Prices. (I.13) ...... 52.215–33 Order of Precedence. (I.14) ...... 52.216–7 Allowable Cost and Payment (Modified in accordance with 16.307 as applicable). (I.15) ...... (1) (I.16) ...... (1) (I.17) ...... (1) (I.18) ...... (1) (I.19) ...... 52.222–3 Convict Labor. (I.20) ...... 52.222–26 Equal Opportunity. (I.21) ...... 52.222–35 Affirmative Action for Special Disabled and Vietnam Era Veterans. (I.22) ...... 52.222–36 Affirmative Action for Handicapped Workers. (I.23) ...... 52.222–37 Employment Reports on Special Disabled Veterans and Veterans of the Vietnam Era. (I.24) ...... 52.223–6 Drug-Free Workplace. (I.25) ...... 52.225–11 Restrictions on Certain Foreign Purchases. (I.26) ...... 52.227–1 Authorization and Consent—Alternate I. (I.27) ...... 52.227–2 Notice and Assistance Regarding Patent and Copyright Infringement. (I.28) ...... 52.228–7 Insurance—Liability to Third Persons. (I.29) ...... 52.232–9 Limitation on Withholding of Payments. (I.30) ...... 52.232–23 Assignment of Claims. (I.31) ...... 52.232–25 Prompt Payment. (I.32) ...... (1) (I.33) ...... 52.233–1 Disputes. (I.34) ...... 52.233–3 Protest After Award—Alternate I. (I.35) ...... 52.242–1 Notice of Intent to Disallow Costs. (I.36) ...... 52.242–13 Bankruptcy. (I.37) ...... 52.244–2 Subcontracts (Cost-Reimbursement and Letter Contracts) Alternate I. (I.38) ...... 52.244–5 Competition in Subcontracting. (I.39) ...... 52.247–1 Commercial Bill of Lading Notations. (I.40) ...... 52.249–14 Excusable Delays. (I.41) ...... 52.253–1 Computer-Generated Forms. (I.42) ...... (1) (I.43) ...... (1) *(I.44) ...... 52.204–2 Security Requirements. *(I.45) ...... 52.204–2 Security Requirements—Alternate I (For educational institutions). *(I.46) ...... 52.215–22 Price Reduction for Defective Cost or Pricing Data. *(I.47) ...... 52.215–23 Price Reduction for Defective Cost or Pricing DataModifications. *(I.48) ...... 52.215–24 Subcontractor Cost or Pricing Data. *(I.49) ...... 52.215–25 Subcontractor Cost or Pricing Data-Modifications. *(I.50) ...... 52.215–27 Termination of Defined Benefit Pension Plans (Except educational institutions). *(I.51) ...... 52.215–31 Waiver of Facilities Capital Cost of Money (Except educational institutions). *(I.52) ...... 52.215–39 Reversion or Adjustment of Plans for Postretirement Benefits Other than Pension (PRB). *(I.53) ...... 52.216–8 Fixed Fee. *(I.54) ...... 52.216–10 Incentive Fee. *(I.55) ...... 52.216–11 Cost Contract—No Fee. *(I.56) ...... 52.216–11 Cost Contact-No Fee—Alternate I. *(I.57) ...... 52.216–12 Cost-Sharing Contract-No Fee. *(I.58) ...... 52.216–12 Cost-Sharing Contract-No Fee—Alternate I. *(I.59) ...... 52.216–15 Predetermined Indirect Cost Rates (For educational institutions only). *(I.59A) ...... 52.216–7002 Alternate A (For educational institutions only). *(I.60) ...... 52.219–6 Notice of Total Small Business Set-Aside. *(I.61) ...... 52.219–6 Notice of Total Small Business Set-Aside—Alternate I. (I.62) ...... (1) *(I.63) ...... (1) *(I.64) ...... 52.219–14 Limitations on Subcontracting. *(I.65) ...... 52.219–16 Liquidated Damages-Small Business Subcontracting Plan. *(I.66) ...... (1) *(I.67) ...... 52.222–1 Notice to the Government of Labor Disputes. *(I.68) ...... 52.222–2 Payment for Overtime Premiums (Insert applicable information in paragraph (a)). *(I.69) ...... 52.222–28 Equal Opportunity Preaward Clearance of Subcontracts. *(I.70) ...... 52.223–2 Clean Air and Water. *(I.71) ...... 52.223–3 Hazardous Material Identification and Material Safety Data. *(I.72) ...... 52.223–7 Notice of Radioactive Materials (Insert in paragraph (a): 21). *(I.73) ...... 52.226–1 Utilization of Indian Organizations and Indian-Owned Economic Enterprises. *(I.74) ...... 52.227–10 Filing of Patent Applications-Classified Subject Matter. *(I.75) ...... 52.227–11 Patent Rights-Retention by the Contractor (Short Form). *(I.76) ...... 52.227–12 Patent Rights-Retention by the Contractor (Long Form). *(I.77) ...... 52.227–13 Patent Rights-Acquisition by the Government. (I.78) ...... (1) (I.79) ...... (1) *(I.80) ...... 52.229–8 Taxes—Foreign Cost-Reimbursement Contracts. *(I.81) ...... 52.229–10 State of New Mexico Gross Receipts and Compensating Tax (Insert applicable information in paragraph (c)). 16104 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

*(I.82) ...... 52.230–2 Cost Accounting Standards (Except if exempted). *(I.83) ...... 52.230–3 Disclosure and Consistency of Cost Accounting Practices (Except if exempted). *(I.84) ...... 52.230–6 Administration of Cost Accounting Standards (Except educational institutions). *(I.85) ...... 52.232–17 Interest. *(I.86) ...... 52.232–20 Limitation of Cost. *(I.87) ...... 52.232–22 Limitation of Funds. *(I.88) ...... 52.232–23 Assignment of Claims-Alternate I. *(I.89) ...... 52.233–1 Disputes-Alternate I. *(I.90) ...... 52.237–2 Protection of Government Buildings, Equipment and Vegetation. *(I.91) ...... 52.242–10 F.O.B. Origin-Government Bills of Lading or Prepaid Postage. *(I.92) ...... 52.242–11 F.O.B. Origin-Government Bills of Lading or Indicia Mail. *(I.93) ...... 52.242–12 Report of Shipment (REPSHIP). *(I.94) ...... 52.243–2 Changes—Cost-Reimbursement-Alternate V. *(I.95) ...... 52.243–6 Change Order Accounting. *(I.96) ...... 52.243–7 Notification of Changes (30 Calendar Days). *(I.97) ...... 52.245–5 Government Property (Cost-Reimbursement, Time-and-Material, or Labor-Hour Contracts). *(I.98) ...... 52.245–5 Government Property (Cost-Reimbursement, Time-and-Material, or Labor-Hour Contracts)-Alternate I (For educational institutions and nonprofit organizations). *(I.99) ...... 52.245–19 Government Property Furnished ‘‘As Is’’. *(I.100) ...... 52.246–23 Limitation of Liability. *(I.101) ...... 52.246–24 Limitation of Liability-High Value Items. *(I.102) ...... 52.246–24 Limitation of Liability-High Value Items-Alternate I. *(I.103) ...... 52.246–25 Limitation of Liability-Services. *(I.104) ...... 52.247–63 Preference for U.S.-Flag Air Carriers. *(I.105) ...... 52.247–66 Returnable Cylinder. *(I.106) ...... 52.249–5 Termination for Convenience of the Government (Educational and Other Nonprofit Institutions). *(I.107) ...... 52.249–6 Termination (Cost-Reimbursement). *(I.108) ...... 52.251–1 Government Supply Sources. (I.109) ...... 252.201–7000 Contracting Officer’s Representative. (I.110) ...... 252.203–7001 Special Prohibition on Employment. (I.111) ...... (1) (I.112) ...... (1) (I.113) ...... 252.204–7003 Control of Government Personnel Work Product. (I.114) ...... 252.209–7000 Acquisitions from Subcontractors Subject to On-Site Inspection under the Intermediate-Range Nuclear Forces (INF) Treaty. (I.115) ...... 252.225–7012 Preference for Certain Domestic Commodities. (I.116) ...... 252.225–7031 Secondary Arab Boycott of Israel. (I.117) ...... (1) (I.118) ...... (1) (I.119) ...... (1) (I.120) ...... 252.227–7030 Technical Data-Withholding of Payment. (I.121) ...... 252.227–7037 Validation of Restrictive Markings on Technical Data. (I.122) ...... 252.231–7000 Supplemental Cost Principles. (I.123) ...... 252.232–7006 Reduction or Suspension of Contract Payments Upon Finding of Fraud. (I.124) ...... 252.242–7000 Postaward Conference. (I.125) ...... (1) (I.126) ...... 252.247–7023 Transportation of Supplies by Sea. *(I.127) ...... (1) *(I.128) ...... 252.203–7002 Display of DoD Hotline Poster. *(I.129) ...... 252.204–7000 Disclosure of Information. *(I.130) ...... 252.204–7002 Payment for Subline Items Not Separately Priced. *(I.131) ...... 252.205–7000 Provision of Information to Cooperative Agreement Holders. *(I.132) ...... 252.215–7000 Pricing Adjustments. *(I.133) ...... 252.215–7002 Cost Estimating System Requirements. *(I.134) ...... 252.219–7001 Notice of Partial Small Business Set-Aside with Preferential Consideration for Small Disadvantaged Business Concerns. *(I.134A) ..... 252.219–7001 Notice of Partial Small Business Set-Aside with Preferential Consideration for Small Disadvantaged Business Concerns, Alternate I. *(I.135) ...... 252.219–7002 Notice of Small Disadvantaged Business Set-Aside. *(I.135A) ..... 252.219–7002 Notice of Small Disadvantaged Business Set-Aside, Alternate I. *(I.136) ...... 252.219–7003 Small Business and Small Disadvantaged Business Subcontracting Plan (DoD Contracts). *(I.137) ...... 252.219–7004 Small Business and Small Disadvantaged Business Subcontracting Plan (Test Program). *(I.138) ...... 252.219–7005 Incentive for Subcontracting with Small Businesses, Small Disadvantaged Businesses, Historically Black Colleges and Universities and Minority Institutions (. . . To be negotiated ll%). *(I.139) ...... 252.219–7005 Incentive for Subcontracting with Small Businesses, Small Disadvantaged Businesses, Historically Black Colleges and Universities and Minority Institutions—ALTERNATE I (. . . To be negotiated ll%). *(I.140) ...... 252.219–7006 Notice of Evaluation Preference for Small Disadvantaged Business Concerns. *(I.141) ...... 252.223–7001 Hazard Warning Labels. *(I.142) ...... 252.223–7002 Safety Precautions for Ammunitions and Explosives. *(I.143) ...... 252.223–7003 Change in Place of Performance—Ammunition and Explosives. *(I.144) ...... 252.223–7004 Drug-Free Work Force. *(I.145) ...... 252.225–7014 Preference for Domestic Specialty Metals. *(I.146) ...... 252.225–7016 Restriction on Acquisition of Ball and Roller Bearings. *(I.147) ...... 252.225–7025 Foreign Source Restrictions. *(I.148) ...... 252.225–7026 Reporting of Contract Performance Outside the United States. *(I.149) ...... 252.225–7032 Waiver of United Kingdom Levies. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16105

*(I.150) ...... 252.226–7000 Notice of Historically Black College or University and Minority Institution Set-Aside. *(I.151) ...... 252.227–7026 Deferred Delivery of Technical Data or Computer Software. *(I.152) ...... 252.227–7027 Deferred Ordering of Technical Data or Computer Software. *(I.153) ...... (1) *(I.154) ...... 252.227–7034 Patent—Subcontracts. (I.155) ...... 252.227–7036 Declaration of Technical Data Conformity. *(I.156) ...... 252.227–7039 Patents—Reporting of Subject Inventions. *(I.157) ...... (1) *(I.158) ...... 252.232–7000 Advanced Payment Pool (For educational institutions and nonprofit organizations). *(I.159) ...... (1) *(I.160) ...... 252.235–7002 Animal Welfare. *(I.161) ...... 252.242–7002 Submission of Commercial Freight Bills for Audit. *(I.162) ...... 252.242–7003 Application for U.S. Government Shipping. Documentation/Instructions. *(I.163) ...... 252.242–7004 Material Management and Accounting System. *(I.164) ...... 252.245–7001 Reports of Government Property. *(I.165) ...... 252.247–7024 Notification of Transportation of Supplies by Sea. *(I.166) ...... Reserved *(I.167) ...... 252.251–7000 Ordering From Government Supply Sources. *(I.168) ...... 252.223–7006 Prohibition on Disposal of Toxic and Hazardous Materials. *(I.169) ...... 252.249–7002 Notification of Anticipated Contract Termination or Reduction. (I.170) ...... 52.204–4 Printing/Copying Double-Sided on Recycled Paper. *(I.171) ...... 52.208–8 Helium Requirement Forecast and Required Sources for Helium. (I.172) ...... 52.215–2 Audit and Records—Negotiation. *(I.173) ...... 52.215–2 Audit and Records—Negotiation, Alternate II. (I.174) ...... 52.215–40 Notification of Ownership Changes. *(I.175) ...... 52.215–42 Requirements for Cost or Pricing Data or Information. Other Than Cost or Pricing Data—Modifications. *(I.176) ...... 52.215–42 Requirements for Cost or Pricing Data or Information. Other Than Cost or Pricing Data—Modifications, Alternate II. *(I.177) ...... 52.215–42 Requirements for Cost or Pricing Data or Information. Other Than Cost or Pricing Data—Modifications, Alternate III. (I.178) ...... 52.219–8 Utilization of Small, Small Disadvantaged and Women-Owned Small Business Concerns. *(I.179) ...... 52.219–9 Small, Small Disadvantaged and Women-Owned Small Business Subcontracting Plan, Alternate II. *(I.179A) ..... 52.219–9 Small, Small Disadvantaged and Women-Owned Small Business Subcontracting Plan—Alternate II. *(I.180) ...... 52.242–3 Penalties for Unallowable Costs. (I.181) ...... 52.242–4 Certification of Indirect Costs. (I.182) ...... 52.244–6 Subcontracts for Commercial Items and Commercial Components. *(I.183) ...... 52.247–67 Submission of Commercial Transportation Bills to the General Services Administration for Audit. (I.184) ...... 52.223–14 Toxic Chemical Release Reporting. (I.185) ...... 252.235–7010 Acknowledgement of Support and Disclaimer. (I.186) ...... 252.235–7011 Final Scientific or Technical Report. *(I.187) ...... 252.227–7013 Rights in Technical Data—Noncommercial Items. *(I.188) ...... 252.227–7013 Rights in Technical Data—Noncommercial Items, Alternate I. *(I.189) ...... 252.227–7014 Rights in Noncommercial Computer Software and Noncommercial Computer Software Documentation. *(I.190) ...... 252.227–7014 Rights in Noncommercial Computer Software and Noncommercial Computer Software Documentation— Alternate I. *(I.191) ...... 252.227–7015 Technical Data—Commercial Items. (I.192) ...... 252.227–7016 Rights in Bid or Proposal Information. *(I.193) ...... 252.227–7018 Rights in Noncommercial Technical Data and Computer Software—Small Business Innovation Research Program. *(I.194) ...... 252.227–7018 Rights in Noncommercial Technical Data and Computer Software—Small Business Innovation Research Program, Alternate I. *(I.195) ...... 252.227–7019 Validation of Asserted Restrictions—Computer Software. *(I.196) ...... 252.227–7025 Limitations on the Use or Disclosure of Government-Furnished Information Marked With Restrictive Legends. *(I.197) ...... 252.209–7005 Military Recruiting on Campus (For educational institutions only). (I.198) ...... 52.203–6 Restrictions on Subcontractor Sales to the Government. (I.199) ...... 52.203–8 Cancellation, Recission, and Recovery of Funds for Illegal or Improper Activity. (I.200) ...... 52.203–12 Limitation on Payments to Influence Certain Federal Transactions. *(I.201) ...... 52.211–15 Defense Priority and Allocation Requirements. *(I.202) ...... 52.215–42 Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data—Modifications, Alternative IV. *(I.203) ...... 52.230–5 Cost Accounting Standards—Educational Institution. *(I.204) ...... 52.232–18 Availability of Funds. (I.205) ...... 52.232–33 Mandatory Information for Electronic Funds Transfer Payment. *(I.206) ...... 52.245–18 Special Test Equipment. *(I.207) ...... 52.252–6 Authorized Deviations in Clauses. *(I.208) ...... 252.209–7004 Reporting of Commercial Transactions with the Government of a Terrorist Country. *(I.209) ...... 252.223–7007 Safeguarding Sensitive Conventional Arms, Ammunition and Explosives. *(I.210) ...... 52.223–11 Ozone-Depleting Substances. 1 Reserved. 16106 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Part III—List of Documents, Exhibits, and (4) Base support or government property submission of other information by offerors. Other Attachments information. They are mandatory, and are included by Section J, List of Attachments *(J.1) List of Attachments: reference. Full text copies of these provisions *(J.2) List of Exhibits: Use attachments and exhibits to inform the are available from the Contracting Officer and contractor of local information such as: Part IV—Representations and Instructions must be completed before contract award. (1) Procedures for laboratory access; Section K, Representations, Certifications (2) Laboratory hours of operation; and Other Statements of Offerors or Quoters (3) Special procedures related to unique laboratory working environments which are The following solicitation provisions not covered by FAR or DFARS; and require representations, certifications, or the

(K.1) ...... (1) (K.2) ...... (1) (K.3) ...... 52.203–11 Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions. (K.4) ...... 52.204–3 Taxpayer Identification. (K.5) ...... 52.209–5 Certification Regarding Debarment, Suspension, Proposed Debarment, and Other Responsibility Matters. (K.6) ...... 52.215–6 Type of Business Organization. (K.7) ...... 52.215–11 Authorized Negotiators. (K.8) ...... 52.215–20 Place of Performance. (K.9) ...... (1) (K.10) ...... (1) (K.11) ...... (1) (K.12) ...... (1) (K.13) ...... 52.222–21 Certification of Nonsegregated Facilities. (K.14) ...... 52.222–22 Previous Contracts and Compliance Reports. (K.15) ...... 52.222–25 Affirmative Action Compliance. (K.16) ...... 52.223–1 Clean Air and Water Certification. (K.17) ...... (1) (K.18) ...... 52.227–6 Royalty Information. (K.19) ...... 52.230–1 Cost Accounting Standards Notices and Certification. (K.20) ...... (1) (K.21) ...... 252.209–7002 Disclosure of Ownership or Control by a Foreign Government. (K.22) ...... 252.219–7000 Small Disadvantaged Business Concern Representation (DoD Contracts). (K.23) ...... (1) (K.24) ...... (1) (K.25) ...... 252.226–7001 Historically Black College or University and Minority Institution Status. (K.26) ...... (1) (K.27) ...... 252.247–7022 Representation of Extent of Transportation by Sea. (K.28) ...... 52.204–5 Women-Owned Business. (K.29) ...... (1) (K.30) ...... 52.219–1 Small Business Program Representation. (K.31) ...... 52.223–13 Certification of Toxic Chemical Release Reporting. (K.32) ...... 252.209–7001 Disclosure of Ownership or Control by the Government of a Terrorist Country. (K.33) ...... 252.209–7003 Disclosure of Commercial Transactions with the Government of a Terrorist Country. (K.34) ...... 252.209–7004 Reporting of Commercial Transactions with the Government of a Terrorist Country. (K.35) ...... (1) (K.36) ...... (1) (K.37) ...... 52.226–2 Historically Black College or University and Minority Institution Representation. Section L. Instructions, Conditions, and Notices to Offerors or Quoters (L.1) ...... 52.252–1 Solicitation Provisions Incorporated by Reference. (L.2) ...... (1) (L.3) ...... 52.211–2 Availability of Specifications and Standards Listed in the DoD Index of Specifications and Standards (DODISS). (L.4) ...... 52.215–5 Solicitation Definitions. (L.5) ...... 52.215–7 Unnecessarily Elaborate Proposals or Quotations. (L.6) ...... 52.215–8 Amendments to Solicitations. (L.7) ...... 52.215–9 Submission of Offers. (L.8) ...... 52.215–10 Late Submissions, Modifications, and Withdrawals of Proposals. (L.9) ...... 52.215–12 Restriction on Disclosure and Use of Data. (L.10) ...... 52.215–13 Preparation of Offers. (L.11) ...... 52.215–14 Explanation to Prospective Offerors. (L.12) ...... 52.215–15 Failure to Submit Offer. (L.13) ...... 52.215–16 Contract Award. *(L.14) ...... (1) (L.15) ...... 52.216–1 Type of Contract (See 235.7006(d)(B.1)). (L.16) ...... 52.222–24 Preaward On-Site Equal Opportunity Compliance Review. (L.17) ...... (1) (L.18) ...... 52.233–2 Service of Protest (See 235.7006(d)(A.1)(xvii)). *(L.19) ...... 52.237–1 Site Visit. (L.20) ...... 52.252–5 Authorized Deviations in Provisions. (L.21) ...... 252.204–7001 Commercial and Government Entity (CAGE) Code Reporting. (L.22) ...... (1) (L.23) ...... 52.215–16 Contract Award—Alternate II. *(L.24) ...... 52.215–41 Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data. *(L.25) ...... 52.215–41 Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data, Alternate I. *(L.26) ...... 52.215–41 Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data, Alternate II. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16107

*(L.27) ...... 52.215–41 Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data, Alternate III. *(L.28) ...... 52.215–41 Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data, Alternate IV. (L.29) ...... 252.227–7017 Identification and Assertion of Use, Release, or Disclosure Restrictions. (L.30) ...... 252.227–7028 Technical Data or Computer Software Previously Delivered to the Government. *(L.31) ...... 52.215–30 Facilities Capital Cost of Money (Except educational institutions). (L.32) ...... 52.204–6 Contractor Identification Number—Data Universal Numbering System (DUNS) Number. *(L.33) ...... 52.211–14 Notice of Priority Rating for National Defense Use.

(L.34 through L.99) Reserved. (5) No models, mockups, or video tapes (4) Facilities. The degree to which the *(L.100) (Insert special instructions, will be accepted. proposed facilities enable accomplishment of conditions, or notices to offerors, if (6) Technical proposals will be prepared in the proposed effort. applicable). the same sequence as the statement of work. (B) Cost. (L.101) Government-Furnished Property. (ii) Content. (1) Reasonableness. Proposed estimated No material, labor, or facilities will be All proposals must be complete and cost and fee (if any). furnished by the Government unless respond directly to the requirements of the (2) Completeness. The adequacy of the provided for in the solicitation. solicitation. The factors and subfactors listed identification, estimation and support of all (L.102) Proposal Preparation and in Section M of the solicitation shall be relevant costs. Submission Instructions. addressed. Cost and supporting data shall be (3) Realism. The consistency of the cost (i) Page limitation, format. included only in the cost volume. All other proposal with the technical effort proposed, (A) A proposal shall be prepared in information shall be included in the the organizational structure, method of separate volumes with the page limit and technical volume. operations and cost accounting practices. number of copies specified as follows. The (L.103) The Government may make *(M.3) 52.215–34 Evaluation of Offers for table of contents and tabs are exempt from multiple awards resulting from this Multiple Awards. the page limits. No cross-referencing between solicitation. volumes for essential information is [FR Doc. 97–8642 Filed 4–3–97; 8:45 am] permitted except where specifically set forth Section M, Evaluation Factors for Award BILLING CODE 5000±04±M herein. The following volumes of material Use of the standard evaluation factors is will be submitted: preferred. If the standard evaluation factors are modified in any way, the modifications Maximum must be clearly expressed so that the result DEPARTMENT OF TRANSPORTATION Title Copies page lim- is unambiguous. Additions to and deletions its from the contents of this Section M must be Research and Special Programs Administration Cost ...... As specified in so- * 50 clearly annotated in the solicitation summary (see 235.7006(d)(A.1)(vii)). licitation sum- 49 CFR Part 171 mary. *(M.1) FAR 52.217–5 Evaluation of Options (Applicable if the solicitation Technical ... As specified in so- 100 [Docket No. RSPA±97±2133 (HM±225)] licitation sum- indicates that options are anticipated in the mary. resulting contract. When this provision is included, evaluation criteria for options shall RIN 2137±AC97 * The 50-page cost proposal is a goal not a be included in Section M.) limit. The Contractor may use additional pages *(M.2) Proposal Evaluation Procedures and Hazardous Materials: Cargo Tank if necessary to comply with public law. Basis for Award. Proposals will be evaluated Motor Vehicles in Liquefied Compressed Gas Service; Clarification (B) Any technical proposal pages and award made as follows: submitted that exceed the page limitations (i) Basis for award. The award decision will be based on AGENCY: Research and Special Programs set forth in paragraph (i)(A) of this subsection Administration (RSPA), DOT. L.102 will not be read or evaluated. Proposal evaluation of all factors and subfactors set pages failing to meet the format in paragraph forth in this solicitation. The Government ACTION: Clarification and change of a (i)(D) of this subsection L.102 will not be may select the source whose proposal offers workshop date. read or evaluated. the greatest value to the Government in terms (C) No program cost data or cross-reference of technical, cost or price, and other factors SUMMARY: This action clarifies the size to the cost proposal will be included in any set forth in the solicitation. The source and location of a marking provision other volume. selected may or may not have the lowest required by an interim final rule (D) Format of the proposal volumes shall proposed total costs. published in the Federal Register on (ii) Evaluation factors. be as follows: February 19, 1997. This clarification is 1 Proposals will be evaluated in accordance (1) Proposals will be prepared on 8 ⁄2 x 11 in response to inquiries received by inch paper except for foldouts used for with the following factors. The technical charts, tables, or diagrams, which may not factor is more important than the cost factor. RSPA. Additionally, in response to a exceed 11 x 17 inches. Foldouts will not be The technical subfactors are in descending request from the National Propane Gas used for text. Pages will have a one inch order of importance unless otherwise stated Association RSPA announces a change margin. in the solicitation. The cost subfactors are of of date for a public workshop originally (2) A page is defined as one face of a sheet equal weight. scheduled for April 8–9, 1997. of paper containing information. Two pages (A) Technical. DATES: The workshop is rescheduled to may be printed on one sheet. (1) Technical approach. The soundness of (3) Type size will be no smaller than 10 the offeror’s technical approach, including April 16–17, 1997, from 9:00 a.m. to point character height (vertical size) and no the offeror’s demonstrated understanding of 5:00 p.m. in Washington, DC. If all more than an average of 12 characters per the technical requirement. presentations and reviews are inch. Use of type-setting techniques to reduce (2) Qualification. The experience and completed on April 16, the workshop type size below 10 points or to increase qualifications of the proposed personnel will be adjourned without reconvening characters beyond 12 per inch is not relevant to the proposed task. The quantity on April 17, 1997. permitted. Such techniques are construed as and quality of the offeror’s corporate FOR FURTHER INFORMATION CONTACT: a deliberate attempt to circumvent the intent experience relevant to the proposed task. of page limitations set forth in paragraph (3) Management. The degree to which the Jennifer Karim, Office of Hazardous (i)(A) of this subsection L.102. offeror demonstrates the ability to effectively Materials Standards (DHM–10), (4) Proposal must lie flat when open; and efficiently manage and administer the Research and Special Programs elaborate binding is not desirable. program to a successful conclusion. Administration, Room 8102, 400 16108 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Seventh Street, SW, Washington, DC ACTION: Emergency interim rule. provide methods to address such 20590–0001, Telephone (202) 366–8553. adverse impact if still necessary. ADDRESSES: The public workshop will SUMMARY: This emergency interim rule In the case of the northern right be held in Room 8236–40, U.S. implements restrictions on use of whale, NMFS has determined, through Department of Transportation, 400 lobster pot gear in the Cape Cod Bay consultation under the Endangered Seventh Street, SW, Washington, DC. right whale critical habitat from April 1, Species Act (ESA), that the continued 1997, through May 15, 1997. It also existence of the species may be SUPPLEMENTARY INFORMATION: RSPA prohibits lobster pot fishing in the Great jeopardized by the use of lobster pot received general requests for South Channel right whale critical gear during the annual high use periods clarification concerning the size and habitat area from April 1, 1997, through in both the Federal portion of the Cape placement of the marking required by June 30, 1997, until gear modifications Cod Bay critical habitat (January 1, § 171.5(b) of the Hazardous Materials or alternative fishing practices that 1997, through May 15) and in the Great Regulations (49 CFR parts 171–180). minimize the risk of entanglement or South Channel critical habitat area This temporary marking requirement reduce the likelihood that entanglement (April 1 through June 30). The was adopted in an interim final rule will result in serious injury or mortality consultation concluded that the risk of (IFR) published in the Federal Register are developed and approved. jeopardy could be avoided by closing on February 19, 1997 [62 FR 7638]. The EFFECTIVE DATE: This rule is effective the Great South Channel critical habitat marking dimensions specified in the IFR area during the period of peak whale are the minimum acceptable size from April 1, 1997, through June 30, 1997. abundance until gear modifications or markings. It is permissible to make the alternative fishing practices have been marking proportionally larger. Also, in ADDRESSES: Copies of the developed which minimize the threat of the IFR, RSPA did not indicate the exact Environmental Assessment analyzing entanglement or the possibility of location for placing this marking on the this action may be obtained from the serious injury or mortality due to cargo tank. On February 21, 1997, RSPA Chief, Marine Mammal Division, Office entanglement. The biological opinion responded to a request for clarification of Protected Resources (FPR), NMFS, also recommended that NMFS work from the National Tank Truck Carriers, 1315 East West Highway, Silver Spring, with the Commonwealth of Inc. by stating that the marking should MD 20910. Massachusetts to restrict or modify the be placed at or near a tank’s FOR FURTHER INFORMATION CONTACT: lobster fishery in the Cape Cod Bay specification plate. Michael Payne, NMFS/Marine Mammal critical habitat. The conclusion of the In the IFR, RSPA announced that two Division/Office of Protected Resources, biological opinion was based on the public workshops would be held in 301–713–2322; or Kimberly following factors: (1) In 20 of the past 27 Washington, DC. The first workshop Thounhurst, NMFS/Northeast Regional years, the right whale population has was held on March 4–5, 1997. It served Office/Protected Species Program, 508– incurred human-induced serious injury as a forum for exchange of information 281–9138. or mortality at a rate that continues to and ideas concerning emergency limit the species’ ability to recover to its discharge control systems on cargo SUPPLEMENTARY INFORMATION: optimum sustainable population level, tanks. The second workshop, now Need for Emergency Action (2) the population remains at a critically scheduled for April 16–17, 1997, will low level and experienced an unusually focus on review of prototype designs for With a minimum population estimate high number of known mortalities in proposed product discharge control of 295 animals, the northern right whale 1996, and (3) right whales have incurred systems, and a review of research and is the most severely depleted large serious injury and mortality incidental development actions initiated by whale species in the Atlantic Ocean. to the lobster pot fishery. industry to meet the requirements Approximately 37 entanglements of Areas designated under the ESA as specified in the HMR. right whales in fishing gear, including critical habitat areas for the northern Issued in Washington, DC, on March 31, fixed and drift gillnets, lobster pot gear, right whale were chosen to encompass 1997. fish traps, weirs, and unidentified gear areas of concentration for the species Alan I. Roberts, have been reported. Nine of the above (See 50 CFR 226.13). Although entanglements, eight of which resulted Associate Administrator for Hazardous individual right whales may transit Materials Safety. in serious injury or mortality, were much of the eastern coast of North attributed to gear identified as lobster [FR Doc. 97–8612 Filed 4–3–97; 8:45 am] America, large numbers of whales are gear. The working definition of serious likely to remain in the critical habitat BILLING CODE 4910±60±P injury used by the Northeast Region is areas throughout the peak months. Peak provided in the 1997 List of Fisheries months include January or February (62 FR 33, January 2, 1997). Pursuant to through May in Cape Cod Bay and April DEPARTMENT OF COMMERCE Section 118(g)(1)(B) of the Marine through June in the Great South National Oceanic and Atmospheric Mammal Protection Act (MMPA), if the Channel. Identifying high risk times and Administration Secretary of Commerce (Secretary) finds areas for right whales is somewhat that the incidental mortality and serious problematic because, although the 50 CFR Part 229 injury of a marine mammal stock is location for most recorded entanglement having, or is likely to have, an events is unknown, entanglements are [Docket No. 960730211±7066±03; I.D. No. immediate and significant adverse known to have occurred either at the 031797D] impact on that stock or species, and in very end of the peak spring period or at North Atlantic Right Whale Protection; the case where a take reduction plan other times of the year. An analysis of Emergency Regulations (TRP) is being developed, the Secretary fishing effort data indicates that the shall prescribe emergency regulations to critical habitat areas do not have AGENCY: National Marine Fisheries reduce such incidental mortality and significant fishing effort in the peak Service (NMFS), National Oceanic and serious injury in that fishery and whale abundance months. Despite low Atmospheric Administration (NOAA), approve and implement, on an fishing effort levels, NMFS assigns high Commerce. expedited basis, such plan, which shall risk to critical habitat areas during peak Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16109 whale abundance months. Even a small portions of right whale critical habitat in water depth. The tautness of the line is amount of fishing effort represents an Cape Cod Bay and the Great South likely influenced by the tidal cycle and entanglement risk when numbers of Channel. Gear restrictions are required other currents. Therefore, the line may whales in the area are high. Protection only in areas where serious be slack during part of the current for right whales in critical habitat areas entanglements are less likely to occur, cycles in certain areas. It is believed that during non-peak months is expected to and where it is more probable that, if an slack floating line represents a greater be addressed in the proposed rule for entanglement does occur, it will be risk of entanglement than taut line, the Atlantic TRP, which is currently observed. Restrictions on the use of all particularly if the line is laying on the being developed. lobster pot gear are being required surface. Right whales may be Pursuant to the 1994 amendments to where serious entanglements are more particularly susceptible to entanglement the MMPA, NMFS established an likely to occur and where entanglements in lines laying at the surface because of Atlantic large whale take reduction team are less likely to be observed. For the feeding behavior known as ‘‘skim (TRT) to recommend measures to reduce example, the Cape Cod Bay area is feeding’’ during which whales move the number of serious injuries and closer to shore than the Great South slowly forward through a patch of mortalities of right, humpback, finback, Channel, so entanglements are more zooplankton, keeping the mouth slightly and minke whales in four East Coast likely to be observed and reported in ajar for hours at a time. Right whales are fisheries. Although the TRT did not Cape Cod Bay, and it is more likely that also known to feed at depth; however, reach consensus on all issues it did a successful disentanglement could be the behavior when feeding near the submit a report to NMFS on February 4, conducted in the Bay than in the bottom or in the water column is poorly 1997, that discusses measures to restrict Channel. Therefore, certain gear understood. A requirement that buoy the lobster fishery in critical habitat. modifications are exempted in the line include only sinking line would Many of the measures were based on the Federal portion of the Cape Cod Bay decrease the potential for line to be NMFS biological opinion and on the critical habitat, but no modifications are slack at the surface or in the water Commonwealth of Massachusetts right approved for use in the Great South column and thereby reduce the risk of whale conservation plan submitted to Channel at this time. The gear entanglement represented by buoy lines. the Federal district court for the District modifications exempted by this action The lobster industry uses either of Massachusetts on December 16, 1996, for Cape Cod Bay are expected to sinking or floating groundline, pursuant to a court order in the case of substantially reduce the risk of depending on substrate and/or gear Strahan v. Coxe. NMFS plans to publish entanglement, but NMFS recognized densities. Floating line is preferred in the proposed rule for the TRP by April that the risk is not totally eliminated many areas to avoid snagging on rocky 1, 1997, and the final plan and and that a serious injury or mortality in bottom or on other pots as well as to implementing regulations by July 15, the exempted gear could occur. reduce chafing caused by contact with 1997. Therefore, this emergency action also pots and with the bottom. The degree to Although these dates represent an includes a contingency measure, as which line floats between pots is expedited schedule, the TRP will not be described below, to close the Federal unknown. Fishers maintain that the implemented in time to provide portion of the Cape Cod Bay critical groundline is probably taut as the pot protection for right whales in the critical habitat area in the event of a trawls are set. The tautness of the line habitat area during high use periods in documented failure of the modified is likely influenced by the tidal cycle 1997. Due to the conclusion in the lobster pot gear. and other currents, the length of the biological opinion issued under the ESA Behavior of right whales and trawl, and the speed with which the and the factors upon which that information from actual entanglement trawl is set. If trawls are shifted by conclusion was based, NMFS has records suggest that both vertical buoy currents, groundlines may have a higher determined that the American lobster lines and groundlines (line connecting profile after the gear has been soaking pot fishery has the potential to continue pots in a lobster pot trawl) used in through several tidal/current cycles. In to take northern right whales and is lobster pot gear represent entanglement addition, right whales are known to feed therefore likely to have an immediate risks and that either part of the gear close enough to the bottom in certain and significant adverse impact on the might be the part initially encountered areas that mud is still present on the northern right whale population. Since by the whale. Modifications to the heads after surfacing. Therefore, even a the potential immediate and significant current practices of rigging buoy lines modest curve to the groundline could adverse impact cannot be addressed by are needed to reduce the number of still represent an entanglement threat, the TRP until July 1997, NMFS is vertical lines. particularly since the length of implementing fishing restrictions in Buoy lines are typically constructed groundline between pots may be as long critical habitat areas on an emergency of a section of sinking line near the as the depth of the water column. The basis. The measures contained in the surface, spliced or knotted to a longer requirement of sinking groundline emergency regulations are also being section of floating line from there down would reduce the potential for a high considered within the framework of the to the anchor. Sinking line near the profile of the groundline and, therefore, proposed rule for the entire Atlantic surface is preferred to decrease the reduce the entanglement threat large whale TRP, which is currently chance that the line will be severed by represented by that part of the pot trawl. being developed. propellers of vessels passing through an Cape Cod Bay: The Commonwealth of area. Floating line is less expensive than Massachusetts established an Rationale for Gear Restrictions and sinking line and has several additional Endangered Whale Working Group Closures benefits. For example, using floating (EWWG) and developed measures to The emergency measures are a set of line near the bottom can prevent the protect right whales in the portion of initial measures addressing the line from wrapping around the first pot Cape Cod Bay critical habitat area immediate need to begin the process of and causing chafing problems with the located in Commonwealth waters. The reducing entanglement risk to northern pot and the bottom. The length of buoy EWWG recommended several gear right whales incidental to the lobster pot line used can depend on water depth modifications to reduce the threat of fishery. These measures include both and tidal influence. In some areas the right whale entanglement in lobster pot gear restrictions and closures in buoy line may be longer than twice the gear in the Cape Cod Bay critical 16110 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations habitat, and these measures were also would allow the Assistant similar to that for Cape Cod Bay that discussed by the TRT. Oceanographic Administrator of Fisheries, NOAA (AA) would allow the AA to again close the conditions were also taken into account. to close, through notification in the area through notification in the Federal The measures recommended by the Federal Register, the Cape Cod Bay Register if a right whale sustains serious EWWG for critical habitat during the critical habitat area, including both the injury or mortality that is conclusively January 1 through May 15 period Federal and Commonwealth portions, attributed to lobster pot gear exempted included prohibitions on floating buoy from January 1 through May 15 if a right by NMFS. line and floating groundline, prohibition whale sustains serious injury or Classification on use of single pots (i.e., a mandated mortality that is conclusively attributed use of multiple-pot trawls) to reduce the to lobster pot gear that is exempted by In accordance with Section 118(g) of number of vertical lines, and an NMFS or allowed by the the MMPA, NMFS has determined that eventual requirement of a breakaway Commonwealth. The AA may reopen this rule is necessary to respond to the buoy or weak buoy line, when the area through notification in the potential for immediate and significant developed. NMFS has reviewed these Federal Register once alternative gear adverse impact to the northern right measures and has determined that, in modifications or fishing practices are whale population incidental to the general, they represent a reasonable approved. prosecution of the American lobster pot approach to reduce the risk that right Great South Channel: The Great fishery. whales will be seriously injured or South Channel critical habitat area, The AA also finds for good cause that sustain mortality as a result of which is located entirely in federal the reasons justifying implementation of entanglements in lobster gear. waters, is further from shore than the this rule on an emergency basis make it Consequently, NMFS is not duplicating Cape Cod Bay area. Therefore, impracticable and contrary to the public those measures applicable to State entanglements are less likely to be interest to provide additional notice and waters in this emergency rule. However, observed, and successful opportunity for public comment. there is a small portion of the Cape Cod disentanglement is less likely due to Similarly, the AA is waiving the 30- Bay critical habitat area that is outside logistical constraints. In addition, day delay in the effective date otherwise of Commonwealth waters. NMFS’ differences in oceanographic conditions required under 5 U.S.C. 553(d). in the two regions may make a emergency measures for the federal Because notice and opportunity for particular gear modification less water portion of Cape Cod Bay critical comment is not required by 5 U.S.C. 553 effective in one area relative to the habitat are largely based on the or by any other law, under 5 U.S.C. 603 other. NMFS is currently working with measures developed by Massachusetts. and 604, preparation of a regulatory the Commonwealth of Massachusetts to This rule requires the removal of all flexibility analysis is not required. lobster pots from the waters of the Cape establish a gear modification advisory Cod Bay critical habitat area through and technical review group. This group List of Subjects in 50 CFR Part 229 will be asked to consider oceanographic May 15, 1997, unless the gear is exempt. Administrative practice and conditions in the Great South Channel Exempt gear consists of trawls of two or procedure, Confidential business in recommending gear modifications more pots; trawls of less than four pots information, Fisheries, Marine that might be effective and practicable may use only one vertical line and mammals, Reporting and recordkeeping in that area. Because the gear measures trawls of four or more pots may use no requirements. required by this rule for Cape Cod Bay more than two vertical lines. All buoy have not been reviewed in the context Dated: April 1, 1997. lines and groundlines must be sinking of oceanographic conditions in the Great Charles Karnella, lines. NMFS believes these measures South Channel, NMFS believes that will reduce the risk of entanglement Acting Assistant Administrator for Fisheries, similar measures may not provide National Marine Fisheries Service. and/or serious injury or mortality due to sufficient protection for right whales in entanglement in buoy lines and For the reasons set out in the that area. Consequently, NMFS is groundlines in this area. preamble, 50 CFR part 229 is amended imposing a closure of the Great South to read as follows: The TRT recommended the use of Channel critical habitat area from April breakaway buoys or weak buoy lines to 1, 1997 through June 30, 1997. However, PART 229ÐAUTHORIZATION FOR reduce the potential for a whale to this action includes a provision for COMMERCIAL FISHERIES UNDER THE become wrapped in the buoy line and exemptions to this closure once gear MARINE MAMMAL PROTECTION ACT sustain serious injury or mortality from modifications or alternative fishing OF 1972 either the buoy line itself or from practices are developed and approved dragging the whole lobster pot trawl. It by the AA. Once a determination has 1. The authority citation for 50 CFR is believed that these measures would been made that the gear modifications part 229 continues to read as follows: be more effective at reducing the risk or alternative fishing practices provide Authority: 16 U.S.C. 1361 et seq. associated with buoy lines than the adequate protection for right whales measures imposed by this emergency from the risk of entanglement and/or 2. Effective from April 1, 1997, action. However, since breakaway buoys serious injury or mortality due to through June 30, 1997, in § 229.2, the and weak buoy lines have not yet been entanglement, these gear modifications definitions for ‘‘American lobster or developed, these measures cannot be or alternative fishing practices will be lobster’’, ‘‘Groundline’’, ‘‘Lobster pot required at this time. Therefore, despite approved through a notification action trawl’’, ‘‘Pot’’, and ‘‘Sinking line’’ are the implementation of the measures in the Federal Register. added in alphabetical order to read as required by this emergency action in In consideration of the possibility that follows: Federal waters and by the gear modifications may be approved by § 229.2 Definitions. Commonwealth of Massachusetts in its this season and gear with such waters, some risk of serious injury or modifications exempted from the * * * * * mortality due to entanglement in buoy closure at some point during the April American lobster or lobster means the lines remains. Thus, a provision is through June period, this emergency species Homarus americanus. included in this emergency action that action also contains a contingency * * * * * Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16111

Groundline means the line connecting straight lines connecting the following (ii) If a serious injury or mortality of pots on a pot trawl. points in the order stated: any endangered whale occurs in any * * * * * area and at any time and is conclusively Lobster pot trawl means two or more CAPE COD BAY CRITICAL HABITAT attributed to gear exempt under lobster pots, all attached to a RESTRICTED LOBSTER GEAR AREA paragraph (a)(3)(i) or allowed by the groundline. Commonwealth of Massachusetts in * * * * * Point N. Latitude W. Lon- Commonwealth waters, NMFS will Pot means any trap, structure, or other gitude reassess its exemption of the gear and may close the Cape Cod Bay critical device that is placed on the ocean CCB1 ...... 42°12′N 70°30′W, bottom and is designed to catch or is CCB2 ...... 42°12′N 70°15′W, habitat area to all lobster pot fishing capable of catching lobsters. CCB3 ...... 42°08′N 70°12.4′W, through notification in the Federal * * * * * then westerly along Register until such time as the Assistant Sinking line means line that will sink the 3 nm state Administrator revises the requirements and will not float at any point in the boundary to and conditions specified in paragraph ° ′ ° ′ water column. CCB4 ...... 42 08 N 70 30 W, (a)(3)(i) of this section or imposes then due north to additional requirements and conditions, * * * * * CCB1. 3. Effective from April 1, 1997, or exempts specified alternative fishing through June 30, 1997, in § 229.3, practices in accordance with paragraph (3) Cape Cod Bay Critical Habitat (a)(3)(ii) of this section. paragraphs (g) and (h) are added to read Area Lobster Pot Gear Exemption as follows: (b) Great South Channel Critical Requirements. (i) Lobster pot gear that Habitat Area Lobster Pot Gear § 229.3 Prohibitions. meets the following requirements and Restrictions—(1) General. From April 1, * * * * * conditions is exempted from the 1997 through June 30, 1997, all persons (g) It is prohibited to fail to remove all restrictions specified in paragraph (a) of must remove all of their lobster pot gear lobster pot gear from the water, or to this section: from the water, and may not use, set, use, set, haul back, or fish with, lobster (A) The gear is a lobster pot trawl. haul back, or fish with, lobster pot gear pot gear in the Cape Cod Bay Critical (B) No more than one vertical line is in the area specified in paragraph (b)(2) Habitat Restricted Lobster Gear Area as used if the lobster pot trawl consists of of this section, unless the Assistant specified in § 229.30(a), unless such fewer than four lobster pots. Administrator exempts such gear under gear meets the requirements and (C) No more than two vertical lines paragraph (b)(3) of this section. conditions specified in § 229.30(a)(3). are used if the lobster pot trawl consists (2) Great South Channel Critical (h) It is prohibited to fail to remove all of four or more lobster pots. Habitat Area Restricted Lobster Pot Gear lobster pot gear from the water, or to (D) All groundlines and buoy lines Area. The restrictions on use of lobster use, set, haul back, or fish with, lobster consist of sinking line. Polypropylene pot gear specified in paragraph (b)(1) of pot gear in the Great South Channel line is not sinking line unless it contains this section apply to the Great South Critical Habitat Restricted Lobster Pot a lead core. Channel Critical Habitat (copies of a Gear Area as specified in § 229.30(b), (ii) The Assistant Administrator may chart depicting this area are available unless otherwise allowed under revise the requirements and conditions from the Assistant Administrator upon § 229.30(b)(3). specified in paragraph (a)(3)(i) of this request), which is the area bounded by 4. Effective from April 1, 1997, section or impose additional straight lines connecting the following through June 30, 1997, a new § 229.30 requirements and conditions and/or points in the order stated: is added to Subpart C to read as follows: exempt specified alternative fishing practices by publishing the GREAT SOUTH CHANNEL CRITICAL Subpart CÐTake Reduction Plan requirements, conditions, or alternatives HABITAT CLOSURE AREA Regulations and Emergency in the Federal Register. Regulations (4) Additional measures for the Point N. Latitude W. Longitude § 229.30 Lobster pot restrictions to protection of right whales. (i) If a serious GSC1 ...... 41°00′ N 69°05′ W, prevent right whale takes. injury or mortality of a northern right GSC2 ...... 41°40′ N 69°45′ W, (a) Cape Cod Bay Critical Habitat whale occurs in the Cape Cod Bay GSC3 ...... 42°10′ N 68°31′ W, Area Lobster Pot Gear Restrictions—(1) critical habitat area specified under 50 and General. From April 1, 1997, through CFR 229.13(b) during the time specified GSC4 ...... 41°38′ N 68°13′ W. May 15, 1997, all persons must remove in paragraph (a)(1) of this section, and all of their lobster pot gear from the is conclusively attributed to lobster pot (3) Exemptions for Lobster pot gear or water, and may not use, set, haul back, gear exempt under paragraph (a)(3)(i) of alternative fishing practices authorized or fish with, lobster pot gear, with the this section or allowed by the by the Assistant Administrator. The exception of gear that is exempt under Commonwealth of Massachusetts in Assistant Administrator may exempt paragraph (a)(3) of this section, in the Commonwealth waters, the area shall be lobster pot gear or specified fishing area specified in paragraph (a)(2) of this closed for the period specified in practices from the restrictions and section. paragraph (a)(1) of this section through requirements specified in paragraph (2) Cape Cod Bay Critical Habitat notification in the Federal Register until (b)(1) of this section by publishing the Restricted Lobster Pot Gear Area. (i) The such time as the Assistant requirements and conditions such gear restrictions and requirements specified Administrator revises the requirements must meet or the alternative fishing in paragraph (a)(1) of this section apply and conditions specified in paragraph practices in the Federal Register. to the Cape Cod Bay Critical Habitat (a)(3)(i) of this section or imposes (4) Additional measures for the Restricted Lobster Gear Area (Copies of additional requirements and conditions, protection of right whales. (i) If a serious a chart depicting this area are available or exempts specified alternative fishing injury or mortality of a northern right from the Regional Administrator upon practices in accordance with paragraph whale occurs in the area and during the request), which is the area bounded by (a)(3)(ii) of this section. time specified in paragraphs (b)(1) and 16112 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(b)(2) of this section, and is conclusively according to the Fishery Management Atmospheric Administration (NOAA), attributed to lobster pot gear that has Plan for the Groundfish Fishery of the Commerce. been exempted under paragraph (b)(3) Bering Sea and Aleutian Islands Area ACTION: Prohibition of retention. of this section, the area in paragraph (FMP) prepared by the North Pacific (b)(2) of this section shall be closed for Fishery Management Council under SUMMARY: NMFS is prohibiting retention the period specified in paragraph (b)(1) authority of the Magnuson-Stevens of pollock in the Eastern Regulatory of this section through notification in Fishery Conservation and Management Area in the Gulf of Alaska (GOA). NMFS the Federal Register until such time as Act. Fishing by U.S. vessels is governed is requiring that catches of pollock in the Assistant Administrator revises the by regulations implementing the FMP at this area be treated in the same manner requirements and conditions, or subpart H of 50 CFR part 600 and 50 as prohibited species and discarded at imposes additional requirements and CFR part 679. sea with a minimum of injury. This conditions, or exempts specified The first seasonal apportionment of action is necessary because the pollock alternative fishing practices in the 1997 halibut bycatch allowance 1997 total allowable catch (TAC) in this accordance with paragraph (b)(3) of this specified for the trawl yellowfin sole area has been reached. section. fishery in the BSAI, which is defined at (ii) If a serious injury or mortality of § 679.21(e)(3)(iv)(B)(1), was established EFFECTIVE DATE: Effective 1200 hrs, any endangered whale occurs in any by the Final 1997 Harvest Specifications Alaska local time (A.l.t.), March 31, area and at any time and is conclusively of Groundfish for the BSAI (62 FR 7168, 1997, until 2400 hrs, A.l.t., December attributed to gear which is exempt February 18, 1997) as 210 mt. Directed 31, 1997. under paragraph (b)(3) of this section, fishing for yellowfin sole by vessels FOR FURTHER INFORMATION CONTACT: NMFS will reassess its exemption of the using trawl gear in the BSAI was Thomas Pearson, 907–486–6919. gear and may close the area to all lobster prohibited on March 22, 1997 (62 FR SUPPLEMENTARY INFORMATION: pot fishing through notification in the 14651, March 27, 1997) to prevent The Federal Register until such time as the exceeding the first seasonal bycatch groundfish fishery in the GOA exclusive Assistant Administrator revises the allowance of Pacific halibut apportioned economic zone is managed by NMFS requirements and conditions, or to that fishery. according to the Fishery Management imposes additional requirements and The Administrator, Alaska Region, Plan for Groundfish of the Gulf of conditions, or exempts specified NMFS, has determined that as of March Alaska (FMP) prepared by the North alternative fishing practices in 22, 1997, 14 metric tons of halibut Pacific Fishery Management Council accordance with paragraph (b)(3) of this mortality remain in the first seasonal under authority of the Magnuson- section. bycatch allowance. Therefore, NMFS is Stevens Fishery Conservation and Management Act. Fishing by U.S. [FR Doc. 97–8727 Filed 4–1–97; 4:31 pm] terminating the previous closure and is opening directed fishing for yellowfin vessels is governed by regulations BILLING CODE 3510±22±P sole by vessels using trawl gear in the implementing the FMP at subpart H of BSAI. The second seasonal bycatch 50 CFR part 600 and 50 CFR part 679. 50 CFR Part 679 allowance (210 mt) of Pacific halibut The 1997 TAC of pollock in the apportioned to the trawl yellowfin sole Eastern Regulatory Area of the GOA was [Docket No. 961107312±7021±02; I.D. fishery category in the BSAI becomes established by the Final 1997 Harvest 033197A] available on April 1. Specifications of Groundfish for the GOA (62 FR 8179, February 24, 1997) as Fisheries of the Exclusive Economic All other closures remain in full force 5,580 metric tons (mt), determined in Zone Off Alaska; Yellowfin Sole by and effect. accordance with § 679.20 (c)(3)(ii). Vessels Using Trawl Gear Classification In accordance with § 679.20 (d)(2), the AGENCY: National Marine Fisheries This action is required by 50 CFR Administrator, Alaska Region, NMFS Service (NMFS), National Oceanic and 679.20 and is exempt from review under (Regional Administrator), has Atmospheric Administration (NOAA), E.O. 12866. determined that the 1997 TAC for Commerce. Authority: 16 U.S.C. 1801 et seq. pollock in the Eastern Regulatory Area ACTION: Modification of a closure. Dated: March 31, 1997. has been reached. Therefore, the Gary Matlock, Regional Administrator is requiring that SUMMARY: NMFS is opening directed further catches of pollock in the Eastern fishing for the yellowfin sole fishery by Director, Office of Sustainable Fisheries, National Marine Fisheries Service. Regulatory Area be treated as prohibited vessels using trawl gear in the Bering species in accordance with § 679.21 (b). Sea and Aleutian Islands management [FR Doc. 97–8565 Filed 3–31–97; 4:29 pm] area (BSAI). This action is necessary to BILLING CODE 3510±22±F Classification fully utilize the first seasonal bycatch This action is required by 50 CFR allowance of Pacific halibut apportioned 679.20 and is exempt from review under to the trawl yellowfin sole fishery 50 CFR Part 679 E.O. 12866. category in the BSAI. [Docket No. 961126334±7025±02; I.D. EFFECTIVE DATE: 1200 hrs, Alaska local 032897B] Authority: 16 U.S.C. 1801 et seq. time (A.l.t.), March 31, 1997. Dated: March 31, 1997. Fisheries of the Exclusive Economic FOR FURTHER INFORMATION CONTACT: Gary C. Matlock, Zone Off Alaska, Pollock in the Eastern Andrew N. Smoker, 907–586–7228. Director, Office of Sustainable Fisheries, Regulatory Area of the Gulf of Alaska SUPPLEMENTARY INFORMATION: The National Marine Fisheries Service. groundfish fishery in the BSAI exclusive AGENCY: National Marine Fisheries [FR Doc. 97–8566 Filed 3–31–97; 4:29 pm] economic zone is managed by NMFS Service (NMFS), National Oceanic and BILLING CODE 3510±22±F 16113

Proposed Rules Federal Register Vol. 62, No. 65

Friday, April 4, 1997

This section of the FEDERAL REGISTER Dulles International Airport, Discussion contains notices to the public of the proposed Washington, DC 20041–6029. This issuance of rules and regulations. The The Civil Aviation Authority (CAA), information may be examined at the which is the airworthiness authority for purpose of these notices is to give interested FAA, Transport Airplane Directorate, persons an opportunity to participate in the the United Kingdom, notified the FAA rule making prior to the adoption of the final 1601 Lind Avenue, SW., Renton, that an unsafe condition may exist on rules. Washington. certain Jetstream Model ATP airplanes. FOR FURTHER INFORMATION CONTACT: The CAA advises that it has received a William Schroeder, Aerospace Engineer, report of uncommanded application of DEPARTMENT OF TRANSPORTATION Standardization Branch, ANM–113, the brakes when the direct current (DC) hydraulic pump of the auxiliary Federal Aviation Administration FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, hydraulic system was selected ON with 14 CFR Part 39 Washington 98055–4056; telephone the main hydraulic system operative. (206) 227–2148; fax (206) 227–1149. The cause has been attributed to the [Docket No. 96±NM±178±AD] build-up of back pressure in the brake RIN 2120±AA64 SUPPLEMENTARY INFORMATION: supply and hydraulic return systems, as a result of installation of Jetstream Comments Invited Airworthiness Directives; Jetstream Modification 10303A. (The existing Model ATP Airplanes Interested persons are invited to design of Modification 10303A does not participate in the making of the account for the fact that the auxiliary AGENCY: Federal Aviation proposed rule by submitting such hydraulic system may be operated while Administration, DOT. written data, views, or arguments as the main hydraulic system is operating.) ACTION: Notice of proposed rulemaking they may desire. Communications shall Build-up of back pressure in the brake (NPRM). identify the Rules Docket number and supply and hydraulic return systems, if not corrected, could result in SUMMARY: This document proposes the be submitted in triplicate to the address uncommanded application of the brakes adoption of a new airworthiness specified above. All communications during landing. directive (AD) that is applicable to received on or before the closing date certain Jetstream Model ATP airplanes. for comments, specified above, will be Explanation of Relevant Service This proposal would require considered before taking action on the Information proposed rule. The proposals contained modification of the hydraulic system, Jetstream has issued Service Bulletin and a revision to the Airplane Flight in this notice may be changed in light ATP–29–12, dated September 9, 1995, Manual (AFM) to include revised of the comments received. which describes procedures for procedures for lowering the landing Comments are specifically invited on revisions to the Emergency and gear. This proposal is prompted by a the overall regulatory, economic, Abnormal Procedures Sections of the report of uncommanded application of environmental, and energy aspects of Airplane Flight Manual (AFM) to the brakes when the direct current (DC) the proposed rule. All comments include revised procedures for lowering hydraulic pump was selected ON with submitted will be available, both before the landing gear. (Paragraph 1.K. of the the main hydraulic system operative; and after the closing date for comments, service bulletin references Temporary this situation was caused by build-up of in the Rules Docket for examination by Revision No. T/52 as an additional back pressure in the brake supply and interested persons. A report source of service information for hydraulic return systems. The actions summarizing each FAA-public contact revising the AFM. This particular specified by the proposed AD are concerned with the substance of this Temporary Revision applies to airplanes intended to prevent uncommanded proposal will be filed in the Rules of U.S. registry.) application of the brakes during Docket. The service bulletin also describes landing, as a result of the build-up of Commenters wishing the FAA to procedures for modification of the back pressure. hydraulic system. The modification DATES: Comments must be received by acknowledge receipt of their comments submitted in response to this notice involves: May 15, 1997. 1. Connecting the auxiliary hydraulic must submit a self-addressed, stamped ADDRESSES: Submit comments in reservoir feed to the main hydraulic postcard on which the following triplicate to the Federal Aviation return system, thus eliminating the need statement is made: ‘‘Comments to Administration (FAA), Transport for a check valve (HTE 510013) and its Docket Number 96–NM–178–AD.’’ The Airplane Directorate, ANM–103, associated piping; Attention: Rules Docket No. 96–NM– postcard will be date stamped and 2. Connecting the existing feed line of 178–AD, 1601 Lind Avenue, SW., returned to the commenter. the auxiliary reservoir directly to the Renton, Washington 98055–4056. Availability of NPRMs pressure bleed line of the brake master Comments may be inspected at this cylinder; location between 9:00 a.m. and 3:00 Any person may obtain a copy of this 3. Installing a non-return valve p.m., Monday through Friday, except NPRM by submitting a request to the between the change-over isolation valve Federal holidays. FAA, Transport Airplane Directorate, and the main pressure manifold; and The service information referenced in ANM–103, Attention: Rules Docket No. 4. Removing the bypass pipeline of the proposed rule may be obtained from 96-NM–178-AD, 1601 Lind Avenue, the landing gear. Accomplishment of Jetstream Aircraft, Inc., P.O. Box 16029, SW., Renton, Washington 98055–4056. the modification will prevent 16114 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules uncommanded application of the brakes The cost impact figures discussed Bulletin ATP 32–41) has been installed; during landing when the DC hydraulic above are based on assumptions that no certificated in any category. pump is selected ON with the main operator has yet accomplished any of Note 1: This AD applies to each airplane hydraulic system operative. the proposed requirements of this AD identified in the preceding applicability The CAA classified this service action, and that no operator would provision, regardless of whether it has been bulletin as mandatory and issued British accomplish those actions in the future if otherwise modified, altered, or repaired in the area subject to the requirements of this airworthiness directive 001–09–095, this AD were not adopted. AD. For airplanes that have been modified, dated September 1995, in order to Regulatory Impact altered, or repaired so that the performance assure the continued airworthiness of of the requirements of this AD is affected, the these airplanes in the United Kingdom. The regulations proposed herein owner/operator must request approval for an would not have substantial direct effects alternative method of compliance in FAA’s Conclusions on the States, on the relationship accordance with paragraph (b) of this AD. This airplane model is manufactured between the national government and The request should include an assessment of in the United Kingdom and is type the States, or on the distribution of the effect of the modification, alteration, or certificated for operation in the United power and responsibilities among the repair on the unsafe condition addressed by States under the provisions of section this AD; and, if the unsafe condition has not various levels of government. Therefore, been eliminated, the request should include 21.29 of the Federal Aviation in accordance with Executive Order specific proposed actions to address it. Regulations (14 CFR 21.29) and the 12612, it is determined that this Compliance: Required as indicated, unless applicable bilateral airworthiness proposal would not have sufficient accomplished previously. agreement. Pursuant to this bilateral federalism implications to warrant the To prevent uncommanded application of airworthiness agreement, the CAA has preparation of a Federalism Assessment. the brakes during landing, accomplish the kept the FAA informed of the situation For the reasons discussed above, I following: described above. The FAA has certify that this proposed regulation (1) (a) Within 60 days of the effective date of examined the findings of the CAA, is not a ‘‘significant regulatory action’’ this AD, accomplish paragraphs (a)(1) and reviewed all available information, and under Executive Order 12866; (2) is not (a)(2) of this AD in accordance with Jetstream determined that AD action is necessary Service Bulletin ATP–29–12, dated a ‘‘significant rule’’ under the DOT September 9, 1995. for products of this type design that are Regulatory Policies and Procedures (44 (1) Modify the hydraulic system; and certificated for operation in the United FR 11034, February 26, 1979); and (3) if (2) Revise the Emergency and Abnormal States. promulgated, will not have a significant Procedures Sections of the FAA-approved Explanation of Requirements of economic impact, positive or negative, Airplane Flight Manual (AFM) to include the information specified in Temporary Revision Proposed Rule on a substantial number of small entities under the criteria of the Regulatory No. T/52, Issue 1, dated August 16, 1995, Since an unsafe condition has been Flexibility Act. A copy of the draft which introduces revised procedures for identified that is likely to exist or lowering the landing gear, as specified in the regulatory evaluation prepared for this temporary revision; and operate the airplane develop on other airplanes of the same action is contained in the Rules Docket. type design registered in the United in accordance with those limitations and A copy of it may be obtained by procedures. States, the proposed AD would require contacting the Rules Docket at the modification of the hydraulic system. Note 2: Paragraph 1.K. of Jetstream Service location provided under the caption Bulletin ATP–29–12, dated September 9, The proposed AD also would require ‘‘ADDRESSES.’’ 1995, references Temporary Revision No. T/ revisions to the Emergency and 52 as an additional source of service Abnormal Procedures Sections of the List of Subjects in 14 CFR Part 39 information for revising the AFM. FAA-approved AFM to include revised Air transportation, Aircraft, Aviation Note 3: This may be accomplished by procedures for lowering the landing safety, Safety. inserting a copy of Temporary Revision No. gear. The actions would be required to T/52 in the AFM. When this temporary be accomplished in accordance with the The Proposed Amendment revision has been incorporated into general service bulletin described previously. Accordingly, pursuant to the revisions of the AFM, the general revisions may be inserted in the AFM, provided the Cost Impact authority delegated to me by the information contained in the general Administrator, the Federal Aviation The FAA estimates that 10 Jetstream revisions is identical to that specified in Administration proposes to amend part Temporary Revision No. T/52. Model ATP airplanes of U.S. registry 39 of the Federal Aviation Regulations (b) An alternative method of compliance or would be affected by this proposed AD. (14 CFR part 39) as follows: It would take approximately 25 work adjustment of the compliance time that provides an acceptable level of safety may be hours per airplane to accomplish the PART 39ÐAIRWORTHINESS used if approved by the Manager, proposed modification, at an average DIRECTIVES Standardization Branch, ANM–113, FAA, labor rate of $60 per work hour. Transport Airplane Directorate. Operators Required parts will be provided by the 1. The authority citation for part 39 shall submit their requests through an manufacturer at no cost to the operator. continues to read as follows: appropriate FAA Principal Maintenance Based on these figures, the cost impact Authority: 49 U.S.C. 106(g), 40113, 44701. Inspector, who may add comments and then of the modification proposed by this AD send it to the Manager, Standardization on U.S. operators is estimated to be § 39.13Ð[Amended] Branch, ANM–113. $15,000, or $1,500 per airplane. 2. Section 39.13 is amended by Note 4: Information concerning the It would take approximately 1 work adding the following new airworthiness existence of approved alternative methods of compliance with this AD, if any, may be hour per airplane to accomplish the directive: obtained from the Standardization Branch, proposed AFM revisions, at an average Jetstream Aircraft Limited: Docket 96–NM– ANM–113. labor rate of $60 per work hour. Based 178–AD. (c) Special flight permits may be issued in on these figures, the cost impact of the Applicability: Model ATP airplanes, accordance with sections 21.197 and 21.199 AFM revisions proposed by this AD on having constructor’s numbers 2002 through of the Federal Aviation Regulations (14 CFR U.S. operators is estimated to be $600, 2063 inclusive; on which Jetstream 21.197 and 21.199) to operate the airplane to or $60 per airplane. Modification 10303A (Jetstream Service a location where the requirements of this AD Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16115 can be accomplished. Issued in Renton, Office, 1601 Lind Avenue, SW., Renton, OEU and could cause smoke to enter the Washington, on March 31, 1997. Washington; telephone (206) 227–2795; passenger cabin. S. R. Miller, fax (206) 227–1181. Explanation of Relevant Service Acting Manager, Transport Airplane SUPPLEMENTARY INFORMATION: Information Directorate, Aircraft Certification Service. [FR Doc. 97–8700 Filed 4–3–97; 8:45 am] Comments Invited The FAA has reviewed and approved BILLING CODE 4910±13±U Boeing Alert Service Bulletin 777– Interested persons are invited to 23A0027, dated February 13, 1997. The participate in the making of the alert service bulletin describes proposed rule by submitting such 14 CFR Part 39 procedures for replacement of OEU’s, written data, views, or arguments as part numbers (P/N) 285W0029–3, [Docket No. 97±NM±55±AD] they may desire. Communications shall 285W0029–3 MOD A, and 285W0029–3 identify the Rules Docket number and RIN 2120±AA64 MOD B, of the passenger address and be submitted in triplicate to the address entertainment communication systems Airworthiness Directives; Boeing specified above. All communications with modified OEU’s, P/N’s 285W0029– Model 777±200 Series Airplanes received on or before the closing date 5, 285W0029–5 MOD A, and for comments, specified above, will be 285W0029–5 MOD B. The modified AGENCY: Federal Aviation considered before taking action on the Administration, DOT. OEU’s contain a new transformer proposed rule. assembly that contains circuit ACTION: Notice of proposed rulemaking The proposals contained in this notice protection for overload conditions, (NPRM). may be changed in light of the which will prevent the transformer from comments received. SUMMARY: This document proposes the overheating. Comments are specifically invited on adoption of a new airworthiness The FAA also has reviewed and the overall regulatory, economic, directive (AD) that is applicable to approved Boeing Component Service environmental, and energy aspects of certain Boeing Model 777–200 series Bulletin 285W0029–23–01, dated the proposed rule. All comments airplanes. This proposal would require February 13, 1997, which describes submitted will be available, both before replacement of certain overhead procedures for reworking OEU’s having and after the closing date for comments, electronics units (OEU) of the passenger P/N’s 285W0029–3, 285W0029–3 MOD in the Rules Docket for examination by address and entertainment A, and 285W0029–3 MOD B. The interested persons. A report communication systems with modified rework includes replacing the summarizing each FAA-public contact OEU’s. This proposal is prompted by transformer assembly located in the concerned with the substance of this reports of smoke coming from the OEU with a new OEU, applying dash proposal will be filed in the Rules overhead panels near the passenger number -5, and adding a MOD level Docket. reading lights, which was caused by marking (if applicable) to the nameplate Commenters wishing the FAA to overheating of the transformers located of the OEU. acknowledge receipt of their comments in the OEU’s. The actions specified by submitted in response to this notice Explanation of Requirements of the proposed AD are intended to must submit a self-addressed, stamped Proposed Rule prevent overheating of the transformers, postcard on which the following which potentially could cause a fire in Since an unsafe condition has been statement is made: ‘‘Comments to the transformer assembly and/or identified that is likely to exist or Docket Number 97–NM–55–AD.’’ The electronic components located in the develop on other products of this same postcard will be date stamped and OEU and could cause smoke to enter the type design, the proposed AD would returned to the commenter. passenger cabin. require replacement of certain OEU’s of the passenger address and DATES: Comments must be received by Availability of NPRMs entertainment communication systems May 15, 1997. Any person may obtain a copy of this with modified OEU’s. The actions ADDRESSES: Submit comments in NPRM by submitting a request to the would be required to be accomplished triplicate to the Federal Aviation FAA, Transport Airplane Directorate, in accordance with the alert service Administration (FAA), Transport ANM–103, Attention: Rules Docket No. bulletin described previously. Airplane Directorate, ANM–103, 97–NM–55–AD, 1601 Lind Avenue, Attention: Rules Docket No. 97–NM– SW., Renton, Washington 98055–4056. Cost Impact 55–AD, 1601 Lind Avenue, SW., There are approximately 46 Boeing Discussion Renton, Washington 98055–4056. Model 777–200 series airplanes of the Comments may be inspected at this The FAA has received several reports affected design in the worldwide fleet. location between 9:00 a.m. and 3:00 of smoke coming from the overhead The FAA estimates that 16 airplanes of p.m., Monday through Friday, except panel near the passenger reading lights U.S. registry would be affected by this Federal holidays. on Boeing Model 777–200 series proposed AD, that it would take The service information referenced in airplanes. In other reports, the overhead approximately 209 work hours per the proposed rule may be obtained from electronics units (OEU) failed to supply airplane to accomplish the proposed Boeing Commercial Airplane Group, power to the lights of the passenger actions, and that the average labor rate P.O. Box 3707, Seattle, Washington cabin. Investigation revealed that the is $60 per work hour. Required parts 98124–2207. This information may be transformers of the OEU’s are not would be supplied by the manufacturer examined at the FAA, Transport adequately protected from certain at no cost to the operators. Based on Airplane Directorate, 1601 Lind overload failure modes, which causes these figures, the cost impact of the Avenue, SW., Renton, Washington. the transformers to overheat. proposed AD on U.S. operators is FOR FURTHER INFORMATION CONTACT: Overheating of a transformer, if not estimated to be $200,640, or $12,540 per Peter Skaves, Aerospace Engineer, corrected, potentially could cause a fire airplane. Systems and Equipment Branch, ANM– in the transformer assembly and/or The cost impact figure discussed 130S, FAA, Seattle Aircraft Certification electronic components located in the above is based on assumptions that no 16116 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules operator has yet accomplished any of otherwise modified, altered, or repaired in DEPARTMENT OF THE INTERIOR the proposed requirements of this AD the area subject to the requirements of this action, and that no operator would AD. For airplanes that have been modified, Minerals Management Service accomplish those actions in the future if altered, or repaired so that the performance this AD were not adopted. of the requirements of this AD is affected, the 30 CFR Part 243 owner/operator must request approval for an Regulatory Impact alternative method of compliance in RIN 1010±AC08 The regulations proposed herein accordance with paragraph (c) of this AD. The request should include an assessment of Policy for Release of Third-Party would not have substantial direct effects the effect of the modification, alteration, or Proprietary Information for the on the States, on the relationship repair on the unsafe condition addressed by Administrative Appeals Process and between the national government and this AD; and, if the unsafe condition has not for Alternative Dispute Resolution the States, or on the distribution of been eliminated, the request should include power and responsibilities among the specific proposed actions to address it. AGENCY: Minerals Management Service, Interior. various levels of government. Therefore, Compliance: Required as indicated, unless in accordance with Executive Order accomplished previously. ACTION: Proposed rulemaking. 12612, it is determined that this To prevent overheating of the transformers SUMMARY: The Minerals Management proposal would not have sufficient of the overhead electronic units (OEU), federalism implications to warrant the which potentially could cause a fire in the Service (MMS) proposes to amend its preparation of a Federalism Assessment. transformer assembly and/or other electronic regulations to authorize MMS by law to For the reasons discussed above, I components of the OEU and could cause provide third-party proprietary certify that this proposed regulation: (1) smoke to enter the passenger cabin, information to appellants and entities is not a ‘‘significant regulatory action’’ accomplish the following: involved in administrative appeals and under Executive Order 12866; (2) is not (a) Within 6 months after the effective date other Alternative Dispute Resolution a ‘‘significant rule’’ under the DOT of this AD, replace OEU’s having part (ADR) when that information is the Regulatory Policies and Procedures (44 numbers (P/N) 285W0029–3, 285W0029–3 basis for an MMS assessment. MOD A, and 285W0029–3 MOD B, of the Presently, MMS cannot release third- FR 11034, February 26, 1979); and (3) if passenger address and entertainment promulgated, will not have a significant party commercial or financial communication systems with modified information (proprietary information) economic impact, positive or negative, OEU’s having P/N’s 285W0029–5, on a substantial number of small entities 285W0029–5 MOD A, and 285W0029–5 because release would violate the Trade under the criteria of the Regulatory MOD B, in accordance with Boeing Alert Secrets Act which prohibits releasing Flexibility Act. A copy of the draft Service Bulletin 777–23A0027, dated proprietary information ‘‘except as regulatory evaluation prepared for this February 13, 1997. provided by law.’’ This regulation will action is contained in the Rules Docket. Note 2: Boeing Component Service Bulletin provide the authority by law to release A copy of it may be obtained by 285W0029–23–01, dated February 13, 1997, the information. MMS’ proposed rule contacting the Rules Docket at the describes procedures for reworking OEU’s would require that those receiving location provided under the caption having P/N’s 285W0029–3, 285W0029–3 relevant proprietary information sign ‘‘ADDRESSES.’’ MOD A, and 285W0029–3 MOD B, to a confidentiality and liability agreements configuration having a dash number –5, and before the agency releases the List of Subjects in 14 CFR Part 39 a MOD level marking (if applicable). information. Air transportation, Aircraft, Aviation (b) As of the effective date of this AD, no DATES: Comments must be received on safety, Safety. person shall install an OEU having P/N or before June 3, 1997. 285W0029–3, 285W0029–3 MOD A, or The Proposed Amendment 285W0029–3 MOD B, on any airplane. ADDRESSES: Comments should be sent to: David S. Guzy, Chief, Rules and Accordingly, pursuant to the (c) An alternative method of compliance or Publications Staff, Royalty Management authority delegated to me by the adjustment of the compliance time that Program, Minerals Management Service, Administrator, the Federal Aviation provides an acceptable level of safety may be used if approved by the Manager, Seattle P.O. Box 25165, MS 3101, Denver, Administration proposes to amend part Aircraft Certification Office (ACO), FAA, Colorado, 80225–0165, courier delivery 39 of the Federal Aviation Regulations Transport Airplane Directorate. Operators to Building 85, Denver Federal Center, (14 CFR part 39) as follows: shall submit their requests through an Denver, Colorado, 80225; or e-Mail appropriate FAA Principal Maintenance [email protected]. PART 39ÐAIRWORTHINESS Inspector, who may add comments and then DIRECTIVES send it to the Manager, Seattle ACO. FOR FURTHER INFORMATION CONTACT: David S. Guzy, Chief, Rules and 1. The authority citation for part 39 Note 3: Information concerning the existence of approved alternative methods of Procedures Staff, Royalty Management continues to read as follows: compliance with this AD, if any, may be Program, Minerals Management Service, Authority: 49 U.S.C. 106(g), 40113, 44701. obtained from the Seattle ACO. telephone (303) 231–3432, Fax (303) (d) Special flight permits may be issued in 231–3194, e-Mail § 39.13 [Amended] accordance with sections 21.197 and 21.199 [email protected]. 2. Section 39.13 is amended by of the Federal Aviation Regulations (14 CFR SUPPLEMENTARY INFORMATION: The adding the following new airworthiness 21.197 and 21.199) to operate the airplane to principal authors of this proposed directive: a location where the requirements of this AD rulemaking are Colette Haines, Gregory can be accomplished. BOEING: Docket 97–NM–55–AD. Kann, Donna Luna, Cecelia Williams, Issued in Renton, Washington, on March and Sammy Wilson, MMS, and Howard Applicability: Model 777–200 series 31, 1997. airplanes, as listed in Boeing Alert Service Chalker, Office of the Solicitor. S. R. Miller, Bulletin 777–23A0027, dated February 13, I. General 1997; certificated in any category. Acting Manager, Transport Airplane Directorate, Aircraft Certification 026Service. Note 1: This AD applies to each airplane Appellants sometimes request identified in the preceding applicability [FR Doc. 97–8701 Filed 4–3–97; 8:45 am] information MMS used to assess provision, regardless of whether it has been BILLING CODE 4910±13±U additional royalties. MMS presently Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16117 processes requests for such information royalties. For example, gas plant audits MMS has determined that requiring under the Freedom of Information Act rely on proprietary information that the appellant to make its request early (FOIA), 5 U.S.C. § 552, which authorizes third parties furnish. MMS understands in the appeals process works best. For MMS to withhold proprietary that many submitters believe that example, if an appellant were to request information. Exemption 4 of FOIA release of this information could cause documents while MMS was preparing protects ‘‘trade secrets and commercial competitive harm to them. the Director’s Decision, the agency or financial information obtained from a Another example is an assessment would have to stop work on the party and privileged or confidential.’’ It based on major portion analysis, where decision to process the request. This protects submitters of proprietary MMS determines the highest price paid would be a particular problem because information and other parties associated or offered for a major portion of oil or of the 33-month limit for the with such information from the gas produced from a single field or area. Department to decide appeals imposed competitive disadvantages of public Third parties, including lessees, in the Federal Oil and Gas Royalty disclosure. operators, and purchasers, submit such Simplification and Fairness Act of 1996. MMS follows Exemption 4 of FOIA to information to MMS. The release of Additionally, if MMS were to furnish determine if certain types of information combinations of information, such as information immediately before the fall within the scope of the Trade volume and value, could cause MMS Director issued a decision, the Secrets Act, since Exemption 4 and the competitive harm to those third parties. information would be useless because Act are coextensive. CNA Fin. Corp. v. The Trade Secrets Act (Act), 18 U.S.C. the appellant would not have time to Donovan, 830 F.2d 1132, 1144–52 (D.C. 1905, prohibits MMS from releasing use the information. Because the MMS Cir. 1987), cert. denied, 484 U.S. 977 such information except as provided by order at issue would have notified the (1988). Such business-related law. The Act provides penalties of up to appellant that such information was information as sales prices or values 1 year in jail, a $1,000 fine, and available, there would be no reason to that producers or purchasers submit to mandatory removal from the job for a delay the appeals process simply MMS is commercial or financial Federal employee who discloses because an appellant failed to promptly information. proprietary information without request information. Information is privileged or authorization. Under the proposed regulations, MMS confidential if it meets one of two tests: However, the Act’s prohibition on would not release proprietary (1) The submitter voluntarily submits release is not absolute. Substantive information after the expiration of the information to the Department but regulations provide authorization for appellant’s time to file a statement of would not customarily release the release. Chrysler v. Brown, 441 U.S. 281 reasons under 30 CFR Part 290, except information to the public; (1979). This proposed rule would to facilitate ADR. MMS could release (2) MMS requires the submitter to permit MMS to release third-party such information at any time during provide the information and release of proprietary information to those ADR under the terms of the proposed that information could cause harm to appealing or attempting to settle regulations. the competitive position of the assessments based on that information. Because judicial review of final submitter. Critical Mass Energy Project This section does not address MMS’ agency action is limited to the v. NRC, 975 F.2d 871, 879, 880 (D.C. Cir. release of any other type of information. administrative record, MMS could not 1992), cert. denied, 113 S. Ct. 1579 Under the proposed regulation, MMS provide a requestor with proprietary (1993). would inform the recipient of an information after final agency action. MMS believes that commercial or assessment based on third-party This rulemaking applies only to the financial information less than 6 years commercial or financial information disposition of relevant third-party old concerning the volume and value of (proprietary information) that such proprietary information. It does not the produced substance falls into these information is available if the party grant any rights to appellants to obtain categories. While MMS does not believe signs confidentiality and liability admissions, depositions, or responses to that the release of either volume or agreements. These agreements would interrogatories. value information alone would cause require that the recipient use the MMS specifically requests your competitive harm, it seeks input on this proprietary information only for comments, including rationale, on the issue through this rulemaking. reviewing and appealing or settling an following issues: The requirement to submit such MMS order. Also, the proprietary 1. What type of information is information rests on the lessee or its information would be available only to proprietary? For how long after such agent, such as an operator. When a those individuals actually working on information is generated does it remain purchaser voluntarily submits royalty the appeal or a related ADR. proprietary? For example, when is the information to MMS on behalf of a The agreements would require that proprietary information no longer of lessee, MMS evaluates the harm to the the recipient accept all liability for value to the competition? Describe the lessee and/or its agent as well as the wrongful disclosure. Further, at its competitive harm that release of this purchaser. discretion, MMS could require for good information would cause. Please be Executive Order 12600 and the cause that the recipient of proprietary mineral specific. Identify the data Department of the Interior’s regulations information meet more stringent elements on specific MMS forms that implementing Exemption 4 require an standards than normally required. you would consider proprietary either agency to notify the submitter prior to The recipient of an MMS order has on their own or in combination with releasing propriety information (43 CFR the right to appeal the order to the MMS other data elements. Does the release of 2.15(d)). If the submitter provides valid Director, or to the Deputy Commissioner either volume or value information objection to release, MMS must redact of Indian Affairs if the order relates to without the other cause competitive (delete) or otherwise withhold an Indian lease. MMS’ proposed rule harm? proprietary information before releasing would require the appellant to request MMS seeks mineral-specific the requested material. access to proprietary information before comments because we believe that the There are numerous ways in which the expiration of the appellant’s time to release of information regarding one MMS uses third-party proprietary file a statement of reasons under 30 CFR mineral may cause more competitive information in assessing additional Part 290. harm than for another. For example, 16118 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules there is usually only one owner/ Section 243.12 How do I request information to an appellant under this operator/payor per coal mine or lease, as relevant proprietary information? section. The appellant would be opposed to multiple such entities for an This section would provide the responsible for any and all damages to oil and gas lease. Therefore, MMS procedures for requesting relevant the lessee, lessor, and purchaser for any believes that release of coal production proprietary information as well as the violation of the confidentiality or and royalty data is more likely to cause address of the MMS FOIA Officer. liability agreements which caused harm competitive harm than release of similar to the competitive position of these information on oil and gas. Further, Section 243.13 May MMS deny my parties. This would be true whether the because many coal contracts are long- request for relevant proprietary lessee, lessor, or purchaser sought such term contracts, such information on coal information? damages from MMS or the appellant. may remain proprietary longer than for This section would provide that the Paragraph (c) would require you to oil and gas. Associate Director for Royalty submit new confidentiality and liability 2. When there is an appeal of an MMS Management (AD/RM) can deny your agreements for each appeal unless MMS order or ADR, should MMS release request for relevant proprietary determines that the appeal can be relevant proprietary information if the information for good cause. The AD/RM covered by an existing agreement. MMS requester signs confidentiality and would deny your request if the could determine that previous liability agreements? information requested was not used in confidentiality and liability agreements 3. Should MMS notify the submitters the order being challenged, or if it for an appeal may cover a subsequent that the proprietary information has receives a request after the time frames ADR. been requested? outlined in § 243.11. The AD/RM could Section 243.16 Do I pay a fee for the also deny the request if you have 4. Are the proposed safeguards of this relevant proprietary information? rulemaking adequate to protect the breached a previous confidentiality or This section would require you to pay submitter’s interest? Are there liability agreement. the billed amount that MMS charges additional safeguards that MMS should Section 243.14 May I appeal MMS’s you for producing the relevant include in this rule? denial of my request for relevant proprietary information. For example, 5. Should this rule include release of proprietary information? the MMS general administrative costs relevant proprietary information needed Paragraph (a) would provide that you would include researching, copying, to file appeals with the MMS Director or could appeal MMS’s denial of a request and producing data on magnetic tapes defend against civil penalties under 30 for relevant proprietary information as and computer disks, among other items. CFR Parts 241 or 251? part of your appeal on the merits under MMS would base these costs on the 6. Should MMS restrict the proposed 30 CFR Part 290 to the MMS Director or FOIA fees charged under 43 CFR Part 2. list of people allowed to review the the Deputy Commissioner of Indian The bill would accompany the relevant relevant proprietary information further Affairs. proprietary information. than the proposed rule requires? Paragraph (b) would provide that you 7. Should MMS charge fees for the could not appeal a denial of a request Section 243.17 What are my relevant proprietary information based for relevant proprietary information obligations and restrictions in using the on the fee schedule used for FOIA while you are in ADR. relevant third-party proprietary requests at 43 CFR Part 2? information MMS provides? Section 243.15 What must I do before As an aid to public participation in This section would prohibit you from MMS will give me the relevant this rulemaking, comments received using third-party proprietary proprietary information? will be posted on the Internet at information to gain a competitive http://www.rmp.mms.gov. Under the proposed regulation, you advantage over the submitter or other must sign confidentiality and liability parties associated with the data, and to II. Section-by-Section Analysis agreements before MMS will provide cause any other harm to the competitive Section 243.10 Definitions. relevant documents. position of the submitter. Paragraph (a) would require that your Paragraph (a) would provide that you All proposed definitions in this organization’s Chief Operating Officer or may use the proprietary information section are self-explanatory. equivalent sign the confidentiality and only to evaluate and challenge the Section 243.11 When must I request liability agreements. It would also relevant order. relevant third-party proprietary require that the signing official have the Paragraph (b) would restrict access to information? authority to execute the agreement. the proprietary information to the These agreements must be notarized. specific individuals listed in this The paragraphs in this part would Paragraph (b) would require that paragraph. provide time frames for filing a timely under the confidentiality and liability Paragraph (c) would require that those request for relevant third-party agreements you must agree to accept all parties reviewing the proprietary proprietary information. You would be liability of any kind for wrongful information sign a certification required to file a request after you file disclosure or misuse of the proprietary statement attesting that they have read a timely notice of appeal under 30 CFR information. Such liability includes, but the confidentiality and liability 290.3(a)(1). You would submit a request is not limited to, liability to the agreements and that they agree to be after you file a timely notice but before Department; to the third party providing bound by them. the expiration of the time for filing a the information to MMS; and to the Paragraph (d) would require you to statement of reasons or anytime during applicable lessee(s), lessor(s), and maintain all certification statements and ADR with MMS. operator(s). make them available to MMS upon MMS would inform you when your For example, assume that, on a request. order is based on third-party proprietary lessee’s behalf, a purchaser of oil and Paragraph (e) would require that you information and advise you of the gas from a Federal or Indian lease provide all certification statements to request procedures under 30 CFR submitted proprietary information to the MMS FOIA Officer within 30 days 243.12. MMS, who in turn provided that after: Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16119

(1) the Department issues a final Section 243.20 What do I do with the year on local, Tribal, State governments nonappealable decision, or relevant proprietary information after or the private sector. the appeal process or the ADR process (2) you and MMS conclude ADR with National Environmental Policy Act of is over? a final agreement, or 1969 (3) you withdraw the appeal or This section would advise you of the request for ADR. proper disposition of the relevant We have determined that this proprietary information. rulemaking is not a major Federal action Paragraph (f) would require you to significantly affecting the quality of the identify any third-party proprietary Section 243.21 What happens if I don’t human environment, and a detailed information if you use the relevant return the relevant proprietary statement under section 102(2)(C) of the proprietary information in an appeal or information? National Environmental Policy Act of during ADR. This section would require 1969 (42 U.S.C. 4332(2)(C)) is not Paragraph (g) would require that you appropriate sanctions if you fail to required. return the relevant proprietary return the documents as outlined in List of Subjects in 30 CFR Part 243 § 243.20. information. Paragraph (h) would require you to be III. Procedural Matters Coal, Continental shelf, Geothermal bound by the minimum confidentiality energy, Government contracts, Indian requirements under this regulation The Regulatory Flexibility Act lands, Mineral royalties, Natural gas, whether or not they are set forth in the The Department certifies that this rule Petroleum, Public lands—mineral confidentiality agreement. will not have a significant economic resources. effect on a substantial number of small Dated: March 27, 1997. Section 243.18 May MMS require me entities under the Regulatory Flexibility Bob Armstrong, to meet more stringent confidentiality Act (5 U.S.C. § 601 et seq.). The standards than those minimum Assistant Secretary—Land and Minerals proposed rule will provide the Management. requirements under this regulation? authorization by law for MMS to This section would advise you that for provide appellants with documents For the reasons set out in the good cause MMS could hold you to furnished by third parties and which preamble, we propose to amend 30 CFR more stringent standards and explain in contain proprietary information that Part 243 by adding the following: MMS used to calculate an order. writing why they are necessary. One PART 243ÐAPPEALSÐROYALTY example of good cause would be an Executive Order 12630 MANAGEMENT PROGRAM appellant’s failure to comply with The Department certifies that the rule previous confidentiality and/or liability does not represent a governmental Subpart BÐRelease of Relevant Third- agreements. action capable of interference with Party Proprietary Information MMS might also determine that in constitutionally protected property some cases the company officials rights. Thus, a Takings Implication 1. The authority citation for part 243 directly involved in the appeal would Assessment need not be prepared under is revised to read as follows: also be involved in that company’s day- Executive Order 12630, ‘‘Governmental Authority: 5 U.S.C. 301 et seq.; 25 U.S.C. to-day decision making. Their access to Actions and Interference with 396 et seq., 396a et seq., 2101 et seq.; 30 third-party proprietary information Constitutionally Protected Property U.S.C. 181 et seq., 351 et seq., 1001 et seq., could cause competitive harm to the Rights.’’ 1701 et seq.; 31 U.S.C. 9701; 43 U.S.C. 1301 submitter of, or other parties associated et seq., 1331 et seq., 1801 et seq. with, that information. In these cases, Executive Order 12866 MMS could limit review of proprietary This proposed rule does not meet the 2. Subpart B is added to read as information to outside counsel or criteria for a significant rule requiring follows: consultants. review by the Office of Management and Subpart BÐRelease of Relevant Proprietary Budget (OMB) under Executive Order Third-Party Information Section 243.19 Am I relieved of the 12866. confidentiality and/or liability Sec. agreements and all liability after the Executive Order 12988 243.10 Definitions. appeal process or the ADR process is The Department has certified to OMB 243.11 When must I request relevant third- party proprietary information? over? that this rule meets the applicable 243.12 How do I request relevant reform standards provided in Sections This section would advise that you proprietary information? 3(a) and 3(b)(2) of Executive Order must always comply with the terms of 243.13 May MMS deny my request for 12988. the confidentiality and liability relevant proprietary information? agreements even after: Paperwork Reduction Act 243.14 May I appeal MMS’s denial of my request for relevant proprietary (1) the Department issues a final This rule has been examined under information? nonappealable decision, or the Paperwork Reduction Act of 1995 243.15 What must I do before MMS will give me the relevant proprietary (2) you and MMS conclude ADR with and contains no reporting and information collection requirements. information? a final agreement, or 243.16 Do I pay a fee for the relevant (3) you withdraw the appeal or Unfunded Mandate Reform Act of 1995 proprietary information? request for ADR. 243.17 What are my obligations and The Department has determined and restrictions in using the relevant You will continue to be liable for any certifies according to the Unfunded proprietary information MMS provides? damage resulting from your wrongful Mandates Reform Act, 2 U.S.C. 1502 et 243.18 May MMS require me to meet more disclosure of the proprietary seq., that this rule will not impose a cost stringent confidentiality standards in information. of $100 million or more in any given some cases? 16120 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules

243.19 Am I relieved of the confidentiality Minerals Management Service, Royalty to the Department, or the Indian lessor, and liability agreements and all liability Management Program, Freedom of the third party providing the proprietary after the appeals process or the ADR Information Act Officer, Re: Request for information, and the applicable lessee(s) process is over? Relevant Proprietary Information, P.O. and operator(s). 243.20 What do I do with the relevant (c) You must submit new proprietary information after the appeals Box 25165 MS 3062, Denver, Colorado process or the ADR process is over? 80225–0165. confidentiality and liability agreements 243.21 What happens if I don’t return the Overnight courier address: Minerals for each appeal or ADR unless MMS relevant proprietary information? Management Service, Royalty determines that existing agreements Management Program, Denver Federal cover the appeal or ADR. For example, § 243.10 Definitions. Center, Building 85, Denver, Colorado if you obtained relevant proprietary Alternative dispute resolution means 80225. information through the appeals using methods other than litigation to (b) In your request: process, some or all provisions of your settle disputes. These methods may (1) Identify the relevant proprietary original confidentiality and liability include mediation, arbitration, information you are requesting; and agreements may cover a subsequent settlement negotiation, minitrials, (2) Include the MMS Appeal Docket ADR. conciliation, fact finding, and Number (if available); and facilitation. (3) Identify any existing § 243.16 Do I pay a fee for the relevant Appellant means a person with an confidentiality and liability agreements proprietary information? administrative appeal of an order from you have under this part and advise if You must pay the amount MMS the Minerals Management Service, they are related to this request. charges you for the administrative cost pending under 30 CFR 290 or 30 CFR of providing the relevant proprietary 241.51(a)(4). For purposes of this § 243.13 May MMS deny my request for information. The charges are based on subpart only, an appellant also includes relevant proprietary information? the fees used for Freedom of a person involved in alternative dispute The Associate Director for Royalty Information Act (FOIA) requests at 43 resolution (ADR) with MMS. Management (AD/RM) will deny your CFR Part 2. MMS will send you the bill Proprietary information means request if the requested information is with the relevant proprietary commercial or financial information not relevant proprietary information or information. obtained from a third party and if the request is received after the privileged or confidential. timeframes outlined in § 243.11. The § 243.17 What are my obligations and Relevant proprietary information AD/RM also may deny the request if you restrictions in using the relevant proprietary means any proprietary information a have breached a previous information MMS provides? third party furnished and that MMS confidentiality or liability agreement or (a) You may use relevant proprietary used to issue and support an order. If for other good cause. information only for evaluating and MMS did not rely on the information for challenging the relevant order. § 243.14 May I appeal MMS's denial of my the challenged order, then it is not (b) Only the following persons may request for relevant proprietary review the relevant proprietary relevant proprietary information. Public information? information is not relevant proprietary information: (a) Except as provided in paragraph information. (1) Your counsel and persons directly Third-party means any party other (b) of this section, if MMS denies your assisting your counsel in preparing the than the appellant or the Department. request for relevant proprietary relevant appeal or associated ADR; and You means the person requesting the information, you may appeal that denial (2) Those persons in your employ information and the employer. as part of your appeal on the merits directly preparing the appeal or ADR. under 30 CFR part 290. If MMS denies (c) You must ensure that before any § 243.11 When must I request relevant your request in whole or in part after the person reviews the relevant proprietary proprietary information? date your statement of reasons is due in information they: (a) You may obtain relevant your appeal, you may file a (1) Sign and date the certification proprietary information when MMS supplemental statement of reasons. You statement attesting that they have read informs you that an order you received must file this supplement within 60 and understand the confidentiality and is based on such information, advises days after you receive notice that MMS liability agreements; and you of the request procedures under 30 denies your request. (2) Agree to be bound by them. CFR 243.12, and receives your timely (b) You cannot appeal a denial for a (d) You must maintain all certification request for such information. You may request for relevant proprietary statements and provide them to the obtain relevant proprietary information information during ADR. MMS FOIA Officer upon request. only at the time provided in this (e) You must provide all certification section. § 243.15 What must I do before MMS will statements to the MMS FOIA Officer give me the relevant proprietary within 30 days after: (b) If you timely appeal an MMS order information? under 30 CFR 241.51(a)(4) or 30 CFR (1) The Department issues a final 290, you may timely request relevant (a) Your organization’s Chief decision; proprietary information from MMS until Operating Officer or equivalent official (2) You and MMS conclude ADR with the expiration of the time to file your must sign the MMS confidentiality and a final agreement; or statement of reasons. liability agreements. In the agreements, (3) You withdraw the appeal or (c) If you are in ADR, you may request the signing official also must attest to request for ADR. relevant proprietary information until a having the authority to sign them. These (f) You must state on the front of any final settlement is reached or ADR is agreements must be notarized. appeal or ADR document that it terminated. (b) You must agree under the contains relevant proprietary confidentiality and liability agreements information. You also must identify the § 243.12 How do I request relevant to accept all liability of any kind for relevant proprietary information on proprietary information? wrongful disclosure or misuse of the each page or record. (a) You must send a written request proprietary information. Such liability (g) You must return the documents as for relevant proprietary information to: includes, but is not limited to, liability provided in § 243.20. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16121

(h) You are bound by these minimum 30 CFR Parts 202 and 216 Regulatory Flexibility Act requirements whether or not they are set The Department certifies that this forth in the confidentiality agreement. RIN 1010±AC23 proposed rule will not have a significant § 243.18 May MMS require me to meet economic effect on a substantial number Amendments to Standards for of small entities under the Regulatory more stringent confidentiality standards in Reporting and Paying Royalties on some cases? Flexibility Act (5 U.S.C. § 601 et seq.). Gas and the Gas Analysis Report This proposed rule would revise RMP’s MMS, at its discretion, may advise AGENCY: Minerals Management Service rules for reporting gas at the same you in writing that it will hold you to (MMS), Interior. standards as Offshore Minerals more stringent standards. For example, Management’s rules. ACTION: MMS may require that only outside Proposed rulemaking. Executive Order 12630 counsel review relevant proprietary SUMMARY: The Minerals Management information if you have breached a Service proposes to amend its The Department certifies that this previous confidentiality and/or liability regulations requiring operators in the proposed rule does not represent a agreement, or if you are a direct Gulf of Mexico Region to report gas at governmental action capable of competitor of the submitter of the third- the standard conditions of 14.73 psia interference with constitutionally party proprietary information. (instead of 15.025 psia) and adjusted to protected property rights. Thus, a 60 degrees Fahrenheit. This change will Takings Implication Assessment need § 243.19 Am I relieved of the make the regulations consistent with not be prepared under Executive Order confidentiality and liability agreements and proposed changes to 30 CFR Part 250. 12630, ‘‘Governmental Actions and all liability after the appeals process or the Interference with Constitutionally ADR process is over? MMS also proposes to change the requirement for submitting Form MMS– Protected Property Rights.’’ You must comply with the terms of 4055, Gas Analysis Report (GAR), from Paperwork Reduction Act the confidentiality and liability a semiannual basis to submitting a GAR agreements even after the appeals when requested by MMS. This This proposed rule has been examined under the Paperwork process or the ADR process is reduction of reporting will help satisfy Reduction Act of 1995; no new completed. For example, if a final the requirements of the Paperwork reporting and information collection decision is reached through the Reduction Act of 1995 by eliminating reports that are no longer used. requirements are included. The current administrative process or ADR, or you information collection requirements withdraw your appeal or ADR request, DATES: Comments must be received on have been approved by the Office of you will continue to be liable for any or before May 5, 1997. Management and Budget (OMB) under damage resulting from your wrongful ADDRESSES: Comments should be sent 44 U.S.C. § 3501 et seq., and assigned disclosure of the proprietary to: David S. Guzy, Chief, Rules and Clearance Number 1010–0040. information. Procedures Staff, Royalty Management Program, Minerals Management Service, Executive Order 12866 § 243.20 What do I do with the relevant P.O. Box 25165, MS 3101, Denver, This proposed rule does not meet the proprietary information after the appeals Colorado 80225–0165; courier delivery process or the ADR process is over? criteria for a significant rule requiring to Building 85, Denver Federal Center, review by OMB. (a) You must return all relevant Denver, Colorado 80225; or e-Mail Executive Order 12988 proprietary information to the MMS [email protected]. FOIA Officer at the address in § 243.12 Comments received will be posted on The Department has certified to OMB (a), along with all copies, excerpts, or the Internet at http:// that this proposed rule meets the summaries of such information, within www.rmp.mms.gov. applicable reform standards in section 3 60 days after: SUPPLEMENTARY INFORMATION: We are (a) and (b)(2). (1) The Department issues a final limiting the comment period to 30 days Unfunded Mandate Reform Act of 1995 decision; because this proposal is a minor wording change to the existing The Department has determined and (2) You and MMS conclude ADR with regulations, and it parallels the certifies that this proposed rule will not a final agreement; or proposed offshore rule. impose a cost of $100 million or more (3) You withdraw the appeal or The intention of the amendments is to in any given year on local, tribal, State request for ADR. keep the regulations in parts 202 and governments, or the private sector. 216 relating to royalty consistent with National Environmental Policy Act of § 243.21 What happens if I don't return the those relating to offshore minerals 1969 relevant proprietary information? management and to reduced reporting We have determined that this You will be subject to appropriate requirements on the public. MMS is seeking comments on the proposed rulemaking is not a major sanctions including civil penalties Federal action significantly affecting the under 30 CFR Part 241 if you fail to applicable industry standards and practices regarding the pressure at quality of the human environment, and return the relevant proprietary a detailed statement under section information. which gas should be measured. Please comment on whether reporting gas 192(2)(c) of the National Environmental [FR Doc. 97–8689 Filed 4–3–97; 8:45 am] measurement at the standard pressure of Policy Act of 1969 (42 U.S.C. 4332(2)(c)) is not required. BILLING CODE 4310±MR±P 14.73 psia is appropriate or whether some other pressure should be adopted. List of Subjects The principal author of this proposed rulemaking is Lawrence K. Barker of the 30 CFR Part 202 Compliance Verification Division, Coal, Continental shelf, Geothermal Lakewood, Colorado. energy, Government contracts, Indian 16122 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules lands, Mineral royalties, Natural gas, (GAR) (Form MMS–4055) for each sale SUPPLEMENTARY INFORMATION: Petroleum, Public lands-mineral or transfer meter. The form must contain Request for Comments resources, Reporting and recordkeeping accurate and detailed gas analysis requirements. information. This requirement applies Interested parties are invited to to offshore, onshore, or Indian leases. participate in the proposed rulemaking 30 CFR Part 216 (a) MMS may request a GAR when by submitting written views, comments, Coal, Continental shelf, Geothermal you sell gas or transfer gas for or arguments. Persons submitting energy, Government contracts, Indian processing before the point of royalty comments should include their names lands, Mineral royalties, Natural gas, computation. and addresses, identify the bridge and Penalties, Petroleum, Public lands- (b) When MMS first requests this give reasons for concurrence with or any mineral resources, Reporting and report, the report is due within 30 days. recommended change in this proposal. recordkeeping requirements. If MMS requests subsequent reports, Please submit two copies of all comments and attachments in an Dated: March 27, 1997. they will be due no later than 45 days unbound format, no larger than 81⁄2 by Bob Armstrong, after the month covered by the report. 11 inches, suitable for electronic filing. Assistant Secretary—Land and Minerals [FR Doc. 97–8721 Filed 4–3–97; 8:45 am] Persons desiring acknowledgement that Management. BILLING CODE 4310±MR±P their comments have been received For the reasons set out in the should enclose a stamped, self- preamble, 30 CFR Parts 202 and 216 are addressed postcard or envelope. proposed to be amended as follows: DEPARTMENT OF TRANSPORTATION The Coast Guard plans no public PART 202ÐROYALTIES hearing. Persons may request a public Coast Guard hearing by writing to the Eighth Coast 1. The authority citation for part 202 Guard District at the address under continues to read as follows: 33 CFR Part 117 ADDRESSES. The request should include Authority: 5 U.S.C. 301 et seq.; 25 U.S.C. [CGD08±97±007] reasons why a hearing would be 396 et seq., 396a et seq., 2101 et seq.; 30 beneficial. If it is determined that the U.S.C. 181 et seq., 351 et seq., 1001 et seq., RIN 2115±AE47 opportunity for oral presentations will 1701 et seq.; 31 U.S.C. 9701; 43 U.S.C. 1301 aid in the implementation of this Drawbridge Operation Regulation; et seq., 1331 et seq., 1801 et seq. rulemaking, the Coast Guard will hold Lake Pontchartrain, LA Subpart DÐFederal and Indian Gas a public hearing at a time and place AGENCY: Coast Guard, DOT. announced by a later notice in the 2. Section 202.152(a)(1) is revised to ACTION: Notice of proposed rulemaking. Federal Register. Because of the need to read as follows: proceed to final rule by June 1997, a 30 SUMMARY: The Coast Guard proposes to day comment period is being used. The § 202.152 Standards for reporting and affected area is a small geographic area; paying royalties on gas. temporarily change the regulation for the operation of the north bascule twin notice of publication will be provided in (a)(1) If you are responsible for span drawbridges across Lake the local notice to mariners, and local reporting production or royalties, you Pontchartrain between Metairie and business will be contacted. must: Mandeville, Louisiana to authorize them The Coast Guard will evaluate all (A) Report gas volumes and Btu to remain closed to navigation from June comments received and determine a heating values, if applicable, under the 9, 1997, until October 10, 1997, except course of final action on this proposal. same degree of water saturation as on alternating weekends. On alternating The proposed regulation may be stated in your sales contract; changed in the light of comments (B) Report gas volumes in units of weekends during this period when received. 1,000 cubic feet (mcf); and working is not being conducted, the (C) Report gas volumes and Btu draws will open if 3 hours notice is Background and Purpose given. This action is necessary to heating value at a standard pressure The north bascule span of the Greater base of 14.73 psia and a standard facilitate cleaning and painting of the bascule structures. New Orleans Expressway Commission temperature base of 60 degrees (GNOEC) across Lake Pontchartrain, DATES: Comments must be received on Fahrenheit. Louisiana has a vertical clearance of 42 or before May 5, 1997. * * * * * feet above mean high water in the ADDRESSES: Unless otherwise indicated, closed to navigation position and PART 216ÐPRODUCTION documents referred to in this preamble unlimited clearance in the open to ACCOUNTING are available for inspection or copying navigation position. The Lake 1. The authority citation for part 216 at the office of the Eighth Coast Guard Pontchartrain Causeway South Channel continues to read as follows: District, Bridge Administration Branch, fixed span offers an alternate route with Hale Boggs Federal Building, room Authority: 5 U.S.C. 301 et seq.; 25 U.S.C. a vertical clearance of 50 feet above 1313, 501 Magazine Street, New mean high water. Navigation on the 396 et seq., 396a et seq., 2101 et seq.; 30 Orleans, Louisiana 70130–3396 between U.S.C. 181 et seq., 351 et seq., 1001 et seq., waterway consists of small tugs with 1701 et seq.; 31 U.S.C. 3716, 3720A, 9701; 43 7 a.m. and 4 p.m., Monday through tows, fishing vessels, sailing vessels, U.S.C. 1301 et seq., 1331 et seq., 1801 et seq. Friday, except Federal holidays. The and other recreational craft. telephone number is (504) 589–2965. For protection of the environment, the Subpart BÐOil and Gas, General Commander (ob) maintains the public cleaning and painting operation requires docket for this proposed temporary rule. 2. Section 216.54 is revised to read as a fully enclosed system with negative Comments may be submitted to the follows: air pressure. The special equipment above address. used for this procedure has to be § 216.54 Gas Analysis Report. FOR FURTHER INFORMATION CONTACT: removed each time the draw span is When requested by MMS, any Phil Johnson, Bridge Administration opened. Since this process is time operator must file a Gas Analysis Report Branch, (504) 589–2965. consuming and costly, the equipment Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16123 should remain in place for 12-day significant under the Regulatory Policies a significant economic impact on a periods, allowing the contractor to and Procedures of the Department of substantial number of small entities. If, maximize work time. Transportation (DOT) (44 FR 11040, however, you think that your business Painting operations in the February 26, 1979). The Coast Guard or organization qualifies as a small counterweight area will require the expects the economic impact of this entity and that this will have a bridge to be placed in the open to temporary rule to be so minimal that a significant economic impact, please navigation position. During the time in full Regulatory Evaluation under comment, explaining why your business which the span of one bridge is in the paragraph 10e of the regulatory policies or organization qualifies, and to what open position to be painted, the span of and procedures of DOT is unnecessary. degree this proposed rule will the other bridge will need to be closed Bridge tender logs for 46 random economically effect it. to detour vehicular traffic. High weeks throughout 1996 and early 1997 weekday traffic volumes and the were obtained from GNOEC. The Collection of Information requirement to paint during daylight records showed that, other than during This proposed temporary rule will require that the work be done on weeks with holidays or during weeks contains no collection-of-information weekends. Records obtained from the when sailboat regattas transit the bridge, requirements under the Paperwork GNOEC indicate that most of the marine an average of 6 vessels per week Reduction Act (44 U.S.C. 3501 et seq.). traffic requiring a bridge opening is required openings of the draw spans. Federalism recreational sailboat traffic which Out of 259 vessels which required normally transits the bridge on bridge openings, 224 were recreational The Coast Guard has analyzed this weekends. Therefore, painting of the sailboats, 32 were commercial vessels, 1 proposal in under the principles and counterweight areas will only be was a commercial fishing vessel and 2 criteria contained in Executive Order conducted every other weekend. The were U.S. Coast Guard construction 12612, and it has been determined that bridge will operate normally on the tenders. On average, 87% of all vessels this rule does not have sufficient alternate weekends, when painting of requiring a bridge opening were federalism implications to warrant the the counterweight areas is not being recreational sailboats. preparation of a Federalism Assessment. conducted, and on the weekends of The Coast Guard canvassed the small Environment Independence Day and Labor Day, business community by contacting boat including adjoining Federal weekday yards, marinas and restaurants which The Coast Guard considered the holidays. operate waterfront facilities in the Lake environmental impact of this proposed The Coast Guard proposes to Pontchartrain area. They were asked if temporary rule and concluded that temporarily change the regulation for the proposed temporary rule would under paragraph 2.B.2.g(5) of the operation of the Greater New have an economic impact on their Commandant Instruction M16475.1B, Orleans Expressway Commission businesses. None of the business this proposed temporary rule is Causeway, north bascule span so that operators indicated that the proposed categorically excluded from further the draws need not open for the passage temporary rule would severely impact environmental documentation. A of vessels from June 9, 1997 to October them. One business stated there could ‘‘Categorical Exclusion Determination’’ 10, 1997 except that on the following be minor economic impact, but based on is available in the docket for inspection dates the draws will open on signal if the fact that only an average of 6 vessels or copying where indicated under three hours notice is given: June 21 and per week require an opening, and that ADDRESSES. 22; July 4, 5 and 6, July 19 and 20, sailboats which require more than the List of Subjects in 33 CFR Part 117 August 2 and 3, August 16, and 17, 50 feet of clearance available at the August 30 and 31 and September 1, South Channel Span, would be able to Bridges. September 13 and 14 and September 27 schedule transits through the North Regulation and 28, 1997. In the event of an Channel Draw every other weekend, no For the reasons set out in the approaching tropical storm or hurricane, significant impacts would be preamble, the Coast Guard is amending the bridge will be returned to the anticipated. 33 CFR Part 117 as follows: normal operation within 24 hours. Small Entities The Greater New Orleans Expressway PART 117Ð[AMENDED] Commission has requested this Under the Regulatory Flexibility Act temporary rule so that cleaning and (5 U.S.C. 601 et seq.), the Coast Guard 1. The authority citation for part 117 painting of the structure can be must consider whether this proposed continues to read as follows: accomplished. The short term temporary rule will have a significant Authority: 33 U.S.C. 499; 49 CFR 1.46; and inconvenience, attributable to a delay of economic impact on a substantial 33 CFR 1.05–1(g); section 117.255 also issued vessel traffic for a maximum of twelve number of small entities. ‘‘Small under the authority of Pub. L. 102–587, 106 days at any time during this period, is entities’’ may include (1) small Stat. 5039. outweighed by the long term benefits to businesses and not-for-profit 2. In § 117.467 a new paragraph (c) to be gained by keeping the bridge free of organizations that are independently read as follows: corrosion and in proper working owned and operated and are not condition. dominant in their fields and (2) § 117.467 Lake Pontchartrain. governmental jurisdictions with * * * * * Regulatory Evaluation populations of less than 50,000. Several (c) From 7 a.m. on June 9, 1997 This proposed temporary rule is not a small businesses were individually through 6 p.m. on October 10, 1997, significant regulatory action under contacted and requested to verbally paragraph (b) does not apply and, the section 3(f) of Executive Order 12866 comment on the potential economic draws of the Greater New Orleans and does not require an assessment of impacts that the proposed temporary Expressway Commission Causeway, potential cost and benefits under section rule could have on them. Based on the north bascule span need not open for 6(a)(3) of that order. It has not been comments obtained, the Coast Guard the passage of vessels; except that on the reviewed by the Office of Management certifies under 5 U.S.C. 605(b) that this following dates the draws will open on and Budget under that order. It is not proposed temporary rule will not have signal if three hours notice is given: 16124 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules

June 21 and 22; July 4, 5 and 6, July 19 SUPPLEMENTARY INFORMATION: operating permits program. Pima’s and 20, August 2 and 3, August 16 and I. Background and Purpose submittal includes an opinion from the 17, August 30 and 31 and September 1, County Attorney regarding the adequacy September 13 and 14 and September 27 As required under title V of the Clean of the laws of the State of Arizona and and 28, 1997. In the event of an Air Act as amended (1990), EPA has Pima’s amended title V program. The approaching tropical storm or hurricane, promulgated rules that define the County Attorney states: minimum elements of an approvable the draws will return to normal [I]t is my opinion that the laws of the state operation within 24 hours. state operating permits program and the of Arizona provide adequate authority to corresponding standards and Dated: March 24, 1997. carry out all aspects of the amended program procedures by which the EPA will submitted by the Pima County Air Quality T.W. Josiah, approve, oversee, and withdraw Control District to the EPA. * ** Rear Admiral, U.S. Coast Guard, Commander, approval of state operating permits [T]he Arizona Revised Statutes and Pima Eighth Coast Guard District. programs (see 57 FR 32250 (July 21, County Code, Title 17, ensure that permit [FR Doc. 97–8507 Filed 4–3–97; 8:45 am] 1992)). These rules are codified at 40 fees assessed as part of the Title V (Class 1) BILLING CODE 4910±14±M permit program will cover all reasonable CFR Part 70. Title V requires states to direct and indirect costs required to develop, develop and submit to EPA, by administer, and enforce Pima County’s Title November 15, 1993, programs for V Permit Program. ENVIRONMENTAL PROTECTION issuing these operating permits to all AGENCY major stationary sources and to certain C. Permit Fee Demonstration other sources. The EPA’s program Each title V program submittal must 40 CFR Part 70 review occurs pursuant to section 502 of contain either a detailed demonstration [AD±FRL±5806±2] the Act, which outlines criteria for of fee adequacy or a demonstration that approval or disapproval. aggregate fees collected from title V Clean Air Act Proposed Approval of On November 15, 1993, Pima’s title V sources meet or exceed $25 per ton of Amendment to Title V Operating program was submitted. EPA proposed emissions per year (adjusted from 1989 Permits Program; Pima County interim approval of the program on July by the Consumer Price Index (CPI)). Department of Environmental Quality, 13, 1995 (60 FR 36083). The fee Pima has submitted a detailed fee Arizona provisions of the program were found to analysis that demonstrates the fees it be fully approvable. On November 14, will collect under the amended rules are AGENCY: Environmental Protection adequate to cover program costs. Agency (EPA). 1995, in response to changes in state law, Pima amended its fee provisions Title V emission fees. Pima’s fee ACTION: Proposed rule. under Chapter 12, Article VI of Title 17 provisions require that the owner or SUMMARY: The EPA proposes approval of of the Pima County Air Quality Control operator of each source required to the revision to the Operating Permits Code. Those changes were submitted to obtain a title V permit shall pay an Program submitted by the Arizona EPA on January 14, 1997, after it annual emissions fee equal to $28.15 per Department of Environmental Quality promulgated final interim approval of year per ton of actual emissions of all (‘‘ADEQ’’) on behalf of the Pima County Pima’s title V program (61 FR 55910, regulated air pollutants, or a specified Department of Environmental Quality October 30, 1996). minimum, whichever is greater. See 17.12.510.C. and 17.12.510.C.5. (‘‘Pima’’ or ‘‘County’’) for the purpose of II. Proposed Action complying with section 502(b)(3) of the Beginning in 1994, the emissions fee Clean Air Act (‘‘the Act’’), which EPA is proposing to approve the rate is adjusted to reflect the increase, if requires that each permitting authority submitted amendments to the fee any, in the Consumer Price Index. See collect fees sufficient to cover all provisions of Pima’s title V operating 17.12.510.C.4. Emission fees are used by Pima to reasonable direct and indirect costs permits program. A description of the cover the costs of the Title V related required to develop and administer its submitted materials and an analysis of activities not covered by title V permit title V operating permits program. the amendments are included below. fees. These activities are inspection DATES: Comments on this proposed A. Submitted Materials services and associated direct and action must be received in writing by Pima’s title V program amendment indirect costs. Pima estimates the May 5, 1997. was submitted by the Arizona DEQ on annual cost of these activities to be ADDRESSES: Comments must be January 14, 1997. The submittal $68,640. Based upon known sources submitted to Ginger Vagenas at EPA, includes the revised fee regulations and emissions reported by the sources, AIR–3, 75 Hawthorne Street, San (Chapter 12, Article VI of Title 17 of the and using the emission fee ($28.15 per Francisco, CA 94105. Copies of Pima’s Pima County Air Quality Control Code ton, indexed to the CPI beginning in submittal and other supporting as amended on November 14, 1995), a 1994) and the fee schedule, the County information used in developing this technical support document, and a legal estimates its annual revenue from proposed approval are available for opinion by the County Attorney. emissions fees will be $70,100. inspection (AZ–Pima–97–1–OPS) Additional materials, including proof of Permit fees. Pima’s fee provisions during normal business hours at the adoption and a commitment to provide require that applicants for permits to following location: U.S. Environmental periodic updates to EPA regarding the construct and operate that are subject to Protection Agency, Region 9; 75 status of the fee program, were title V must pay the total actual cost of Hawthorne Street; San Francisco, CA submitted on February 26, 1997. reviewing and acting upon applications 94105. for permits and permit revisions. See FOR FURTHER INFORMATION CONTACT: B. Legal Opinion 17.12.510.G. and 17.12.510.I. These fees Ginger Vagenas (telephone 415–744– Section 502(b)(3) of the Act requires are used to cover the cost of issuing 1252), Mail Code AIR–3, U.S. that each permitting authority collect permits. Pima estimated the permitting Environmental Protection Agency, 75 fees sufficient to cover all reasonable related average hourly billing costs for Hawthorne Street, San Francisco, CA direct and indirect costs required to permitting of title V facilities, including 94105. develop and administer its title V salary, fringe benefits, direct non-salary Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16125 costs and indirect costs including cost (2) to serve as the record in case of FEDERAL EMERGENCY estimates of various types of permit judicial review. The EPA will consider MANAGEMENT AGENCY related activities. The estimated hourly any comments received by May 5, 1997. cost is $53.60. 44 CFR Part 67 B. Regulatory Flexibility Act Because state law caps hourly fees at [Docket No. FEMA±7211] $53.00, Pima’s hourly charges are The EPA’s actions under section 502 capped at $53.00. See 17.12.510.M. of the Act do not create any new Proposed Flood Elevation Although this cap is 60 cents per hour requirements, but simply address Determinations less than the District’s estimated hourly operating permits programs submitted AGENCY: Federal Emergency costs for permit processing, EPA finds to satisfy the requirements of 40 CFR Management Agency, FEMA. this provision to be fully approvable. part 70. Because this action does not Given the inherent uncertainty in the impose any new requirements, it does ACTION: Proposed rule. not have a significant impact on a cost estimates, EPA believes that the SUMMARY: Technical information or substantial number of small entities. difference is insignificant and unlikely comments are requested on the to cause a shortfall in revenues. Further, C. Unfunded Mandates proposed base (1% annual chance) flood Pima is tracking its program costs and elevations and proposed base flood revenues and has committed to provide Under section 202 of the Unfunded elevation modifications for the EPA with periodic updates that will Mandates Reform Act of 1995 communities listed below. The base demonstrate whether fee revenues are (‘‘Unfunded Mandates Act’’), signed flood elevations are the basis for the meeting the costs of the program. If EPA into law on March 22, 1995, EPA must floodplain management measures that finds that the County is not collecting prepare a budgetary impact statement to the community is required either to fees sufficient to fund the title V accompany any proposed or final rule adopt or to show evidence of being program, it will require a program that includes a federal mandate that already in effect in order to qualify or revision. may result in estimated costs to state, remain qualified for participation in the In addition to imposing a cap on local, or tribal governments in the National Flood Insurance Program hourly fees, state law also limits the aggregate; or to the private sector, of (NFIP). $100 million or more. Under section maximum chargeable fee for issuing and DATES: The comment period is ninety revising permits. State law and Pima 205, EPA must select the most cost- effective and least burdensome (90) days following the second regulations cap Title V permit issuance publication of this proposed rule in a fees at $30,000. See 17.12.510.G. Pima alternative that achieves the objectives of the rule and is consistent with newspaper of local circulation in each estimates processing costs for permit community. issuance at $21,484. Fees for processing statutory requirements. Section 203 ADDRESSES: The proposed base flood permit revisions are capped at $25,000 requires EPA to establish a plan for elevations for each community are for significant revisions and $10,000 for informing and advising any small available for inspection at the office of minor permit revisions. See 17.12.510.I. governments that may be significantly the Chief Executive Officer of each Because the workload associated with or uniquely impacted by the rule. community. The respective addresses these classes of permit revisions is The EPA has determined that the are listed in the following table. likely to vary a great deal, Pima did not approval action promulgated today does attempt to estimate the cost of these not include a federal mandate that may FOR FURTHER INFORMATION CONTACT: actions. The County believes that costs result in estimated costs of $100 million Frederick H. Sharrocks, Jr., Chief, for permit revisions will be less than the or more to either state, local, or tribal Hazard Identification Branch, Mitigation maximum allowable fees. (See letter to governments in the aggregate, or to the Directorate, 500 C Street SW., Dave Howekamp, EPA, from David private sector. This federal action Washington, DC 20472, (202) 646–2796. Esposito, Pima County, dated February approves pre-existing requirements SUPPLEMENTARY INFORMATION: The 17, 1997.) EPA will periodically review under state or local law, and imposes no Federal Emergency Management Agency the County program to ensure adequate new federal requirements. Accordingly, (FEMA or Agency) proposes to make fees are collected. no additional costs to state, local, or determinations of base flood elevations tribal governments, or to the private and modified base flood elevations for III. Administrative Requirements sector, result from this action. each community listed below, in accordance with section 110 of the A. Request for Public Comments D. Executive Order 12866 Flood Disaster Protection Act of 1973, The EPA is requesting comments on The Office of Management and Budget 42 U.S.C. 4104, and 44 CFR 67.4(a). all aspects of this proposed approval. has exempted this action from Executive These proposed base flood and Copies of Pima’s submittal and other Order 12866 review. modified base flood elevations, together information relied upon for the with the floodplain management criteria proposed interim approval are List of Subjects in 40 CFR Part 70 required by 44 CFR 60.3, are the contained in a docket (AZ–Pima–97–1– Environmental protection, minimum that are required. They OPS) maintained at the EPA Regional Administrative practice and procedure, should not be construed to mean that Office. The docket is an organized and Air pollution control, Intergovernmental the community must change any complete file of all the information relations, Operating permits, Reporting existing ordinances that are more submitted to, or otherwise considered and recordkeeping requirements. stringent in their floodplain by, EPA in the development of this management requirements. The Authority: 42 U.S.C. 7401–7671q. proposed interim approval. The community may at any time enact principal purposes of the docket are: Dated: March 23, 1997. stricter requirements of its own, or (1) to allow interested parties a means Felicia Marcus, pursuant to policies established by other to identify and locate documents so that Regional Administrator. Federal, state or regional entities. These they can effectively participate in the [FR Doc. 97–8691 Filed 4–3–97; 8:45 am] proposed elevations are used to meet approval process, and BILLING CODE 6560±50±P the floodplain management 16126 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules requirements of the NFIP and are also maintain community eligibility in the List of Subjects in 44 CFR Part 67 used to calculate the appropriate flood National Flood Insurance Program. As a insurance premium rates for new result, a regulatory flexibility analysis Administrative practice and buildings built after these elevations are has not been prepared. procedure, Flood insurance, Reporting made final, and for the contents in these and recordkeeping requirements. Regulatory Classification buildings. Accordingly, 44 CFR part 67 is This proposed rule is not a significant proposed to be amended as follows: National Environmental Policy Act regulatory action under the criteria of This proposed rule is categorically section 3(f) of Executive Order 12866 of PART 67Ð[AMENDED] excluded from the requirements of 44 September 30, 1993, Regulatory CFR part 10, Environmental Planning and Review, 58 FR 51735. 1. The authority citation for part 67 Consideration. No environmental continues to read as follows: impact assessment has been prepared. Executive Order 12612, Federalism This proposed rule involves no Authority: 42 U.S.C. 4001 et seq.; Regulatory Flexibility Act policies that have federalism Reorganization Plan No. 3 of 1978, 3 CFR, The Executive Associate Director, implications under Executive Order 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Mitigation Directorate, certifies that this 12612, Federalism, dated October 26, 3 CFR, 1979 Comp., p. 376. proposed rule is exempt from the 1987. § 67.4 [Amended] requirements of the Regulatory Flexibility Act because proposed or Executive Order 12778, Civil Justice 2. The tables published under the modified base flood elevations are Reform authority of § 67.4 are proposed to be required by the Flood Disaster This proposed rule meets the amended as follows: Protection Act of 1973, 42 U.S.C. 4104, applicable standards of section 2(b)(2) of and are required to establish and Executive Order 12778.

#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified

Connecticut ...... Weston (Town) West Branch Saugatuck At Westport/Weston corporate limit ...... *44 *47 Fairfield County. River. Approximately 170 feet upstream of Kra- None *444 mer Lane. Beaver Brook ...... Approximately 40 feet upstream of con- *78 *77 fluence with Saugatuck River. Approximately 840 feet upstream of *82 *81 Slumber Corners bridge. Jenning's Brook ...... At the confluence with Saugatuck River .. *124 *125 Approximately 420 feet above the con- *131 *130 fluence with Saugatuck River. Maps available for inspection at the Weston Building Office, 56 Norfield Road, Weston, Connecticut. Send comments to Mr. George Guidera, First Selectman of the Town of Weston, 56 Norfield Road, Weston, Connecticut 06883.

Connecticut ...... Westport (Town) West Branch, Saugatuck At approximately 550 feet above con- *31 *32 Fairfield County. River. fluence with Saugatuck River. At approximately 1,400 feet upstream of None *93 Newton Turnpike. Maps available for inspection at the Westport Town Hall, Office of the Town Planner, 110 Myrtle Avenue, Westport, Connecticut. Send comments to Mr. Joseph P. Arcudi, First Selectman of the Town of Westport, 110 Myrtle Avenue, Town Hall, Westport, Connecticut 06880.

New York ...... Fort Ann (Town) Copeland Pond ...... Entire shoreline within community ...... None *453 Washington County. Hadlock Pond ...... Entire shoreline within community ...... None *458 Lakes Pond ...... Entire shoreline within community ...... None *864 Lake Nebo ...... Entire shoreline within community ...... None *843 Lake George ...... Entire shoreline within community ...... None *321 Maps available for inspection at the Fort Ann Town Clerk's office, Route 4 in the Village of Fort Ann, Fort Ann, New York. Send comments to Mr. John Aspland, Fort Ann Town Supervisor, RR 1, Box 1303, Fort Ann, New York 12827.

New York ...... Sag Harbor (Vil- Sag Harbor Bay ...... Approximately 400 feet east of the inter- *10 *9 lage) Suffolk section of Harding Terrace and Taft County. Place. Approximately 350 feet north of the inter- *12 *11 section of Harding Terrace and Taft Place. Maps available for inspection at the Village Office, 55 Main Street, Sag Harbor, New York. Send comments to The Honorable Pierce W. Hance, Mayor of the Village of Sag Harbor, P.O. Box 660, Sag Harbor, New York 11963. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16127

#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified

New York ...... Southampton Seatuck Creek ...... North of Main Street ...... None *9 (Town) Suffolk County. Maps available for inspection at the Southampton Town Hall, Building and Zoning Department, 116 Hampton Road, Southampton, New York. Send comments to Mr. Vincent J. Cannuscio, Southampton Town Supervisor, 116 Hampton Road, Southampton, New York 11968.

Maryland ...... Frederick County Fishing Creek ...... Approximately 0.27 mile downstream of None *274 (Unincorporated Devilbiss Bridge Road. Areas). Approximately 0.84 mile upstream of None *665 Mountaindale Road. Fishing Creek ...... At confluence with Fishing Creek ...... None *471 Diversion Channel ...... At divergence from Fishing Creek ...... None *523 Maps available for inspection at the Winchester Hall, 12 East Church Street, Frederick, Maryland. Send comments to Mr. Mark Hoke, President of the Board of County Commissioners, 12 East Church Street, Frederick, Maryland 21701.

Michigan ...... Broomfield (Town- Chippewa River ...... Approximately 300 feet downstream of None *857 ship) Isabella the downstream corporate limits, ap- County. proximately 0.4 mile upstream of River Road. Approximately 0.3 mile upstream of the None *861 upstream corporate limits, approxi- mately 0.8 mile downstream of School Road. Chippewa River (Lake Isa- For the entire shoreline within the com- None *899 bella). munity. Maps available for inspection at the Broomfield Township Hall, 2915 South Rolland Road, Remus, Michigan. Send comments to Ms. Betty Findley, Broomfield Township Supervisor, 4620 South Brinton, Remus, Michigan 49340.

Michigan ...... Chippewa (Town- Chippewa River ...... At downstream corporate limits (county None *685 ship) Isabella boundary). County. Approximately 2.4 miles upstream of None *730 Leafon Road. Maps available for inspection at the Chippewa Town Hall, 11050 East Pickard Road, Mount Pleasant, Michigan. Send comments to Mr. George Grim, Chippewa Township Supervisor, P.O. Box 459, Shepherd, Michigan 48883.

Michigan ...... Coldwater (Town- Chippewa River ...... At Vernon Road ...... None *939 ship) Isabella Approximately 0.47 mile upstream of Ver- None *941 County. non Road. Maps available for inspection at the Coldwater Township Hall, 7450 West Grass Lake Road, Lake, Michigan. Send comments to Mr. James Dague, Coldwater Township Supervisor, 11023 West Battle Road, Lake, Michigan 48632.

Michigan ...... Deerfield (Town- Chippewa River ...... Approximately 800 feet downstream of None *778 ship) Isabella Meridian Road. None *861 County. Approximately 200 feet upstream of up- stream corporate limits. Maps available for inspection at the Office of the Deerfield Township Clerk, 4385 West Pickard Road, Mt. Pleasant, Michigan. Send comments to Mr. Edwin Courser, Deerfield Township Supervisor, 1850 South Gilmore Road, Mt. Pleasant, Michigan 48858.

Michigan ...... Mt. Pleasant (City) Chippewa River ...... Approximately 1,200 feet upstream of None *745 Isabella County. Mission Road. *763 *764 Approximately 1.1 miles downstream of Lincoln Road. Maps available for inspection at the Mt. Pleasant City Hall, 401 North Main Street, Mt. Pleasant, Michigan. Send comments to The Honorable Susan Smith, Mayor of the City of Mt. Pleasant, 401 North Main Street, Mt. Pleasant, Michigan 48858.

Michigan ...... Nottawa (Township) Chippewa River ...... Approximately 200 feet downstream of None *860 Isabella County. the downstream corporate limits. None *862 Approximately 900 feet upstream of the upstream corporate limits. Maps available for inspection at the Nottawa Township Supervisor's Office, 4668 North LaPearl Road, Weidman, Michigan. Send comments to Mr. James W. Faber, Nottawa Township Supervisor, 4668 North LaPearl Road, Weidman, Michigan 48893.

Michigan ...... Sherman (Town- Chippewa River ...... At the downstream corporate limits ...... None *861 ship) Isabella At Vernon Road ...... None *939 County. 16128 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules

#Depth in feet above ground. *Elevation in feet State City/town/county Source of flooding Location (NGVD) Existing Modified

Maps available for inspection at the Sherman Township Hall, 3550 North Rolland Road, Weidman, Michigan. Send comments to Mr. Thayne Sizes, Sherman Township Supervisor, 3550 North Rolland Road, Weidman, Michigan 48893.

Michigan ...... Union (Charter Chippewa River ...... Approximately 2.3 miles upstream of None *730 Township) Isa- Leaton Road. None *780 bella County. At Meridian Road ...... Maps available for inspection at the Union Township Hall, 2010 South Lincoln Road, Mt. Pleasant, Michigan. Send comments to Mr. Jim Collin, Union Charter Township Supervisor, 2010 South Lincoln Road, Mt. Pleasant, Michigan 48858.

North Carolina ...... Raleigh (City) Wake Neuse River ...... Approximately 1.13 miles upstream of *171 *172 County. State Route 2555. *181 *182 Approximately 2,000 feet upstream of Milburn Dam. Maps available for inspection at the Raleigh City Hall, Planning Department, 222 West Hargett, Room 307, Raleigh, North Carolina. Send comments to The Honorable Tom Fetzer, Mayor of the City of Raleigh, P.O. Box 590, Raleigh, North Carolina 27602.

North Carolina ...... Wake County (unin- Neuse River (Basin 15, Upstream side of State Route 2509 ...... *163 *164 corporated areas). Stream 1). Approximately 2,000 feet upstream of *181 *182 Milburn Dam. Maps available for inspection at the Wake County Office Building, Engineering Department, 336 South Salisbury Street, Raleigh, North Carolina. Send comments to Mr. Richard Stephens, Wake County Manager, 337 South Salisbury Street, Raleigh, North Carolina 27601.

South Carolina ...... Mullins (City) Mar- Fowler Branch ...... At corporate limits ...... None *86 ion County. At State Route 41 ...... None *92 White Oak Creek ...... Approximately 1,975 feet downstream of None *72 Cleveland Street. Approximately 350 feet upstream of U.S. None *87 Route 76. Maps available for inspection at the Mullins City Hall, 161 Northeast Front Street, Mullins, South Carolina. Send comments to The Honorable Wayne George, Mayor of the City of Mullins, P.O. Box 408, Mullins, South Carolina 29574.

Vermont ...... Waterbury (Town) Winooski River ...... At Bolton Falls Dam ...... *405 *409 Washington Approximately 1,400 feet downstream of *433 *432 County. the most upstream corporate limits. Maps available for inspection at the Waterbury Town Office, 51 South Main Street, Waterbury, Vermont. Send comments to Mr. William Shepeluk, Waterbury Town Manager, 51 South Main Street, Waterbury, Vermont 05676.

Vermont ...... Waterbury (Village) Winooski River ...... At U.S. Route 2 bridge ...... *427 *426 Washington Approximately 700 feet upstream of U.S. *428 *427 County. Route 2 bridge. Maps available for inspection at the Waterbury Village Office, 51 South Main Street, Waterbury, Vermont. Send comments to Mr. William Shepeluk, Waterbury Village Manager, 51 South Main Street, Waterbury, Vermont 05676.

Virginia ...... Pulaski County (un- Claytor Lake/ New River .. At downstream county boundary ...... None *1,666 incorporated Approximately 6.9 miles upstream of con- None *1,868 areas). fluence of Sloan Branch. Little River ...... At confluence with New River ...... None *1,759 At upstream county boundary ...... None *1,836 Peak Creek ...... Approximately 0.6 mile downstream of None *1,865 the confluence of Thorne Springs Branch. At Town of Pulaski corporate limit ...... None *1,887 Maps available for inspection at the Pulaski County Administration Building, 143 Third Street NW, Suite 1, Pulaski, Virginia. Send comments to Mr. Joseph N. Morgan, Pulaski County Administrator, 143 Third Street, NW, Suite 1, Pulaski, Virginia 24301.

(Catalog of Federal Domestic Assistance No. 83.100, ‘‘Flood Insurance.’’) Dated: March 27, 1997. Richard W. Krimm, Executive Associate Director, Mitigation Directorate. [FR Doc. 97–8661 Filed 4–3–97; 8:45 am] Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16129

FEDERAL COMMUNICATIONS comment on a broad plan for the 36– Regulatory Flexibility Analysis COMMISSION 51.4 GHz bands. (‘‘IRFA’’) of the expected significant DATES: Comments must be submitted on economic impact on small entities by 47 CFR Parts 2 and 25 or before May 5, 1997. the policies proposed in this Notice of Proposed Rulemaking. [IB Docket No. 97±95; FCC 97±85] FOR FURTHER INFORMATION CONTACT: Virginia Marshall, Attorney, Satellite Summary of the Notice of Proposed Policy Branch, International Bureau, Spectrum Allocation Proposals for Rulemaking Fixed-Satellite, Fixed, Mobile, and (202) 418–0778; Kathleen Campbell, Government Operations International Bureau, (202) 418–0753. 1. This Notice presents and seeks SUPPLEMENTARY INFORMATION: This is a comment on a band plan for the 36–51.4 AGENCY: Federal Communications summary of the Commission’s Notice of GHz frequency band. The Commission Commission. Proposed Rulemaking in IB Docket No. developed this band plan to ACTION: Proposed rule. 97–95; FCC 97–85, adopted March 13, accommodate satellite services in a 1997 and released March 24, 1997. The manner that does not disrupt existing SUMMARY: By this Notice of Proposed complete text of the Notice of Proposed terrestrial services in these bands. Prior Rulemaking, the Commission proposes Rulemaking is available for inspection Commission proceedings regarding to designate 4 gigahertz of spectrum and copying during normal business these bands focused primarily on predominantly for Fixed-Satellite hours in the FCC Reference Center Services (‘‘FSS’’). These proposals are terrestrial operations. More recently, the (Room 239), 1919 M Street, NW., Commission has received requests for for the 37.5–38.5 GHz, 40.5–41.5 GHz, Washington, DC and also may be and 48.2–50.2 GHz bands. The alternative uses of the spectrum, purchased from the Commission’s copy including a proposal for a non- Commission also proposes allocations contractor, International Transcription for the 37.0–38.0 GHz, 40.0–40.5 GHz, geostationary orbit fixed satellite Service, (202) 857–3800, 2100 M Street, system. 40.5–42.5 GHz and 46.9–47.0 GHz NW., Suite 140, Washington, DC 20037. bands. The Commission solicits This Notice of Proposed Rulemaking 2. Due to the difficulty of sharing comment on sharing with Government contains no information collections or between ubiquitous terrestrial and users in the bands proposed primarily third party disclosure requirements satellite licensees in the same frequency for satellite services. In addition, to subject to the Paperwork Reduction Act band the Commission developed a band place today’s proposals in context and of 1995, Public Law 104–13 (PRA). plan that designates spectrum for because some parties have submitted As required by Section 603 of the different types of high-density services. proposals that cross some of these Regulatory Flexibility Act, the The band plan is depicted in the bands, this Notice sets forth and seeks Commission has prepared an Initial following table:

Frequencies Proposed commercial designations Other permissible operations

36.0±37.0 GHz ...... No Change ...... Current and Proposed Government Earth Exploration-Satellite/ Space Research, Fixed, and Mobile. 37.0±37.5 GHz ...... Wireless Services ...... Proposed addition of Government co-primary Space Research allocation to the 37.0±38.0 GHz band.1 37.5±38.5 GHz ...... FSS (NGSO) and possible Wireless Underlay Proposed addition of Government co-primary Space Research allocation to the 37.0±38.0 GHz band. 38.5±38.6 GHz ...... Wireless Services. 38.6±40.0 GHz 2 ...... Wireless Services. 40.0±40.5 GHz ...... Wireless Services ...... Proposed addition of Government co-primary Space Research and Earth Exploration-Satellite allocation to 40.0±40.5 GHz. 40.5±41.5 GHz ...... FSS (GSO) and possible Wireless Underlay. 41.5±42.5 GHz 3 ...... Wireless Services 42.5±43.5 GHz ...... No Change ...... Current Government Radioastronomy. 43.5±45.5 GHz ...... No Non-Government Allocation ...... Current Government FSS (Military). 45.5±46.7 GHz ...... No Change ...... Future Government Mobile, MSS, and Radionavigation-Sat- ellite. 46.7±46.9 GHz ...... No Change ...... Current Unlicensed Commercial Vehicular Radar and Govern- ment Radionavigation-Satellite. 46.9±47.0 GHz ...... Wireless Services. 47.0±47.2 GHz ...... No Change ...... Amateur. 47.2±48.2 GHz 4 ...... Wireless Services. 48.2±49.2 GHz ...... FSS (NGSO) and possible Wireless Underlay. 49.2±50.2 GHz ...... FSS (GSO) and possible Wireless Underlay. 50.2±50.4 GHz ...... No Change ...... Government Passive Earth-Exploration Service. 50.4±51.4 GHz ...... Wireless Services. 1 Specific proposals for Government allocations at 37.0±38.0 GHz and 40.0±40.5 GHz will be addressed later in this document. 2 We have already received comment on our proposal on this band segment and will take action in our 39 GHz proceeding. See In the Matter of Amendment of the Commission's Rules Regarding the 37.0±38.6 GHz and 38.6±40.0 GHz BandsÐImplementation of Section 309(j) of the Communications Act, Notice of Proposed Rulemaking and Order, 11 FCC Rcd 5930 (1995). 3 As discussed above, we proposed this band, for licensed commercial use, in our Millimeter Wave NPRM and will address this proposal in a separate proceeding. See In the Matter of Amendment of Parts 2 and 15 of the Commission's Rules to Permit Use of Radio Frequencies Above 40 GHz for New Radio Applications, Notice of Proposed Rule Making, 9 FCC Rcd 7078 (1994). 4 We have already received comment on our proposal on this band segment and will take action in our Millimeter Wave proceeding. See In the Matter of Amendment of Parts 2 and 15 of the Commission's Rules to Permit Use of Radio Frequencies Above 40 GHz for New Radio Applica- tions, Notice of Proposed Rulemaking, 9 FCC Rcd 7078 (1994) and First Report and Order and Second Notice of Proposed Rulemaking, 11 FCC Rcd 4481 (1995). 16130 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules

3. The Commission proposes to Regulatory Flexibility Analysis $11.0 million in annual receipts.5 designate 4 gigahertz of spectrum for (‘‘IRFA’’) of the expected significant According to Census Bureau data., there fixed-satellite services and 4.6 gigahertz economic impact on small entities by are 848 firms that fall under the category of spectrum for domestic wireless the policies proposed in this Notice of of Communications Services, Not services. The Notice of Proposed Proposed Rulemaking. Written and Elsewhere Classified. Of those, Rulemaking seeks comment on the public comments are requested by the approximately 775 reported annual overall band plan. Government IRFA and must be filed by the deadlines receipts of $11 million or less and allocations also are present throughout for comments on this Notice. qualify as small entities.6 However, most of the 36–51.4 GHz spectrum. The since this is a new service, we are I. Reason for Action Commission has worked with the unable, at this time, to provide a National Telecommunications and 7. This rulemaking proceeding is reasonable estimate of how many of Information Administration to develop a being initiated to obtain comment and these entities will be providing these mechanism for commercial and develop a record on certain proposals in services. Government sharing in these bands. the 36–51.4 GHz frequency band. 4. The Commission proposes a series V. Reporting, Recordkeeping, and Specifically, this Notice proposes to Other Compliance Requirements of allocations consistent with its designate spectrum for fixed-satellite proposed band plan. The Notice seeks services, both geostationary and non- 11. The proposal under consideration only to add, not delete, allocations to geostationary satellite orbit, systems at in this Notice, involve no reporting the U.S. Table of Frequency Allocations. 37.5–38.5 GHz, 40.5–41.5 GHz, and requirements at this time. Final service First, the Commission proposes to 48.2–50.2 GHz. In addition, this Notice and licensing rules will be proposed at allocate the 37.5–38.5 GHz (space-to- seeks comment on a proposal to achieve a later date. Earth) band and designate 48.2–49.2 sharing between Government and non- GHz (Earth-to-space) for predominantly Government operations in these bands. VI. Any Significant Alternatives non-geostationary orbit fixed-satellite Finally, this Notice outlines and seeks Considered operations. The Commission proposes comment on the domestic allocations 12. This Notice solicits comment on to allocate the 40.5–41.5 GHz (space-to- necessary to accommodate both Earth) and designate the 49.2–50.2 GHz other alternatives such as other terrestrial and satellite services as mechanisms of Government/non- bands for geostationary orbit fixed- discussed in the item. satellite operations. Second, the Government sharing in these bands Commission seeks comment on II. Objectives proposed primarily for FSS uses. The whether, and to what extent, other Notice also requests comment on 8. The Commission seeks to allocate terrestrial operations may be whether a sufficient amount of spectrum spectrum for predominantly fixed accommodated in these fixed-satellite has been designed for terrestrial and satellite uses, in a manner that bands. The Commission uses the term satellite services or whether a different minimizes disruption to existing ‘‘underlay’’ service to describe this split would be better. services. The proposed band plan will concept. 13. The proposed fixed-satellite promote the technological 5. Third, the Commission proposes to designations would apply to those developments in the millimeter wave upgrade the fixed and mobile bands proposed primarily for FSS uses. bands (30–300 GHz), encourage effective allocations in the 40.5–42.5 GHz band. Furthermore, the proposed Government competition, and provide customers Fourth, the Commission proposes to add sharing mechanisms would apply to with additional satellite service a fixed allocation to the 46.9–47.0 GHz satellite licensees throughout the 36– providers. band. Finally, the Commission proposes 51.4 GHz frequency band. This item to add allocations to the Government III. Legal Basis should positively impact both large and column of the U.S. Table of Frequency small businesses by providing Allocations. NTIA has requested that a 9. The proposed action is authorized additional spectrum in which to provide primary Earth-Exploration Satellite under the Administrative Procedure services. Our proposals would not allocation (space-to-Earth) be added to Act, 5 U.S.C. 553; and sections 1, 4(i), displace incumbent operators. We will the Government column of the 37.0– 4(j), 301 and 303 of the Communications be able to address small business 38.0 GHz band. The NTIA requests the Act of 1934, as amended, 47 U.S.C. 151, concerns regarding specific sub-bands addition of a primary Space Research 154(i), 154(j), 301, and 303. as we proceed to establishing licensing and Earth-Exploration Satellite (Earth- IV. Description and Estimate of Small and service rules for those bands. to-space) allocation to the Government Entities Subject to the Rules VII. Federal Rules That Overlap, allocation at 40.0–40.5 GHz. NTIA also Duplicate or Conflict With These requests the addition of a secondary 10. The Commission has not Proposed Requirements Earth-Exploration Satellite (space-to- developed a definition of small entities applicable to geostationary or non- Earth) at 40.0–40.5 GHz. The 14. None. Commission proposes these allocations geostationary orbit fixed-satellite service for the Government column of the U.S. licensees. Therefore, the applicable 5 13 CFR 121.201, Standard Industrial Table of Frequency Allocations. definition of small entity is the Classification (SIC) Code 4899. definition under the Small Business 6 U.S. Bureau of the Census, U.S. Department of Initial Regulatory Flexibility Analysis Administration (SBA) rules applicable Commerce, 1992 Census of Transportation, 6. As required by Section 603 of the to Communications services, Not Communications, and Utilities, UC92–S–1, Subject Regulatory Flexibility Act, the Elsewhere Classified. This definition Series, Establishment and Firm Size, Table 2D, Commission has prepared an Initial provides that a small entity is one with Employment Size of Firms,: 1992, SIC Code 4899 (issued May 1995). Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16131

Ordering Clauses ADDRESS: The advisory committee Performance Standards, NHTSA, 400 15. Accordingly, it is ordered that meeting will be held in Room 10234–36 Seventh Street, SW, Washington, DC pursuant to the authority contained in at the U.S. Department of 20590. Mr. Flanigan’s telephone number sections 1, 4(i), 4(j), 301, and 303 of the Transportation, Nassif Building, 400 7th is: (202) 366–4918. His facsimile Communications Act of 1934, as Street, SW, Washington, DC. number is (202) 366–4329. amended, 47 U.S.C. 151, 154(i), 154(j), FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: By letter 301, and 303, notice is hereby given of Eben M. Wyman, (202) 366–0918, dated November 20, 1996, Hawkhill our intent to adopt the policies set forth regarding the subject matter of this petitioned the agency to amend FMVSS in this Notice and that comment is Notice; or the Dockets Unit, (202) 366– No. 108 to require all vehicles to have sought on all proposals in this Notice. 4453, for copies of this document or programmable turn signaling capability. 16. It is ordered that, the Petition for other material in the docket. More specifically, the turn signal systems would allow drivers to preset Rule Making, filed by Motorola Satellite Correction of Publication Communications, Inc. is granted to the the amount of time their turn signals extent it is consistent with our Room Number will remain activated before they turn proposals. On page 7985, in the second column, off automatically. This would be 17. It is further ordered that the the correct room number for the accomplished by the driver tapping the Secretary shall send a copy of this advisory committee is 10234–36. turn signal lever. For each time the lever is tapped, the turn signal would stay Notice of Proposed Rulemaking, Description of Committee Members including the Initial Regulatory activated for 4.5 seconds. Hawkhill’s contention is that this would be a Flexibility Analysis, to the Chief On page 7986, at the bottom of the virtually cost-free upgrade for vehicles Counsel for Advocacy of the Small second column, the text describing the with turn signals that are already Business Administration in accordance International Union of Operating computer-controlled. The computer- with paragraph 603(a) of the Regulatory Engineers should read as follows: ‘‘This controlled turn signal system would Flexibility Act, Pub. L. 96–354, 94 Stat. labor organization represents the simply be redesigned to account for the 1164, 5 U.S.C. 601 et seq. (1981). interests of a substantial number of pipeline workers.’’ In addition, the text new system. Federal Communications Commission describing the International Hawkhill believes that drivers are William F. Caton, Brotherhood of Electrical Workers often lax in the way they operate turn Acting Secretary. should read as follows: ‘‘This labor signals. According to Hawkhill, drivers [FR Doc. 97–8562 Filed 4–3–97; 8:45 am] organization represents approximately are most lax in situations where they BILLING CODE 6712±01±P 21,000 pipeline construction and have to deactivate turn signals, such as maintenance workers.’’ merge, exit, and lane change maneuvers. Hawkhill believes that its system, which Issued in Washington, DC, on March 31, DEPARTMENT OF TRANSPORTATION 1997. allows drivers to program their turn signals to automatically shut off after Richard B. Felder, some chosen time interval, would Research and Special Programs Associate Administrator for Pipeline Safety. Administration reduce the number of instances when [FR Doc. 97–8571 Filed 4–3–97; 8:45 am] drivers inadvertently leave their turn 49 CFR Parts 192 and 195 BILLING CODE 4910±06±P signal on after completing the driving maneuver. [Docket No. PS±94; Notice 7] In addition, Hawkhill believes its RIN 2137±AB38 National Highway Traffic Safety automatic turn signal shut-off would Administration reduce the instances when vehicle Qualification of Pipeline Personnel 49 CFR Part 571 operators choose not to use their turn signals to signal maneuvers. It believes AGENCY: Research and Special Programs that this occurs in maneuvers where the Administration (RSPA), DOT. Denial of Petition for Rulemaking; Federal Motor Vehicle Safety turn signals are commonly activated ACTION: Notice of public meeting; Standards using the ‘‘lane change’’ feature (where correction. the turn signal lever is pushed just far AGENCY: National Highway Traffic enough to activate the turn signal, but SUMMARY: On February 21, 1997, RSPA’s Safety Administration (NHTSA), is deactivated when the driver removes Office of Pipeline Safety (OPS) Department of Transportation. his or her hand). In these situations, published a notice of public meeting (62 ACTION: Denial of petition for Hawkhill asserts that some drivers do FR 7985) that announced the first rulemaking. not use their signals because they are meeting of an advisory committee to not able to concentrate on the other conduct a negotiated rulemaking to SUMMARY: This document denies tasks necessary to complete the develop a proposed rule on Hawkhill Technologies’ (Hawkhill) maneuver while holding down the qualifications of pipeline employees petition to amend Federal Motor lever. performing certain safety-related Vehicle Safety Standard (FMVSS) No. functions on pipelines subject to the 108, Lamps, reflective devices, and Agency Analysis pipeline safety regulations. The notice associated equipment, to require NHTSA believes there are two distinct also listed and described the programmable turn signaling on all issues involved in these claims. organizations represented on the vehicles. The turn signal system Hawkhill’s latter claim relates to drivers committee. This document makes two Hawkhill proposed would allow the who fail to use their turn signals minor revisions to the information in driver to preset the amount of time a because of some perceived difficulty. that notice. turn signal remains activated before NHTSA is very interested in actions that DATES: The advisory committee’s first automatically turning off. would increase the use of turn signals meeting will be held from 8:30 am to FOR FURTHER INFORMATION CONTACT: Mr. to alert other drivers of an impending 5:00 pm on April 23–24, 1997. Chris Flanigan, Office of Safety maneuver. However, Hawkhill provided 16132 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules no data whatsoever to support its safety benefits would be anything more Highly Migratory Species Management assertion that some drivers perceive a than marginal. Division, NMFS, 1315 East-West difficulty in utilizing their turn signal In accordance with 49 CFR part 552, Highway, Silver Spring, MD, 20910. system’s ‘‘lane-change’’ feature and, this completes the agency’s review of Comments may be submitted by fax: therefore, fail to signal their maneuver. the petition. The agency has concluded 301–713–1917. Absent such data, NHTSA has no reason that there is no reasonable possibility FOR FURTHER INFORMATION CONTACT: John to believe that requiring an automatic that the amendment requested by the Kelly, 301–713–2347. turn signal would significantly increase petitioner would be issued at the SUPPLEMENTARY INFORMATION: their use. conclusion of a rulemaking proceeding. Hawkhill’s other claim is that its Accordingly, it denies Hawkhill’s Background system would address situations when a petition. In accordance with the Magnuson- driver inadvertently leaves the turn Authority: 49 U.S.C. 30103, 30162; Stevens Act, 16 U.S.C. 1801 et seq., as signal on after completing a driving delegation of authority at 49 CFR 1.50 and amended by the Sustainable Fisheries maneuver that does not turn the wheel 501.8. Act (Public Law 104–297) FMPs shall be enough to trigger the current automatic Issued on: March 31, 1997. prepared with respect to any HMS shut-off feature required in S5.1.1.5 of L. Robert Shelton, fishery. APs must be established to consult with NMFS in the collection FMVSS No. 108. Hawkhill’s system is Associate Administrator for Safety designed to address this situation. Performance Standards. and evaluation of information relevant to the preparation or amendment of However, NHTSA believes this is a [FR Doc. 97–8613 Filed 4–3–97; 8:45 am] HMS FMPs. Nominations have already much less frequent occurrence than the BILLING CODE 4910±59±P failure to signal. We base this on been solicited for a billfish AP and a anecdotal evidence and driving pelagic longline AP. Prior to requesting nominations for AP members regarding experience in the Washington, DC DEPARTMENT OF COMMERCE metropolitan area. In addition, tunas, sharks or swordfish, NMFS solicits comments on options for manufacturers have taken voluntary National Oceanic and Atmospheric developing FMPs for Atlantic tunas, steps to address this problem with the Administration ‘‘lane-change’’ feature discussed shark, and swordfish. Separate FMPs previously. For example, General 50 CFR Parts 285, 630, 644, and 678 already exist for billfish, sharks, and Motors has designed all its Skylarks swordfish. No FMP exists for Atlantic [I.D. 030497E] with a turn signal reminder chime that tunas. Due to the overlap of biological gives the driver an added signal if the Establishment of Highly Migratory turn signal indicator is still on after one characteristics and management issues Species Advisory Panels; Combination concerning Atlantic tunas, sharks, and half mile of driving. See 61 FR 56734, of Fishery Management Plans November 4, 1996. Further, because the swordfish, NMFS believes there may be standard would not preclude the use of AGENCY: National Marine Fisheries benefit to combining some or all of the Hawkhill’s proposed turn signal system, Service (NMFS), National Oceanic and FMPs to reduce time and financial perhaps manufacturers will voluntarily Atmospheric Administration (NOAA), resources and to produce a cohesive place this feature in some of their Commerce. plan for multispecies fishery management. Likewise, participants and vehicles as well. ACTION: Proposed process; request for interested parties overlap in these HMS comments. Hawkhill provided no data to indicate fisheries, and NMFS believes there may the size of the safety problem that be benefit to combining some or all of would be addressed by automatically SUMMARY: NMFS solicits comments on the feasibility of developing Fishery the APs to reduce time and financial turning off turn signals in situations not resources needed for participation in the addressed by the current automatic Management Plans (FMPs) for Atlantic shark, swordfish, and tunas. If NMFS APs as well as the administration of the shut-off requirement. Absent such data, APs. A combined Atlantic tunas, NHTSA has no information indicating were to develop one FMP, it would establish one Highly Migratory Species swordfish, and shark FMP could also be this is a large problem. Most vehicles do less burdensome to the constituency in not now have computer-controlled turn (HMS) Advisory Panel (AP) for those species to assist NMFS in the collection that many issues are common to the signals, nor does the agency have any three species groups. information indicating that a significant and evaluation of information relevant to the preparation of the consolidated The purpose of the combined HMS number of vehicles will be equipped AP would be to assist NMFS in the with them in the near future. If we HMS management plan for those species. A combined HMS FMP and AP development of this FMP. The first assume for the sake of discussion that as action would be the development of many as half of the 16 million light would reduce the burden on the AP members, in addition to being new requirements (i.e., bycatch, vehicles produced each year will be overfishing) of the Magnuson-Stevens equipped with computer-controlled turn consistent with existing laws such as the Magnuson-Stevens Fishery Act. signals in the near future, that would In addition, a combined HMS FMP for Conservation and Management Act still leave eight million vehicles that these species would be consistent with (Magnuson-Stevens Act), the National would need to be redesigned. At a cost the Magnuson-Stevens Act, NEPA, of $10 per vehicle to redesign the turn Environmental Policy Act (NEPA), and regulatory reform (consolidated HMS signal circuit, that would translate into other holistic, ecosystem approaches to regulations), and other holistic an annual cost of $80 million. NHTSA fishery management. The HMS AP ecosystem approaches to fishery would not consider imposing costs of would include representatives from all management. HMS fisheries and HMS this magnitude without some clear and interests in Atlantic HMS fisheries. stocks are interdependent. Boundaries convincing evidence that it would DATES: Comments must be submitted on overlap between fisheries, gears, and produce safety benefits commensurate or before May 15, 1997. geographical locations and an ecosystem with this cost. In this case, there are no ADDRESSES: Comments should be approach to management would be data or other information suggesting the submitted to Rebecca Lent, Chief, useful and efficient. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Proposed Rules 16133

An alternative approach could concerning proposed amendments to Register document calling for include developing a separate Atlantic these two FMPs. nominations for members of the AP(s). tunas FMP and combining the existing NMFS is also soliciting comments on Tentative Schedule shark and swordfish FMPs into one. the appropriate role of existing advisory NMFS intends to establish all APs However, similarities among these groups and or processes (Shark (combined or separate APs for Shark, fisheries and the participation of many Operations Team, Negotiated Swordfish, and Tunas) by July 1, 1997. fishermen in all three fisheries make Rulemaking for Atlantic tunas) in light this option less preferable. of the establishment of HMS APs, Authority: 16 U.S.C. 1801 et seq. A final option would include whether or not they are combined. Dated: March 31, 1997. developing a separate Atlantic tunas Once NMFS has collected comments Gary C. Matlock, FMP and keeping the existing shark and regarding the appropriate combination Director, Office of Sustainable Fisheries, swordfish FMPs separate. This option and/or separation of the tuna, shark, and National Marine Fisheries Service. appears to be the least desirable as swordfish FMPs, and thus of the APs, [FR Doc. 97–8567 Filed 4–3–97; 8:45 am] evidenced by recent public comments NMFS will issue a separate Federal BILLING CODE 3510±22±F 16134

Notices Federal Register Vol. 62, No. 65

Friday, April 4, 1997

This section of the FEDERAL REGISTER make recommendations on issues an opportunity to submit comments on contains documents other than rules or pertaining to water rights. All meetings the possible impact of the proposed proposed rules that are applicable to the are open to the public. However, time action. public. Notices of hearings and investigations, for the public to address the Task Force If the Committee approves the committee meetings, agency decisions and will be provided at the Washington proposed addition, all entities of the rulings, delegations of authority, filing of petitions and applications and agency meeting on April 21, 1997, from 1:00 Federal Government (except as statements of organization and functions are p.m. to 3:00 p.m. in Room G–11 of the otherwise indicated) will be required to examples of documents appearing in this Dirksen Senate Office Building, and at procure the commodity listed below section. the Boise meeting on May 19, 1997, from nonprofit agencies employing from 3:00 p.m. to 5:00 p.m. Discussion persons who are blind or have other is limited only to Task Force members severe disabilities. DEPARTMENT OF AGRICULTURE and Forest Service personnel. Persons I certify that the following action will who wish to bring water rights matters not have a significant impact on a Forest Service to the attention of the Task Force may substantial number of small entities. file written statements with the Forest The major factors considered for this Water Rights Task Force Meeting Service liaison at the address listed certification were: AGENCY: Forest Service, USDA. earlier in the notice either before or after 1. The action will not result in any ACTION: Notice of meetings. each meeting. additional reporting, recordkeeping or Notice of the establishment of the other compliance requirements for small SUMMARY: The Forest Service announces Water Rights Task Force was published entities other than the small meetings of the Water Rights Task Force in the Federal Register on September organizations that will furnish the established on August 20, 1996, in 11, 1996, (61 FR 47858). The Task Force commodity to the Government. accordance with the provisions of the terminates either in August of 1997, or 2. The action will result in Federal Agricultural Improvement and upon submission of a final report. authorizing small entities to furnish the Reform Act of 1996, as amended. The Dated: March 31, 1997. commodity to the Government. chairman has scheduled the eighth Barbara C. Weber, 3. There are no known regulatory meeting of the Task Force in alternatives which would accomplish Washington, D.C., on April 21–22, 1997, Acting Chief. [FR Doc. 97–8676 Filed 4–3–97; 8:45 am] the objectives of the Javits-Wagner- and the ninth meeting on May 19, 1997, O’Day Act (41 U.S.C. 46–48c) in BILLING CODE 3410±11±M in Boise, Idaho. connection with the commodity DATES: The meeting in Washington, proposed for addition to the D.C., will be held April 21 from 8:00 Procurement List. COMMITTEE FOR PURCHASE FROM a.m. to 3:00 p.m. and April 22 from 8:30 Comments on this certification are PEOPLE WHO ARE BLIND OR a.m. to 5:00 p.m. The meeting in Boise invited. Commenters should identify the SEVERELY DISABLED will be held May 19 from 8:30 a.m. to statement(s) underlying the certification 5:00 p.m. Procurement List; Proposed Addition on which they are providing additional ADDRESSES: The eighth meeting will be information. held in Room G–11 of the Dirksen AGENCY: Committee for Purchase From The following commodity has been Senate Office Building, First Street and People Who Are Blind or Severely proposed for addition to Procurement Constitution Avenue, on April 21, and Disabled. List for production by the nonprofit in the Training Room of the Auditors ACTION: Proposed addition to agencies listed: Procurement List. Building, 201 14th Street, S.W., Corrugated Plastic MM Trays Washington, D.C., on April 22. The P.S. 3925 ninth meeting will be held in the White SUMMARY: The Committee has received a (U.S. Postal Service requirements for Pine Conference Room of the Red Lion proposal to add to the Procurement List East Hartford, CT; Somerville, NJ; Downtowner Hotel, 1800 Fairview a commodity to be furnished by Soysset, NY and Baltimore, MD) Avenue, Boise, Idaho. nonprofit agencies employing persons Send written comments to Eleanor who are blind or have other severe NPA: South Texas Lighthouse for the Towns, FACA Liaison, Water Rights disabilities. Blind, Corpus Christi, Texas. Task Force, c/o USDA Forest Service, DATES: Comments must be received on Beverly L. Milkman, MAIL STOP 1124, P.O. Box 96090, or before May 5, 1997. Executive Director. Washington, DC 20090–6090. ADDRESSES: Committee for Purchase [FR Doc. 97–8655 Filed 4–3–97; 8:45 am] Telephone: (202) 205–1248; Fax: (202) From People Who Are Blind or Severely BILLING CODE 6353±01±P 205–1604. Disabled, Crystal Square 3, Suite 403, FOR FURTHER INFORMATION CONTACT: 1735 Jefferson Davis Highway, Stephen Glasser, Watershed & Air Arlington, Virginia 22202–3461. Procurement List; Proposed Additions FOR FURTHER INFORMATION CONTACT: Management Staff, Telephone: (202) AGENCY: Committee for Purchase From 205–1172; Fax: 205–1096. Beverly Milkman (703) 603–7740. People Who Are Blind or Severely SUPPLEMENTARY INFORMATION: The Water SUPPLEMENTARY INFORMATION: This Disabled. Rights Task Force is composed of seven notice is published pursuant to 41 ACTION: Proposed additions to members appointed by Congress and the U.S.C. 47(a)(2) and 41 CFR 51–2.3. Its Procurement List. Secretary of Agriculture to study and purpose is to provide interested persons Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16135

SUMMARY: The Committee has received Commodities The commenter also noted that it proposals to add to the Procurement List Master Baster purchased a special machine to print a commodity and services to be M.R. 802 the helmet liners, made expenditures for furnished by nonprofit agencies NPA: Winston-Salem Industries for the tooling, and entered into a long-term employing persons who are blind or Blind, Winston-Salem, North Carolina agreement for raw materials which have other severe disabilities. Services required helmet liner production to DATES: Comments must be received on Grounds Maintenance, U.S. Army Reserve keep prices low. or before May 5, 1997. Center, Parkersburg, West Virginia The Government’s estimated quantity ADDRESSES: Committee for Purchase NPA: SW Resources, Inc., Parkersburg, West of helmet liners to be procured has been From People Who Are Blind or Severely Virginia reduced to less than 5% of the initial Disabled, Crystal Square 3, Suite 403, Janitorial/Custodial, VA Outpatient Clinic, quantity expected to be procured by the 1735 Jefferson Davis Highway, Pensacola, Florida Government when the item was under NPA: Lakeview Center, Inc., Pensacola, Arlington, Virginia 22202–3461. development. Given the substantial Florida decrease in the quantity being procured, FOR FURTHER INFORMATION CONTACT: Janitorial/Custodial, Beltsville Agricultural the loss of sales by the contractor is not Beverly Milkman (703) 603–7740. Research Center, Building 001, in the range the Committee considers SUPPLEMENTARY INFORMATION: This Beltsville, Maryland severe, even when the impact of the one notice is published pursuant to 41 NPA: Melwood Horticultural Training Center, Upper Marlboro, Maryland other Procurement List addition where U.S.C. 47(a) (2) and 41 CFR 51–2.3. Its the commenter was the current purpose is to provide interested persons Janitorial/Custodial, Veterans Center, Roanoke, Virginia contractor is taken into account. That an opportunity to submit comments on addition involved fuel tank inserts for the possible impact of the proposed NPA: Goodwill Industries of Tinker Mountain, Inc., Salem, Virginia military aircraft. The Committee does actions. Medical Transcription, Veterans Affairs not agree with the commenter’s If the Committee approves the Medical Center, Alexandria, Louisiana contention that it was the contractor for proposed additions, all entities of the NPA: The Lighthouse of Houston, Houston, a foam item for the U.S. Mint because Federal Government (except as Texas it did not receive the award for that otherwise indicated) will be required to Beverly L. Milkman, item. procure the commodity and services Executive Director. Under the Government’s competitive listed below from nonprofit agencies [FR Doc. 97–8656 Filed 4–3–97; 8:45 am] bidding system, no contractor is employing persons who are blind or guaranteed a contract. Consequently, a have other severe disabilities. I certify BILLING CODE 6353±01±P firm assumes the risk of loss for new that the following action will not have equipment purchases or commitments a significant impact on a substantial Procurement List; Addition for raw materials in anticipation of number of small entities. The major receiving a new contract when the factors considered for this certification AGENCY: Committee for Purchase From contract is awarded to another firm. were: People Who Are Blind or Severely Because this could occur regardless of Disabled. 1. The action will not result in any the Committee decision to add the item ACTION: additional reporting, recordkeeping or Addition to the Procurement involved to the Procurement List, the other compliance requirements for small List. Committee does not consider losses that entities other than the small SUMMARY: This action adds to the may be experienced related to organizations that will furnish the equipment, tooling, and raw materials to commodity and services to the Procurement List a commodity to be furnished by nonprofit agencies constitute severe adverse impact on a Government. particular contractor. 2. The action does not appear to have employing persons who are blind or a severe economic impact on current have other severe disabilities. After consideration of the material contractors for the commodity and EFFECTIVE DATE: May 5, 1997. presented to it concerning capability of services. ADDRESSES: Committee for Purchase qualified nonprofit agencies to provide 3. The action will result in From People Who Are Blind or Severely the commodity and impact of the authorizing small entities to furnish the Disabled, Crystal Square 3, Suite 403, addition on the current or most recent commodity and services to the 1735 Jefferson Davis Highway, contractors, the Committee has Government. Arlington, Virginia 22202–3461. determined that the commodity listed 4. There are no known regulatory FOR FURTHER INFORMATION CONTACT: below is suitable for procurement by the alternatives which would accomplish Beverly Milkman (703) 603–7740. Federal Government under 41 U.S.C. 46–48c and 41 CFR 51–2.4. I certify that the objectives of the Javits-Wagner- SUPPLEMENTARY INFORMATION: On the following action will not have a O’Day Act (41 U.S.C. 46–48c) in December 6, 1996, the Committee for significant impact on a substantial connection with the commodity and Purchase From People Who Are Blind number of small entities. The major services proposed for addition to the or Severely Disabled published notice factors considered for this certification Procurement List. Comments on this (61 F.R. 64666) of proposed addition to were: certification are invited. Commenters the Procurement List. Comments were should identify the statement(s) received from a foam fabricator which 1. The action will not result in any underlying the certification on which made the helmet liner when it was additional reporting, recordkeeping or they are providing additional procured for developmental purposes. other compliance requirements for small information. The commenter alleged that it would be entities other than the small The following commodity and severely impacted by the Committee’s organizations that will furnish the services have been proposed for action, taking into account other items commodity to the Government. addition to Procurement List for the Committee has added to the 2. The action will not have a severe production by the nonprofit agencies Procurement List which the commenter economic impact on current contractors listed: considered lost business opportunities. for the commodity. 16136 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

3. The action will result in substantial number of small entities. SUMMARY: The Department of Commerce authorizing small entities to furnish the The major factors considered for this has issued an Export Trade Certificate of commodity to the Government. certification were: Review to the Committee for the Fair 4. There are no known regulatory 1. The action will not result in any Allocation of Rice Quotas alternatives which would accomplish additional reporting, recordkeeping or (‘‘Committee’’). This notice summarizes the objectives of the Javits-Wagner- other compliance requirements for small the conduct for which certification has O’Day Act (41 U.S.C. 46–48c) in entities other than the small been granted. connection with the commodity organizations that will furnish the FOR FURTHER INFORMATION CONTACT: W. proposed for addition to the commodities and services to the Dawn Busby, Director, Office of Export Procurement List. Government. Trading Company Affairs, International Accordingly, the following 2. The action will not have a severe Trade Administration, 202–482–5131. commodity is hereby added to the economic impact on current contractors This is not a toll-free number. Procurement List: for the commodities and services. SUPPLEMENTARY INFORMATION: Title III of Liner, Foam Impact 3. The action will result in the Export Trading Company Act of 8465–01–420–4920 authorizing small entities to furnish the 1982 (15 U.S.C. 4001–21) authorizes the This action does not affect current commodities and services to the Secretary of Commerce to issue Export contracts awarded prior to the effective Government. Trade Certificates of Review. The 4. There are no known regulatory date of this addition or options that may regulations implementing Title III are alternatives which would accomplish be exercised under those contracts. found at 15 CFR Part 325 (1996). the objectives of the Javits-Wagner- The Office of Export Trading Beverly L. Milkman, O’Day Act (41 U.S.C. 46–48c) in Executive Director. Company Affairs (‘‘OETCA’’) is issuing connection with the commodities and this notice pursuant to 15 CFR 325.6(b), [FR Doc. 97–8657 Filed 4–3–97; 8:45 am] services proposed for addition to the which requires the Department of BILLING CODE 6353±01±P Procurement List. Commerce to publish a summary of a Accordingly, the following Certificate in the Federal Register. commodities and services are hereby Procurement List; Additions Under Section 305 (a) of the Act and 15 added to the Procurement List: CFR 325.11(a), any person aggrieved by AGENCY: Committee for Purchase From Commodities the Secretary’s determination may, People Who Are Blind or Severely Bucket, Plastic within 30 days of the date of this notice, Disabled. M.R. 997 bring an action in any appropriate ACTION: Additions to the Procurement Office and Miscellaneous Supplies district court of the United States to set List. (Requirements for the Naval Air Station, aside the determination on the ground Corpus Christi, Texas) that the determination is erroneous. SUMMARY: This action adds to the Procurement List commodities and Services Description of Certified Conduct services to be furnished by nonprofit Janitorial/Custodial, for the following Blaine, Export Trade agencies employing persons who are Washington locations: blind or have other severe disabilities. Pacific Highway Border Station Products Pacific Highway Border Station, Building #1 EFFECTIVE DATE: May 5, 1997. Semi-milled and wholly milled rice, Pacific Highway Border Station, USDA whether or not polished or glazed ADDRESSES: Committee for Purchase Building From People Who Are Blind or Severely Border Patrol Sector Headquarters and Annex (Harmonized Tariff Schedule 1006.30) Disabled, Crystal Square 3, Suite 403, Peace Arch Border Station (referred to as ‘‘milled rice’’) and husked 1735 Jefferson Davis Highway, Storage/Distribution of Badges, Insignia (brown) rice (Harmonized Tariff Arlington, Virginia 22202–3461. Patches and Other Accouterments, Schedule 1006.20). FOR FURTHER INFORMATION CONTACT: Defense Personnel Support Center, Export Markets Beverly Milkman (703) 603–7740. Philadelphia, Pennsylvania (25% of the Government’s requirement) For purposes of administering the European Union’s tariff rate quota: The SUPPLEMENTARY INFORMATION: On Switchboard Operation, Cannon Air Force December 20, 1996, January 17, 31, and Base, New Mexico countries of the European Union. For purposes of Export Trade Activity February 14, 1997 the Committee for This action does not affect current and Method of Operation 3: All parts of Purchase From People Who Are Blind contracts awarded prior to the effective the world except the United States (the or Severely Disabled published notices date of this addition or options that may fifty states of the United States, the (61 FR 67306, 62 FR 2644, 4722 and be exercised under those contracts. District of Columbia, the 6946) of proposed additions to the Beverly L. Milkman, Commonwealth of Puerto Rico, the Procurement List. Executive Director. Virgin Islands, American Samoa, Guam, After consideration of the material [FR Doc. 97–8658 Filed 4–3–97; 8:45 am] the Commonwealth of the Northern presented to it concerning capability of BILLING CODE 6353±01±P Mariana Islands, and the Trust Territory qualified nonprofit agencies to provide of the Pacific Islands). the commodities and services and Export Trade Activities and Methods of impact of the additions on the current DEPARTMENT OF COMMERCE or most recent contractors, the Operation Committee has determined that the International Trade Administration 1. The Committee will administer a commodities and services listed below system for allocating the U.S. share of are suitable for procurement by the Export Trade Certificate of Review the European Union (‘‘EU’’) tariff rate Federal Government under 41 U.S.C. quotas (‘‘TRQs’’) for milled rice and ACTION: Notice of Issuance of an Export brown rice (roughly 38,000 tons of 46–48c and 41 CFR 51–2.4. Trade Certificate of Review, Application I certify that the following action will milled rice and 8,000 tons of brown No. 96–00007. not have a significant impact on a rice) agreed to as compensation to the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16137

United States for the enlargement of the be modified to allow the distribution of Secretary of Commerce shall amend the EU to include Austria, Finland, and proceeds to Members according to their Certificate to incorporate such members, Sweden, as follows: proportionate share of world exports of effective as of the date on which the a. The Committee will operate a quota U.S. origin rice during the previous application for amendment is deemed tender system in which certificates of marketing year. submitted. If the Secretary of Commerce quota will be offered on open tender to 5. Bidders will provide the consultant does not within 60 days of publication the highest bidder 30 days prior to the with bidding information on a in the Federal Register so amend the release of each TRQ tranche, as defined confidential basis. The consultant may Certificate, such amendment must be by the EU. release only the identity of the winning sought through the non-abbreviated b. The administration of the quota bidder(s). After the first year, if a amendment procedure. tender system will be carried out by an distribution is to be made to Members, Terms and Conditions of Certificate independent economic consultant, who the Members will provide information will be retained by the Committee for on their share of world exports of U.S. 1. In engaging in Export Trade purposes of administering the tender origin rice independently and on a Activities and Methods of Operation, program. confidential basis. This information neither the Committee, the consultant, c. The Committee, through its shall be kept confidential. nor any Member shall intentionally consultant, will offer the TRQ tranche in 6. The Committee and/or its Members disclose, directly or indirectly, to any 20 ton increments. Anyone, whether a may: other Member (including parent member of the Committee or not, will be a. Provide for an administrative companies, subsidiaries, or other eligible to bid, upon posting a bid bond structure to implement the foregoing entities related to any Member not equal to five percent of the bid. tariff rate quota system, relating to the named as a Member) any information d. Thirty days prior to the beginning U.S.-EU Compensation Agreement and regarding the Committee’s or any other of each TRQ tranche, the Committee EU regulations, including the hiring of Member’s costs, production, will publish a request to bid in the an independent economic consultant to inventories, domestic prices, domestic Journal of Commerce. Potential bidders administer the quota tender system; sales, capacity to produce Products for will have five working days to respond b. Exchange and discuss information domestic sale, domestic orders, terms of to the bid request. (If the EU announces regarding the structure and method for domestic marketing or sale, or U.S. the opening of a TRQ tranche less than administering the foregoing tariff rate business plans, strategies, or methods, 30 days before the opening of that quota system, relating to the U.S.-EU unless (1) such information is already tranche, the consultant will publish the Compensation Agreement and EU generally available to the trade or required notice within 2 working days regulations; public; or (2) the information disclosed of the EU announcement and specify a c. Discuss the type of information is a necessary term or condition (e.g., bid date that is at least 5 working days needed regarding past transactions and price, time required to fill an order, etc.) after the notice is published.) All bid exports that are necessary for of an actual or potential bona fide information will be returned to the administering the foregoing tariff rate export sale and the disclosure is limited consultant within five working days. At quota system relating to the U.S.-EU to the prospective purchaser. the close of the five day period, the regulations and for effectuating any 2. The Committee and its Members consultant will award certificates of distribution of proceeds arising out of will comply with requests made by the quotas to the highest bidder upon the administration of the system. Secretary of Commerce on behalf of the payment of monies bid. Additionally, Abbreviated Amendment Procedures Secretary or the Attorney General for the certificates will be tradable. information or documents relevant to e. In the event that identical highest New Committee members may be conduct under the Certificate. The bids are submitted on available tonnage incorporated in the Certificate through Secretary of Commerce will request of TRQ, the consultant will award the an abbreviated amendment procedure. such information or documents when available tonnage on a pro-rata basis An abbreviated amendment shall either the Attorney General or the among the relevant bidders. consist of a written notification to the Secretary of Commerce believes that the 2. The Committee will use Secretary of Commerce and the Attorney information or documents are required membership fees to pay for the costs of General identifying the Committee to determine that the Export Trade, operating the quota tender system. Any members that desire to become Export Trade Activities and Methods of operating costs not covered by the Members under the Certificate pursuant Operation of a person protected by this assessment of membership fees will be to the abbreviated amendment Certificate of Review continue to paid from the quota proceeds. procedure and certifying for each such comply with the standards of section 3. During the first year, the Committee member so identified its sale of 303(a) of the Act. will redistribute all remaining proceeds individual products in its prior fiscal as follows: year. Notice of the members so Members (Within the Meaning of a. 50 percent to the Rice Foundation, identified shall be published in the Section 325.2(l) of the Regulations) a non-profit organization established as Federal Register. However, the Louis Dreyfus Corporation, Wilton, the research and development arm of Committee may withdraw one or more Connecticut; and, Riviana Foods, Inc., the U.S.A. Rice Federation; individual Members from the Houston, Texas. b. 50 percent to the U.S.A. Rice application for the abbreviated Definitions Federation or the Rice Millers’ amendment. If 30 days or more Association for international market following publication in the Federal ‘‘Member’’ means a member of the promotion activities; and Register, the Secretary of Commerce, Committee who has been certified as a c. Zero percent to Members according with the concurrence of the Attorney ‘‘Member’’ within the meaning of to their proportionate share of world General, determines that the § 325.2(l) of the regulations. Members exports of U.S. origin rice during the incorporation in the Certificate of these must sign the Operating Agreement of previous marketing year. members through the abbreviated the Committee in order to participate in 4. For subsequent years, the amendment procedure is consistent the certified activities. Any U.S. distribution percentages in item 3 may with the standards of the Act, the company that is actively engaged in rice 16138 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices milling or that has exported U.S. origin transaction is subject to the limitations Description of Certified Conduct rice in the preceding or current calendar set forth in Section V.(D.) of the Export Trade year and that wishes to participate in ‘‘Guidelines for the Issuance of Export the activities covered by this certificate, Trade Certificates of Review (Second Products may join the Committee’s membership Edition),’’ 50 Fed. Reg. 1786 (January Semi-milled and wholly milled rice, by executing the Operating Agreement 11, 1985). whether or not polished or glazed and paying a one-time membership fee In accordance with the authority (Harmonized Tariff Schedule 1006.30) of $3,000. Any Committee member that granted under the Act and Regulations, (‘‘milled rice’’), husked rice is not a listed Member may join the this Certificate of Review has been (Harmonized Tariff Schedule 1006.20) Committee’s export trade certificate of (‘‘brown rice’’), broken rice review by requesting that the Committee granted to the Committee for the Fair Allocation of Rice Quotas. (Harmonized Tariff Schedule 1006.40), file for an amended certificate. A and paddy or rough rice (Harmonized A copy of the Certificate will be kept Member may withdraw from coverage Tariff Schedule 1006.10). under this certificate at any time by in the International Trade giving written notice to the Committee, Administration’s Freedom of Export Markets a copy of which the Committee will Information Records Inspection Facility, For purposes of allocating through an promptly transmit to the Secretary of Room 4001, U.S. Department of open bidding procedure the European Commerce and the Attorney General. Commerce, 14th Street and Constitution Union’s tariff rate quota: The countries Protection Provided by Certificate Avenue, NW., Washington, DC 20230. of the European Union. For purposes of Export Trade This Certificate protects the Dated: March 31, 1997. Activities and Methods of Operation Committee, its Members, and directors, W. Dawn Busby, 2(c) and 4(e): All parts of the world officers, and employees acting on behalf Director, Office of Export Trading Company except the United States (the fifty states of the Committee and its Members from Affairs. of the United States, the District of private treble damage actions and [FR Doc. 97–8580 Filed 4–3–97; 8:45 am] Columbia, the Commonwealth of Puerto government criminal and civil suits BILLING CODE 3510±DR±P Rico, the Virgin Islands, American under U.S. federal and state antitrust Samoa, Guam, the Commonwealth of laws for the export conduct specified in the Northern Mariana Islands, and the the Certificate and carried out during its Export Trade Certificate of Review Trust Territory of the Pacific Islands). effective period in compliance with its terms and conditions. ACTION: Notice of Issuance of an Export Export Trade Activities and Methods of Operation Effective Period of Certificate Trade Certificate of Review, Application No. 96–00008. This Certificate continues in effect 1. U.S. RICE will administer a system from the effective date indicated below for managing the U.S. share of the until it is relinquished, modified, or SUMMARY: The Department of Commerce European Union (‘‘EU’’) tariff-rate revoked as provided in the Act and the has issued an Export Trade Certificate of quotas (‘‘TRQs’’) for milled, brown, and Regulations. Review to the U.S. Rice Industry broken rice (roughly 38,000 metric tons Coalition for Exports, Inc. (‘‘U.S. RICE of milled rice, 8,000 metric tons of Other Conduct ’’). This notice summarizes the conduct brown rice and 7,000 metric tons of Nothing in this Certificate prohibits for which certification has been granted. broken rice annually) agreed to as the Committee and its Members from compensation to the United States for FOR FURTHER INFORMATION CONTACT: W. engaging in conduct not specified in the enlargement of the EU to include Dawn Busby, Director, Office of Export this Certificate, but such conduct is Austria, Finland, and Sweden, as Trading Company Affairs, International subject to the normal application of the follows: Trade Administration, 202–482–5131. antitrust laws. a. U.S. RICE will allocate the TRQs This is not a toll-free number. exclusively through an open tender to Disclaimer SUPPLEMENTARY INFORMATION: Title III of the highest bidder(s). Any person The issuance of this Certificate of the Export Trading Company Act of domiciled, incorporated or otherwise Review to the Committee by the 1982 (15 U.S.C. 4001–21) authorizes the legally established in the United States Secretary of Commerce with the Secretary of Commerce to issue Export is eligible to bid. Bidders need not be concurrence of the Attorney General Trade Certificates of Review. The members of U.S. RICE and need not be under the provisions of the Act does not regulations implementing Title III are included as Members in this Certificate. constitute, explicitly or implicitly, an found at 15 CFR part 325 (1996). b. U.S. RICE will retain an endorsement or opinion by the independent third party (‘‘the TRQ Secretary of Commerce or by the The Office of Export Trading Administrator’’) to administer the quota Attorney General concerning either (a) Company Affairs (‘‘OETCA’’) is issuing tender system. The TRQ Administrator the viability or quality of the business this notice pursuant to 15 CFR 325.6(b), may be an individual, partnership, plans of the Committee or its Members which requires the Department of corporation (for profit or non-profit), or or (b) the legality of such business plans Commerce to publish a summary of a any representative thereof that is not of the Committee or its Members under Certificate in the Federal Register. engaged in the production, milling, the laws of the United States (other than Under Section 305(a) of the Act and 15 distribution, or sale of milled, brown, as provided in the Act) or under the CFR 325.11(a), any person aggrieved by broken, or paddy rice. laws of any foreign country. the Secretary’s determination may, c. At least 45 days before the opening The application of this Certificate to within 30 days of the date of this notice, of each TRQ tranche, as defined by the conduct export trade where the United bring an action in any appropriate EU, the TRQ Administrator will publish States Government is the buyer or where district court of the United States to set notice of the bidding process for that the United States Government bears aside the determination on the ground tranche in the Journal of Commerce. The more than half the cost of the that the determination is erroneous. notice will invite independent bids and Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16139 specify a bid date that is (i) at least 5 U.S. RICE. Prospective members must Government and the European working days after the notice is execute the U.S. RICE Operating Commission concerning the operation of published and (ii) at least 30 days before Agreement. A member of U.S. RICE will the U.S. RICE TRQ management system; the opening of the tranche. (If the EU qualify for a particular distribution by and announces the opening of a TRQ (i) joining U.S. RICE, and (ii) h. Meet to engage in the activities tranche less than 45 days before the documenting its share of U.S. rice described above. opening of that tranche, the TRQ exports for the relevant year to the TRQ Abbreviated Amendment Procedures Administrator will publish the required Administrator. notice within 2 working days of the EU c. Funds remaining in the trust fund New U.S. RICE members may be announcement and specify a bid date after a distribution will be used as incorporated as Members in the that is at least 5 working days after the necessary to cover operating expenses, Certificate through an abbreviated notice is published.) Each bidder will and thereafter for promotion of U.S. rice amendment procedure. Under the independently submit its bid to the TRQ exports worldwide through activities procedure, U.S. RICE will notify the Administrator on the published bid generally comparable to those funded by Secretary of Commerce and the Attorney date, together with a bid deposit, the U.S. Department of Agriculture’s General, in writing, of those members of initially set at $25 per metric ton. The market access program. U.S. RICE that wish to be included as TRQ Administrator will retain the full 3. The TRQ Administrator may, as Members in the Certificate. The deposit for the tonnage on which bids necessary, receive confidential notification will include a certification are successful, and up to 25 percent of information and documentation of rice from each such member of its domestic the deposit for the tonnage on which exports from members and prospective and export sales of Products in its bids are not successful, to cover costs of members of U.S. RICE in connection preceding fiscal year. Notice of the administering the TRQ system. The with membership applications and members so identified shall be remainder of the deposit on an distributions of bid proceeds. The TRQ published in the Federal Register. If 30 unsuccessful bid will be refunded to the Administrator will maintain the days or more following publication in bidder. confidentiality of such information and the Federal Register, the Secretary of d. Following the close of the bidding, will not disclose it to any other member Commerce, with the concurrence of the the TRQ Administrator will promptly or any other person except to another Attorney General, determines that the review the bids for conformity with neutral third party as necessary to incorporation in the Certificate of these bidding procedures, and will notify the process membership applications and members through the abbreviated high bidder(s) winning TRQ allocations. distributions of bid proceeds. amendment procedure is consistent The high bidder(s) will then have 48 4. U.S. RICE and/or its Members may with the standards of the Act, the hours to post a five percent performance also: Secretary of Commerce shall amend the bond. Upon receipt of the amount bid a. Exchange and discuss information Certificate to incorporate such members, from a high bidder, the TRQ regarding the structure and operation of effective as of the date on which the Administrator will promptly issue the U.S. RICE TRQ management system, application for amendment is deemed Export Certificate(s) of Quota (‘‘ECQs’’) including the types of information submitted. If the Secretary of Commerce for the tonnage awarded. ECQs will be regarding past export transactions that does not so amend the Certificate within freely tradable. Each performance bond are necessary for implementing the 60 days of publication in the Federal will be discharged on submission of system; Register, such amendment must be export documentation demonstrating b. Assess the operation of the system sought through the normal amendment that the ECQ was used to export U.S. and consider and implement procedure. rice to the EU. modifications to improve the system’s Terms and Conditions of Certificate e. The TRQ Administrator will notify workability; all participants in the bidding process of c. Exchange and discuss information 1. In engaging in Export Trade (i) the total tonnage for which ECQs concerning U.S. and foreign agreements, Activities and Methods of Operation, were awarded, and (ii) the price per legislation, and regulations affecting the neither U.S. RICE nor any Member shall metric ton of the highest bid, for each U.S. RICE TRQ management system; intentionally disclose, directly or TRQ. d. Discuss and modify bid deposit indirectly, to any other Member 2. The bid proceeds will be fees as appropriate for covering costs of (including parent companies, distributed and otherwise used as administering the TRQ system, and subsidiaries, or other entities related to follows: discuss and modify performance bond any Member not named as a Member) a. All bid proceeds will be deposited requirements as appropriate for securing any information regarding its or any in a trust fund. Each year, the TRQ timely submission of documentation of other Member’s costs, production, Administrator will distribute funds from ECQ usage; inventories, domestic prices, domestic the tenders for a particular quota year to e. Discuss, decide on, and implement sales, capacity to produce Products for qualifying members of U.S. RICE in export promotion activities to be domestic sale, domestic orders, terms of proportion to each such member’s undertaken with post-distribution funds domestic marketing or sale, or U.S. percentage share by volume of total in the trust fund; business plans, strategies, or methods, exports of U.S. rice to all destinations in f. Otherwise exchange and discuss unless (1) such information is already the year preceding the quota year. No information as necessary to implement generally available to the trade or U.S. RICE member may receive a the foregoing activities and take the public; or (2) the information disclosed distribution in excess of that amount. necessary action to implement the U.S. is a necessary term or condition (e.g., b. Any person domiciled, RICE TRQ management system, relating price, time required to fill an order, etc.) incorporated, or otherwise legally to the U.S.-EU Enlargement Agreement of an actual or potential bona fide established in the United States that has and any successor or related export sale and the disclosure is limited exported U.S. rice in the year of agreements, and related EU regulations; to the prospective purchaser. application or the preceding calendar g. Provide nonconfidential 2. U.S. RICE and its Members will year, or is actively engaged in rice information to, and consult as comply with requests made by the milling in the United States may join appropriate with, officials of the U.S. Secretary of Commerce on behalf of the 16140 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Secretary or the Attorney General for Members or (b) the legality of such ADDRESSES: Address all comments information or documents relevant to business plans of U.S. RICE or its concerning this notice to: National conduct under the Certificate. The Members under the laws of the United Institute of Standards and Technology, Secretary of Commerce will request States (other than as provided in the Program Office, Attention: ATP 60 Day such information or documents when Act) or under the laws of any foreign Study, Administration Building, Room either the Attorney General or the country. A1000, Quince Orchard & Clopper Secretary of Commerce believes that the The application of this Certificate to Roads, Gaithersburg, MD 20899–0001; information or documents are required conduct export trade where the United or via e-mail to: to determine that the Export Trade, States Government is the buyer or where [email protected]. Export Trade Activities and Methods of the United States Government bears FOR FURTHER INFORMATION CONTACT: Operation of a person protected by this more than half the cost of the Dr. Leslie Smith, (301) 975–6762. Certificate of Review continue to transaction is subject to the limitations comply with the standards of section set forth in Section V.(D.) of the SUPPLEMENTARY INFORMATION: 303(a) of the Act. ‘‘Guidelines for the Issuance of Export Background Trade Certificates of Review (Second The ATP is a rigorously competitive, Definitions Edition),’’ 50 FR 1786 (January 11, cost-sharing R&D program to provide ‘‘Member’’ means a member of U.S. 1985). RICE that has been certified as a In accordance with the authority incentives for the pursuit of high-risk, ‘‘Member’’ within the meaning of granted under the Act and Regulations, emerging and enabling technologies by § 325.2(l) of the Regulations, as listed in this Certificate of Review has been U.S.-based businesses at the early, Attachment I. Any U.S. RICE member granted to the U.S. Rice Industry precompetitive stage when market that is not a Member may request that Coalition for Exports, Inc. forces do not generally provide private U.S. RICE file for an amended A copy of the Certificate will be kept capital. The ATP provides multi-year certificate. A Member may withdraw in the International Trade funding to single companies and from coverage under this certificate at Administration’s Freedom of business-led joint ventures. It any time by giving written notice to U.S. Information Records Inspection Facility, encourages interactions and teaming RICE, a copy of which U.S. RICE will Room 4001, U.S. Department of arrangements between businesses and promptly transmit to the Secretary of Commerce, 14th Street and Constitution universities and national laboratories. Commerce and the Attorney General. Avenue, NW., Washington, DC 20230. The ATP challenges businesses to leverage the significant U.S. investment Protection Provided by Certificate Dated: March 31, 1997. in fundamental research to generate the W. Dawn Busby, This Certificate protects U.S. RICE, its nuclei of new industries and new Director, Office of Export Trading Company enabling technologies for the future Members, and directors, officers, and Affairs. employees acting on behalf of U.S. RICE growth and competitiveness of the U.S. and its Members from private treble Attachment I industrial base. Competitions are held damage actions and government for both general programs, where any U.S. Rice Industry Coalition for Exports, technology area can be explored, and for criminal and civil suits under U.S. Inc. federal and state antitrust laws for the focused programs where industry export conduct specified in the (Application No. 96–00008) discussions have indicated that Certificate and carried out during its Continental Grain Company, New York, significant progress in new areas can be effective period in compliance with its New York made by a set of intensive R&D activities terms and conditions. Newfield Partners Ltd., Miami, Florida in a specific area of emerging technologies. In all cases proposers Effective Period of Certificate [FR Doc. 97–8582 Filed 4–3–97; 8:45 am] must provide credible evidence of the This Certificate continues in effect BILLING CODE 3510±DR±P potential for new technology from the effective date indicated below breakthroughs and outline project until it is relinquished, modified, or feasibility. In addition, they must be Technology Administration revoked as provided in the Act and the able to demonstrate their capability to Regulations. Department of Commerce Study for the bring a successful project to commercial reality after the completion of the ATP Other Conduct Continuous Improvement of the Advanced Technology Program (ATP) funding. Small technology-intensive Nothing in this Certificate prohibits and high tech start-up companies are U.S. RICE and its Members from AGENCY: Technology Administration, particularly encouraged to participate. engaging in conduct not specified in Commerce. In the global economy of today, ATP is this Certificate, but such conduct is ACTION: Request for Public Comments designed to accelerate and broaden the subject to the normal application of the ATP 60 Day Study. U.S. technology base and to provide the antitrust laws. foundation for the next century’s new, SUMMARY: The Department of exciting industries. It should also serve Disclaimer Commerce’s Technology Administration as a vehicle for infusing truly new The issuance of this Certificate of is seeking ways to make the National research ideas into existing industries Review to U.S. RICE by the Secretary of Institute of Standards and Technology’s for the next generation of products and Commerce with the concurrence of the (NIST) Advanced Technology Program services. Attorney General under the provisions (ATP) operate more effectively. This of the Act does not constitute, explicitly notice provides the general public the Purpose and Scope of Study or implicitly, an endorsement or opportunity to review the areas under The Advanced Technology Program is opinion by the Secretary of Commerce consideration. This study will be a key component of the Nation’s long or by the Attorney General concerning presented to the Secretary of Commerce. term economic growth strategy. In a either (a) the viability or quality of the DATES: The due date for submission of recent statement before a committee of business plans of U.S. RICE or its comments is May 5, 1997. the United States House of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16141

Representatives, Secretary of Commerce challenge lending to economic benefits —Are there mechanisms that the William M. Daley stated that the to the U.S. Department should explore to foster Advanced Technology Program is Issues for comment include: high quality proposals from critically important and provides —Should large companies only companies in States that lack large enormous benefits to the United States’ participate as members of joint numbers of R&D intensive companies? long-term economic prosperity. He ventures or in other teaming —Should a separate program be set up noted that ATP projects planned, co- arrangements? specifically to aid States that are funded, and carried out by industry will —Should large companies who are under-represented in the ATP and play a special role in enabling single applicants be required to should it also apply to under- technological developments that have contribute a monetary cost share represented States in other Federal long-term payoffs and widespread where current rules require them to R&D programs? pay only their indirect costs? benefits for the economy. 4. Other Assistance to Applicants Secretary Daley has instructed the —Should the program simplify the rules Department of Commerce to review by paying direct costs for both single The program holds conferences and certain current policies and procedures applicants and joint ventures? workshops to explain the goals and of the ATP to determine if, after the six —Should teaming arrangements which requirements of the program to potential years of experience with the program, do not meet the ATP requirements for applicants. Proposal requirements are there are modifications that could joint venture funding but which apply kept to a minimum but larger, more further strengthen the program. In as single applicants be allowed the experienced companies may be able to undertaking this review, the Department same flexibility as joint ventures in write effective proposals more easily. intends to consult with experts and the size and duration of their projects? —What additional information could interested parties, and to gather and —Are there models for teaming ATP provide to potential applicants, analyze industry’s experiences with the arrangements other than these joint particularly smaller companies, that ATP. The outcome of this review will be ventures that would work effectively would assist them in developing incorporated in the Department’s for the ATP? proposals? recommendations to the Secretary on —Are there other advantages of the team —Should the ATP provide information possible modifications of the program building process involved in to unsuccessful applicants about other which would increase its effectiveness. developing focused programs that are possible sources of financial seen by industry as separate from the assistance to pursue R&D that is Request for Public Comment benefits of the specific ATP projects? judged meritorious? —What are the appropriate criteria to The Technology Administration has judge whether greater benefit would Dated: March 31, 1997. identified the following topics on which accrue by extending an existing Mary L. Good, it requests public comments: focused program or by initiating a Under Secretary for Technology. 1. Company Participation new one? [FR Doc. 97–8608 Filed 4–3–97; 8:45 am] —Should participation in focused BILLING CODE 3510±13±M Companies, both large and small, programs be limited to one participate in the program in ways that competition after which further offer broad based benefits as well as proposals would be evaluated as part DEPARTMENT OF DEFENSE specific technology developments. The of general competitions? program pays only direct costs of single Office of the Secretary applicants while any indirect costs are 2. Private Capital Markets borne by the company. Awards to single ATP projects are directed to high risk, Submission for OMB Review; applicants are currently limited to a enabling research and development that Comment Request maximum of two million dollars and a are typically conducted five to ten years ACTION: three year period. Single applicant before product commercialization. Such Notice. proposals often involve teaming projects would not normally be able to The Department of Defense has arrangements, including subcontractors secure private financing because of the submitted to OMB for clearance, the and business alliances, that in many long term nature of the work, the high following proposal for collection of ways resemble joint ventures. risk, and the inability of any single information under the provisions of the Joint ventures currently require the investor to capture the wide range of Paperwork Reduction Act (44 U.S.C. participation of two or more for-profit potential technology uses from the early Chapter 35). organizations which contribute to both stage R&D. Title and Associated Form: Defense the R&D and the cost share. Participants —What are the possible sources of Export Loan Guarantee (DELG) Program in joint ventures contribute at least half private funding available for such Application, DD Form 2747, OMB of the total costs and are allowed to projects and how could those sources Number 0704–0391. apply for projects of up to five years be made available to potential Type of Request: Extension. duration and with no limit on funding. program applicants? Number of Respondents: 20. The appropriateness of the budget is one Responses Per Respondent: 1. of the elements examined in 3. Regional Distribution of Awards Annual Responses: 20. determining the score of applicants. Awards from the program are Average Burden Per Response: 1 hour. The program currently solicits currently made on the basis of business Annual Burden Hours: 20. proposals in both general competitions, and technical merit without regard to Needs and Uses: This collection of open to all areas of technology, and in the geographic location of the information is necessary to review and focused programs. The ATP develops participants. Some regions of the process applications for loan guarantees focused programs by a process which country have not received significant issued under 10 U.S.C. 2540 for defense identifies where a coordinated set of assistance from the program because exports. Respondents are defense public-private technology partnerships they lack large numbers of R&D suppliers of exporters, lenders, or could solve a major technology intensive companies. nations, who are requesting a DoD 16142 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices guarantee of a private sector loan in In accordance with Section 10(d) of identified their Preferred Action in the support of the sale or loan terms lease, the Federal Advisory Committee Act, FEIS which includes implementation of to certain eligible countries, of U.S. P.L. No. 92–463, as amended (5 U.S.C. the OPTM Alternative for realigning defense articles, services, or design and App. II, (1994)), it has been determined training missions, the Combined construction services. The completed that this DSB Task Force meeting Headquarters and Instruction Land Use form will enable the department to concerns matters listed in 5 U.S.C. and Facility Plan Alternative to provide determine whether the proposed § 552b(c) (1) (1994), and that required support facilities, and the transaction meets statutory guidance for accordingly this meeting will be closed Phased Move Alternative to relocate program implementation. to the public. personnel from Fort McClellan. Affected Public: Business or Other Dated: April 1, 1997. Based on the analysis included in this FEIS, adverse impacts that would occur For-Profit. L.M. Bynum, Frequency: On occasion. as a result of implementing the Army’s Alternate OSD Federal Register Liaison proposed BRAC actions at Fort Leonard Respondent’s Obligation: Required to Officer, Department of Defense. Wood include: A reduction of air obtain or retain benefits. [FR Doc. 97–8609 Filed 4–3–97; 8:45 am] OMB Desk Officer: Mr. Peter N. Weiss. quality as a result of fog oil obscurant BILLING CODE 5000±4±M training; training activities and tree Written comments and clearing that result in a ‘‘may effect’’ recommendations on the proposed finding to Federally listed threatened information collection should be sent to Department of the Army and endangered species; the potential Mr. Weiss at the Office of Management for loss of soil resources and accelerated and Budget, Desk Officer for DoD, Room Final Environmental Impact Statement erosion resulting from BRAC 10236, New Executive Office Building, (FEIS) for the Relocation of the U.S. construction projects; the release of Washington, DC 20503. Army Military Police School and the unburned fuel that could impact soil DOD Clearance Officer: Mr. Robert U.S. Army Chemical School to Fort Leonard Wood, Missouri and water resources at the expedient Cushing. flame range; and human health risks for Written requests for copies of the AGENCY: Department of the Army, DoD. trainers and military students involved information collection proposal should ACTION: Notice of availability. with obscurant training. Beneficial be sent to Mr. Cushing, WHS/DIOR, impacts include increased operational 1215 Jefferson Davis Highway, Suite SUMMARY: In compliance with the efficiency and training effectiveness 1204, Arlington, VA 22202–4302. National Environmental Policy Act of associated with the collocation of the Dated: March 31, 1997. 1969 (NEPA) and the President’s Engineer School, the Military Police Council on Environmental Quality Patrica L. Toppings, School and the Chemical School; short- (CEQ), the Army has prepared an FEIS term economic gains associated with Alternate OSD Federal Register, Liaison for the directed relocation of the U.S. Officer, Department of Defense. BRAC construction activities; and long- Army Chemical School and U.S. Army term economic gains associated with the [FR Doc. 97–8563 Filed 4–3–97; 8:45 am] Military Police School from Fort BILLING CODE 5000±04±M transfer of the Chemical School and McClellan, Alabama, to Fort Leonard Military Police School missions to Fort Wood, Missouri. The relocation is part Leonard Wood. of the approved 1995 Base Closure and Defense Science Board Task Force FEIS Distribution and Waiting Period Advanced Modeling and Simulation for Realignment actions mandated by the Analyzing Combat Concepts in the Base Closure and Realignment Act of Copies of the FEIS have been 21st Century 1990 (Pub. L. 101–510), and subsequent forwarded to Federal, State and local actions in compliance with this law. agencies; organizations; and individuals ACTION: Notice of advisory committee Therefore, the FEIS focuses on who provided substantive comments on meetings. alternative methods of implementing the Draft EIS, or who previously these BRAC actions at Fort Leonard requested a copy of the FEIS. These SUMMARY: The Defense Science Board Wood. The FEIS describes the proposed copies were distributed prior to, or Task Force on Advanced Modeling and action which involves the relocation of simultaneously with, the filing of this Simulation for Analyzing Combat military mission activities, construction Notice of Availability for the FEIS with Concepts in the 21st Century will meet of support facilities, and relocation of the U.S. Environmental Protection in closed session on April 21–22, 1997 personnel to Fort Leonard Wood. Agency. Copies of the FEIS are available at USACOM, JTASC, 116 Lakeview Alternatives considered for for review at the following public and Parkway, Suffolk, Virginia. realignment of the BRAC training other libraries: Kinderhook Regional The mission of the Defense Science missions include the: No. Action Library, Lebanon, Missouri; Kinderhook Board is to advise the Secretary of Alternative; Relocate Current Practice Regional Library, Waynesville, Defense through the Under Secretary of (RCP) Alternative; Optimum Training Missouri; Rolla Public Library, Rolla, Defense for Acquisition and Technology Method (OPTM) Alternative; and the Missouri; Kansas City Public Library, on scientific and technical matters as Environmentally Preferred Training Kansas City, Missouri; St. Louis County they affect the perceived needs of the Method (EPTM) Alternative. Library, Main Branch, St. Louis, Department of Defense. At this meeting Alternatives considered for providing Missouri; Clarke Engineer School the Task Force will address modeling required support facilities include the Library, Fort Leonard Wood, Missouri; and simulation capabilities required for No Action Alternative, and three land Texas County Library, Houston, analyzing concepts for 21st century use and facility siting implementation Missouri; Daniel Boone Regional military combat operations. These alternatives. The final element of the Library, Columbia, Missouri; Missouri capabilities should encompass the planned action, realignment of River Regional Library, Jefferson City, breadth of warfare from strategic to associated personnel, is considered in Missouri; Springfield-Greene County individuals fighting afoot for all phases the context of a: No Action Alternative; Library, Springfield, Missouri; and of military operations (Air, Land, Sea, and Total Early, Total Late, and Phased Fisher Library, Fort McClellan, Information, Communications). Move Alternatives. The Army has Alabama. Following a 30-day post-filing Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16143 waiting period, the Department of the of the project, the Corps intends to features and results in no net losses to Army will complete a Record of prepare a SEIS. That SEIS will include significant resources in the project area. Decision (ROD). an evaluation of the no-action 3. a. Public scoping meetings will be alternative, completion of the original Questions and Requests for FEIS held at various locations within the project plan, and alternative plans that project area. Initial public scoping Questions regarding the FEIS, or a incorporate various design features that meetings will be held in May or June request for a copy of the document may reduce negative environmental impacts. 1997. The public will be notified of each be directed to Mr. Alan Gehrt at the FOR FURTHER INFORMATION CONTACT: of these meetings in advance. The Kansas City District, Corps of Engineers, Marvin Cannon (telephone (601) 631– studies will analyze impacts to 601 E. 12th Street, Kansas City, MO 5437), CELMK–PD–Q, 4155 Clay Street, significant environmental resources 64106-2896; phone: (816) 983-3142 or Vicksburg, Mississippi 39180–3435. such as impacts to bottom-land Telefax: (816) 426-2142. SUPPLEMENTARY INFORMATION: The hardwoods, wetlands, migratory birds, Raymond J. Fatz, Mississippi River and Tributaries bats, water quality, endangered species, Deputy Assistant Secretary of the Army Project was authorized by Congress in waterfowl, and fisheries. Public (Environment, Safety and Occupational 1928. The project is designed to control meetings to present the results of these Health) OASA(I, L&E). a ‘‘project flood’’ with a discharge of 3 studies and a recommended plan of [FR Doc. 97–8166 Filed 4–3–97; 8:45 am] million cubic feet per second in the action are scheduled to be held in BILLING CODE 3710±08±M alluvial valley of the lower Mississippi February 1998 while the draft SEIS is River. A final Environmental Impact under review by the public. In addition, Statement for this project was filed with workshops will be conducted to discuss Department of the Army, Corps of the Council on Environmental Quality Engineers issues, inform interested parties of the on 8 April 1976. progress of the studies, and afford 1. Proposed Action: The proposed Intent To Prepare a Draft Supplemental additional opportunity for public input. action is construction of the Mississippi Environmental Impact Statement These workshops will be scheduled as River Mainline Levee Enlargement and [SEIS] for Remaining Construction of needed and where most convenient for Berm Construction Feature of the Main Stem Mississippi River Levees the analysis being conducted. Mississippi River and Tributaries between Cape Girardeau, Missouri, b. The draft SEIS is scheduled for Project on the Mississippi River and Head of Passes, Louisiana between Cape Girardeau, Missouri, and public review in February 1998. Gary W. Wright, AGENCY: U.S. Army Corps of Engineers, Head of Passes, Louisiana. As currently Vicksburg District, DOD. proposed, the recommended plan would Colonel, Corps of Engineers, District Engineer. ACTION: Notice of Intent. include the use of some or all of the [FR Doc. 97–8602 Filed 4–3–97; 8:45 am] following alternative mitigation BILLING CODE 3710±PU±M SUMMARY: The Corps of Engineers is measures—avoiding significant undertaking the Mississippi River and resources, using relief wells to reduce Tributaries Project in order to provide the amount of borrow area and replace Department of the Army Corps of flood protection from the ‘‘project berms, using hydraulic dredges to Engineers flood.’’ As part of that project, the Corps obtain dredged material from the river has proposed enlarging levees and for berm construction to reduce the Grant of Exclusive Licenses constructing berms and other amount of borrow area, using AGENCY: U.S. Army Corps of Engineers. appurtenances to provide that level of construction measures that allow either flood protection. The enlargement of reforestation of lands or creation of high ACTION: Notice. remaining levees and appurtenant quality fisheries, reforesting some lands, features within the boundaries of the and purchasing and reforesting SUMMARY: In accordance with 37 CFR Lower Mississippi Valley Division of agricultural lands. 404.7(b)(1)(i), announcement is made of the Corps would result in the loss of 2. Alternatives: Preliminary prospective exclusive licenses of the bottom-land hardwoods and forested alternatives that will be evaluated following foreign patent applications, wetlands and would have impacts on include no-action, completion of the each entitled ‘‘Concrete Armor Unit to waterfowl and fisheries habitat. In order original plan, and a plan that Protect Coastal and Hydraulic to determine the impacts of this element incorporates environmental design Structures and Shorelines.’’

Country Application No. Filed

Peoples Republic of China ...... 94192851.9 ...... Aug. 17, 1994. Indonesia ...... P±941654 ...... Sep. 30, 1994. Republic of Korea ...... 95±703936 ...... Aug. 17, 1994. Republic of China ...... 83108468 ...... Sep. 14, 1994. Malaysia ...... PI9402596 ...... Sep. 29, 1994. Argentina ...... 333,588 ...... Sep. 20, 1995. Brazil ...... PCT/US94/ May 27, 1996. 09263. Chile ...... 1518±95 ...... Oct. 3, 1995. Ecuador ...... SP±95±1552 ..... Oct. 13, 1995. France ...... (EP) 94926514.4 Aug. 17, 1994. Italy ...... (EP) 94926514.4 Aug. 17, 1994. Monaco ...... (EP) 94926514.4 Aug. 17, 1994. United Kingdom ...... (EP) 94926514.4 Aug. 17, 1994. Portugal ...... (EP) 94926514.4 Aug. 17, 1994. 16144 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

DATES: Written objections must be filed subsequent arrangements will not be [Docket No. ETEC±028] not later June 3, 1997. inimical to the common defense and Certification of the Radiological ADDRESSES: U.S. Army Waterways security. Condition of Building 028 at the Experiment Station, 3909 Halls Ferry This subsequent arrangement will Energy Technology Engineering Road, Vicksburg, MS 39180–6199. take effect no sooner than fifteen days Center Near Chatsworth, California ATTN: CEWES–OC. after the date of publication of this FOR FURTHER INFORMATION CONTACT: Mr. notice. AGENCY: U.S. Department of Energy, Phil Stewart (601) 634–4113, e-mail Issued in Washington, D.C. on March 31, Office of Environmental Restoration. [email protected] 1997. ACTION: Notice of certification. SUPPLEMENTARY INFORMATION: The Cherie P. Fitzgerald, SUMMARY: The Department of Energy Concrete Armor Unit was invented by Director, International Policy and Analysis (DOE) has completed radiological Jeffrey A. Melby and George F. Turk. Division, Office of Arms Control and surveys and taken remedial action to Rights to the patent applications Nonproliferation. decontaminate Building 028 located at identified above have been assigned to [FR Doc. 97–8638 Filed 4–3–97; 8:45 am] the Energy Technology Engineering the United States of America as BILLING CODE 6450±01±P Center (ETEC) near Chatsworth, represented by the Secretary of the California. This property previously was Army. The United States of America as found to contain radioactive materials represented by the Secretary of the Atomic Energy Agreements from activities carried out for the Army intends to grant an exclusive AGENCY: Department of Energy. Atomic Energy Commission and the license for all fields of use, in the ACTION: Subsequent arrangement. Energy Research and Development manufacture, use, and sale in the Administration (AEC/ERDA), territories and possessions, including SUMMARY: Pursuant to Section 131 of the predecessor agencies to DOE. Although territorial waters of each of the listed Atomic Energy Act of 1954, as amended DOE owns the majority of the buildings countries to SOGELREG-SOGREAH, 8P (42 U.S.C. 2160), notice is hereby given and equipment, a subsidiary of 172, 38042, Grenoble Cedex 9, France. of a proposed ‘‘subsequent Rockwell International, Rocketdyne, Pursuant to 37 CFR 404.7(b)(1)(i), any arrangement’’ under the Agreement for owned the land. Rocketdyne has interested party may file a written Cooperation in the Peaceful Uses of recently been sold to Boeing North objection to this prospective exclusive Nuclear Energy between the United American Incorporated. license agreement. States of America and the European FOR FURTHER INFORMATION CONTACT: Don Gregory D. Showalter, Atomic Energy Community Williams, Program Manager, Office of Army Federal Register Liaison Officer. (EURATOM) and the Agreement for Northwestern Area Programs, Office of Cooperation between the Government of [FR Doc. 97–8603 Filed 4–3–97; 8:45 am] Environmental Restoration (EM–44), the United States of America and the BILLING CODE 3710±92±M U.S. Department of Energy, Washington, Government of Canada concerning Civil D.C. 20585. Uses of Atomic Energy, as amended. SUPPLEMENTARY INFORMATION: DOE has DEPARTMENT OF ENERGY The subsequent arrangement to be carried out under the above-mentioned implemented environmental restoration projects at ETEC (Ventura County, Map Office of Arms Control and agreements involves approval of the Book 3, Page 7, Miscellaneous Records) Nonproliferation; Proposed following retransfer: RTD/EU(CA)–13, as part of DOE’s Environmental Subsequent Arrangements for the transfer of 127.8 kilograms of unirradiated low enriched uranium fuel Restoration Program. One objective of AGENCY: Department of Energy. fabrication scrap, containing 25.241 the program is to identify and clean up ACTION: Subsequent arrangements. kilograms of the isotope uranium-235 or otherwise control facilities where (19.75% enrichment), from AECL in residual radioactive contamination Pursuant to Section 131 of the Atomic Chalk River, Canada, to UKAEA in remains from activities carried out Energy Act of 1954, as amended (42 Dounreay, United Kingdom, for the under contract to AEC/ERDA during the U.S.C. 2160), notice is hereby given of purpose of recovering the uranium for early years of the Nation’s atomic energy a proposed ‘‘subsequent arrangement’’ return to Canada in the form of uranium program. under the Agreement for Cooperation metal pieces. ETEC is comprised of a number of between the Government of the United In accordance with Section 131 of the facilities and structures located within States of America and the Government Atomic Energy Act of 1954, as amended, Administrative Area IV of the Santa of the Federative Republic of Brazil it has been determined that this Susana Field Laboratory. The work concerning Civil Uses of Atomic Energy. subsequent arrangement will not be performed for DOE at ETEC consisted The subsequent arrangement to be inimical to the common defense and primarily of testing of equipment, carried out under the above-mentioned security. materials, and components for nuclear agreement involves approval of the This subsequent arrangement will and energy related programs. These following retransfer: RTD/BR(EU)–10, take effect no sooner that fifteen days nuclear energy research and for the transfer from the Republic of after the date of publication of this development programs, conducted by Germany to Brazil of 54,658 pieces of notice. Atomics International under contract to zircaloy-4 cladding tubes, weighing AEC/ERDA, began in 1946. Several 42,852 kilograms, to be incorporated Dated: March 31, 1997. buildings and land areas became into uranium fuel assemblies, with an For the Department of Energy. radiologically contaminated as a result enrichment level between 1.9% and Cherie Fitzgerald, of facility operations and site activities. 3.2% of uranium-235, for ultimate use Director, International Policy and Analysis Building 028 is one ETEC area that has in the Angra-2 reactor. Division, Office of Arms Control and been designated for cleanup under the In accordance with Section 131 of the Nonproliferation. DOE Environmental Restoration Atomic Energy Act of 1954, as amended, [FR Doc. 97–8639 Filed 4–3–97; 8:45 am] Program. Other areas undergoing it has been determined that these BILLING CODE 6450±01±P decontamination will be released as Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16145 they are completed and are verified to decontamination and removal of Valley, California; and the Platt Branch, meet established cleanup criteria and equipment and electrical components, Los Angeles Public Library, 23600 standards for release without including the furnace system used for Victory Boulevard, Woodland Hills, radiological restrictions as established the uranium-oxide experiments; (3) California. in DOE Order 5400.5. removal of the radiologically DOE has issued the following Building 028 is located in the north- contaminated ducting system; (4) statement of certification: central section of ETEC. The above- building surfaces decontamination, Statement of Certification: Energy grade concrete slab is approximately including scabbling of the concrete floor Technology Engineering Center, 2 300 m in area. The below-grade vault in Room 101A; (5) final miscellaneous Building 028 measures approximately 60 m2 with 6 m cleanup operations; and (6) final The U.S. Department of Energy, (20 ft.) ceilings. Construction consists of radiological survey of the building Oakland Operations Office, a concrete slab floor with concrete walls (above-grade and basement). Environmental Restoration Division, has and ceilings. Rockwell/Rocketdyne performed a reviewed and analyzed the radiological Building 028 was originally radiological survey in 1991. The data obtained following constructed to perform tests of space Environmental Survey and Site reactor shields using a fission plate Assessment Program of the Oak Ridge decontamination of Building 028 at the driven by neutrons from the thermal Institute for Science and Education Energy Technology Engineering Center. column of a 50-kW swimming pool-type performed independent verification of Based on analysis of all data collected reactor. This reactor was designated the the decontamination project in 1993. and the results of independent Shield Test Reactor and operated from Post-decontamination surveys have verification, DOE certifies that the 1961 to 1964, when it was replaced with demonstrated that Building 028 is in following property is in compliance another reactor design to operate at 1 compliance with DOE decontamination with DOE radiological decontamination MW. This latter configuration was criteria and standards for release criteria and standards as established in named the Shield Test and Irradiation without radiological restrictions. The DOE Order 5400.5. This certification of Reactor (STIR) and operated through State of California Department of Health compliance provides assurance that 1972. Services has concurred that the future use of the property will result in Following shutdown of the test proposed release guidelines provide no radiological exposure above program and removal of the reactor, the adequate assurance for release without applicable guidelines established to facility was decommissioned and made further radiological restrictions. In the protect members of the general public or available for alternate use in March event of property transfer, DOE intends site occupants. Accordingly, the 1976. to comply with applicable Federal, property specified below is released In 1977, operations were started to State, and local requirements. from DOE’s Environmental Restoration investigate the behavior of molten The external radiation exposure of the Program. uranium-oxide relative to simulated nine people directly associated with the Property owned by Boeing North reactor accidents, in particular, its STIR project, particularly the American Incorporated: reaction with floor and structural dismantling operations, during the Building 028, at the Energy materials. These experiments resulted in period of September 23, 1975, through Technology Engineering Center some recontamination of various parts January 31, 1976, averaged 193 mrem, (situated within Area IV of the Santa of the building that were used for with a maximum individual exposure of Susana Field Laboratory), located in a preparation and melting of the uranium- 420 mrem. The entire operation was portion of Tract ‘‘A’’ of Rancho Simi, in oxide. Tests continued intermittently performed with a total radiation the County of Ventura, State of into 1981. Some facility modifications exposure of 1.7 man-rem. California, as per map recorded in Book were made, and a decision to terminate None of the engineering or radiation 3, Page 7 of Miscellaneous Records of operations was made later in 1981. The and nuclear safety personnel assigned to Ventura County. building remained inactive, under the Building 028 decommissioning Issued in Washington, DC, on March 27, periodic surveillance, until project received any measurable 1997. decontamination began in 1988. exposure to ionizing radiation. James J. Fiore, To allow the release of Building 028 Final costs for the decontamination of Acting Deputy Assistant Secretary for for use without radiological restriction, the STIR project were $134,922. Environmental Restoration. all detectable radioactive material/ Final costs for the decontamination of contamination was removed from the Building 028 were $239,970. Statement of Certification: Energy facility. This decontamination and The certification docket will be Technology Engineering Center, Building 028 decommissioning was performed in two available for review between 9:00 a.m. phases, starting in 1975 (STIR facility) and 4:00 p.m., Monday through Friday The U.S. Department of Energy, Oakland (except Federal holidays), in the U.S. Operations Office, Environmental Restoration with the removal of the core tank, the Division, has reviewed and analyzed the activated concrete structures DOE Public Reading Room located in radiological data obtained following surrounding the core tank, thermal Room 1E–190 of the Forrestal Building, decontamination of the Energy Technology column, reactor shield, test vault 1000 Independence Avenue, S.W., Engineering Center Building 028. Based on carriage, water cooling systems, water Washington, D.C. Copies of the this analysis of all data collected, the shield door, and the partially certification docket will also be Department of Energy (DOE) certifies that the dismantled exhaust system. available at the following locations: following property is in compliance with The second and final stage of DOE Public Document Room, U.S. DOE, DOE decontamination criteria and standards. decontamination of Building 028 began Oakland Operations Office, the Federal This certification of compliance provides Building, 1301 Clay Street, Oakland, assurance that future use of the property will in 1988 and required slightly less than result in no radiological exposure above five months to complete. California; California State University, applicable guidelines established to protect Briefly, the decontamination steps Northridge, Urban Archives Center, members of the general public or site involved in the second stage: (1) Oviatt Library, Room 4, 18111 Nordhoff, occupants. Accordingly, the property Removal of surplus normal and Northridge, California; Simi Valley specified below is released from DOE’s depleted uranium oxide; (2) Library, 2629 Tapo Canyon Road, Simi Environmental Restoration Program. 16146 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Property owned by Rockwell International Renewable Energy, Mail Station EE–43, Section 430.27 (g). An Interim Waiver Corporation: Forrestal Building, 1000 Independence remains in effect for a period of 180 Building 028, at the Energy Technology Avenue, SW., Washington, D.C. 20585– days or until DOE issues its Engineering Center, located in a portion of 0121, (202) 586–9138, or Mr. Eugene determination on the Petition for Tract ‘‘A’’ of Rancho Simi, in the County of Waiver, whichever is sooner, and may Ventura, State of California, as per map Margolis, Esq., U.S. Department of recorded in Book 3, Page 7 of Miscellaneous Energy, Office of General Counsel, Mail be extended for an additional 180 days, Records of Ventura County. Station GC–72, Forrestal Building, 1000 if necessary. Certification: Independence Avenue, SW., On January 29, 1997, Rheem filed an Dated: January 23, 1997. Washington, D.C. 20585–0103, (202) Application for Interim Waiver and a Roger Liddle, 586–9507. Petition for Waiver regarding blower Director, ERD. SUPPLEMENTARY INFORMATION: The time delay. Rheem’s Application seeks an Interim Waiver from the DOE test [FR Doc. 97–8640 Filed 4–3–97; 8:45 am] Energy Conservation Program for provisions that require a 1.5-minute BILLING CODE 6450±01±P Consumer Products (other than automobiles) was established pursuant time delay between the ignition of the to the Energy Policy and Conservation burner and starting of the circulating air Office of Energy Efficiency and Act, as amended, (EPCA) which requires blower. Instead, Rheem requests the Renewable Energy DOE to prescribe standardized test allowance to test using a 20-second procedures to measure the energy blower time delay when testing its GFD [Case No. F±089] upflow residential, modulating type, consumption of certain consumer gas-fired furnaces. Rheem states that the products, including furnaces. Energy Conservation Program for 20-second delay is indicative of how The intent of the test procedures is to Consumer Products: Granting of the these furnaces actually operate. Such a provide a comparable measure of energy Application for Interim Waiver and delay results in an average of consumption that will assist consumers Publishing of the Petition for Waiver of approximately 2.0 percent increase in in making purchasing decisions. These Rheem Manufacturing Company From AFUE. Since current DOE test test procedures appear at Title 10 CFR the DOE Furnace Test Procedure procedures do not address this variable Part 430, Subpart B. blower time delay, Rheem asks that the AGENCY: Office of Energy Efficiency and The Department amended the test Interim Waiver be granted. Renewable Energy, Department of procedure rules to provide for a waiver Energy. The Department has published a process by adding Section 430.27 to Notice of Proposed Rulemaking on ACTION: Notice. Title 10 CFR Part 430. 45 FR 64108, August 23, 1993, (58 FR 44583) to September 26, 1980. Subsequently, DOE SUMMARY: Today’s notice grants an amend the furnace test procedure, amended the waiver process to allow which addresses the above issue. Interim Waiver to Rheem Manufacturing the Assistant Secretary for Energy Company (Rheem) from the existing Previous Petitions for Waiver for this Efficiency and Renewable Energy type of time blower delay control have Department of Energy (DOE or (Assistant Secretary) to grant an Interim Department) test procedure regarding been granted by DOE to Coleman Waiver from test procedure Company, 50 FR 2710, January 18, 1985; blower time delay for the company’s requirements to manufacturers that have GFD upflow residential, modulating Magic Chef Company, 50 FR 41553, petitioned DOE for a waiver of such October 11, 1985; Rheem Manufacturing type, gas-fired furnaces. prescribed test procedures. Title 10 CFR Today’s notice also publishes a Company, 53 FR 48574, December 1, Part 430, Section 430.27(a)(2). 1988, 56 FR 2920, January 25, 1991, 57 ‘‘Petition for Waiver’’ from Rheem. The waiver process allows the Rheem’s Petition for Waiver requests FR 10166, March 24, 1992, 57 FR 34560, Assistant Secretary to waive temporarily August 5, 1992; 59 FR 30577, June 14, DOE to grant relief from the DOE test procedures for a particular basic furnace test procedure relating to the 1994, and 59 FR 55470, November 7, model when a petitioner shows that the 1994; Trane Company, 54 FR 19226, blower time delay specification. Rheem basic model contains one or more seeks to test using a blower delay time May 4, 1989, 56 FR 6021, February 14, design characteristics which prevent 1991, 57 FR 10167, March 24, 1992, 57 of 20 seconds for its GFD upflow testing according to the prescribed test residential, modulating type, gas-fired FR 22222, May 27, 1992, 58 FR 68138, procedures, or when the prescribed test December 23, 1993, and 60 FR 62835, furnaces instead of the specified 1.5- procedures may evaluate the basic December 7, 1995; Lennox Industries, minute delay between burner on-time model in a manner so unrepresentative 55 FR 50224, December 5, 1990, 57 FR and blower on-time. The Department is of its true energy consumption as to 49700, November 3, 1992, 58 FR 68136, soliciting comments, data, and provide materially inaccurate December 23, 1993, and 58 FR 68137, information respecting the Petition for comparative data. Waivers generally December 23, 1993; Inter-City Products Waiver. remain in effect until final test Corporation, 55 FR 51487, December 14, DATES: DOE will accept comments, data, procedure amendments become 1990, 56 FR 63945, December 6, 1991 and information not later than May 5, effective, resolving the problem that is and 61 FR 27057, May 30, 1996; DMO 1997. the subject of the waiver. Industries, 56 FR 4622, February 5, ADDRESSES: Written comments and An Interim Waiver will be granted if 1991, and 59 FR 30579, June 14, 1994; statements shall be sent to: Department it is determined that the applicant will Heil-Quaker Corporation, 56 FR 6019, of Energy, Office of Codes and experience economic hardship if the February 14, 1991; Carrier Corporation, Standards, Case No. F–089, Mail Stop Application for Interim Waiver is 56 FR 6018, February 14, 1991, 57 FR EE–43, Room 1J–018, Forrestal Building, denied, if it appears likely that the 38830, August 27, 1992, 58 FR 68131, 1000 Independence Avenue, SW, Petition for Waiver will be granted, and/ December 23, 1993, 58 FR 68133, Washington, D.C. 20585–0121, (202) or the Assistant Secretary determines December 23, 1993, 59 FR 14394, March 586–7140. that it would be desirable for public 28, 1994, and 60 FR 62832, December 7, FOR FURTHER INFORMATION CONTACT: Mr. policy reasons to grant immediate relief 1995; Amana Refrigeration Inc., 56 FR Cyrus H. Nasseri, U.S. Department of pending a determination on the Petition 27958, June 18, 1991, 56 FR 63940, Energy, Office of Energy Efficiency and for Waiver. Title 10 CFR Part 430, December 6, 1991, 57 FR 23392, June 3, Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16147

1992, and 58 FR 68130, December 23, the thermocouple grid described above, Assistant Secretary, Conservation and 1993; Snyder General Corporation, 56 at 0.5 and 2.5 minutes after the main Renewable Energy, United States FR 54960, September 9, 1991; Goodman burner(s) comes on. After the burner Department of Energy, 1000 Manufacturing Corporation, 56 FR start-up, delay the blower start-up by 1.5 Independence Avenue, SW., Washington, DC 20585. 51713, October 15, 1991, 57 FR 27970, minutes (t-) unless: (1) The furnace June 23, 1992, 59 FR 12586, March 17, employs a single motor to drive the Dear Mr. Nasseri: This is a petition for waiver and application for interim waiver 1994 and 61 FR 17289, April 19, 1996; power burner and the indoor air submitted pursuant to title 10 CFR Part The Ducane Company Inc., 56 FR circulation blower, in which case the 430.27. Waiver is requested from the furnace 63943, December 6, 1991, 57 FR 10163, burner and blower shall be started test procedure as prescribed in appendix N March 24, 1992, and 58 FR 68134, together; or (2) the furnace is designed to Subpart B of Part 430. The test procedure December 23, 1993; Armstrong Air to operate using an unvarying delay requires a 1.5 minute delay between burner Conditioning, Inc., 57 FR 899, January 9, time that is other than 1.5 minutes, in and blower start-up. Rheem is requesting 1992, 57 FR 10160, March 24, 1992, 57 which case the fan control shall be authorization to use a 20 second delay FR 10161, March 24, 1992, 57 FR 39193, instead of 1.5 minutes for our series (-)GFD permitted to start the blower; or (3) the upflow residential, modulating type gas-fired August 28, 1992, 57 FR 54230, delay time results in the activation of a furnace. November 17, 1992, and 59 FR 30575, temperature safety device which shuts Rheem will be manufacturing these June 14, 1994; Thermo Products, Inc., 57 off the burner, in which case the fan appliances with an electronic device that FR 903, January 9, 1992, and 61 FR control shall be permitted to start the controls the blower operation on a timing 17887, April 23, 1996; Consolidated blower. In the latter case, if the fan sequence as opposed to temperature. Industries Corporation, 57 FR 22220, control is adjustable, set it to start the Improved energy efficiency is achieved by May 27, 1992, and 61 FR 4262, February blower at the highest temperature. If the reducing on cycle losses. Under the 5, 1996; Evcon Industries, Inc., 57 FR Appendix N procedures, the stack fan control is permitted to start the temperature is allowed to climb at a faster 47847, October 20, 1992, and 59 FR blower, measure time delay (t-) using a rate than it would with a 12 second blower 46968, September 13, 1994; Bard stop watch. Record the measured on time, allowing energy to be lost out of the Manufacturing Company, 57 FR 53733, temperatures. During the heat-up test for vent system. This waste of energy would not November 12, 1992, 59 FR 30578, June oil-fueled furnaces, maintain the draft in occur in actual operation. If this petition is 14, 1994, and 61 FR 50812, September the flue pipe within ± 0.01 inch of water granted, the true blower on time delay would 27, 1996; and York International column of the manufacturer’s be used in the calculations. The current test procedures do not give Corporation, 59 FR 46969, September recommended on-period draft. 13, 1994, 60 FR 100, January 3, 1995, 60 Rheem credit for the energy savings which This Interim Waiver is based upon the averages approximately 2% Annual Fuel FR 62834, December 7, 1995, and 60 FR Utilization Efficiency (AFUE). This 62837, December 7, 1995. presumed validity of statements and all allegations submitted by the company. improvement is an average reduction of 20% Thus, it appears likely that this of the normal on cycle energy losses. Rheem Petition for Waiver for blower time This Interim Waiver may be removed or is of the opinion that a 20% reduction is a delay will be granted. In those instances modified at any time upon a worthwhile energy savings. where the likely success of the Petition determination that the factual basis Rheem has been granted previous waivers for Waiver has been demonstrated based underlying the Application is incorrect. regarding blower on time to be used in the upon DOE having granted a waiver for The Interim Waiver shall remain in efficiency calculations for our (-)GEP, (-)GKA, (-)GRA, (-)GSA and (-)GTA series condensing a similar product design, it is in the effect for a period of 180 days or until furnaces and/or (-)GDE, (-)GLE, (-)GDG, public interest to have similar products DOE acts on the Petition for Waiver, (-)GLG, (-)GPH, (-)GLH, (-)GVH, and (-)GVG tested and rated for energy consumption whichever is sooner, and may be series furnaces. Several other manufacturers on a comparable basis. extended for an additional 180-day of gas furnaces have also been granted a Therefore, based on the above, DOE is period, if necessary. waiver to permit calculations based on timed blower operation. Also, ASHRAE Standard granting Rheem an Interim Waiver for Rheem’s Petition for Waiver requests its GFD upflow residential, modulating 103–1993, paragraph 9.5.1.2.2 specifically DOE to grant relief from the DOE addresses the use of a timed blower type, gas-fired furnaces. Rheem shall be furnace test procedure relating to the permitted to test its GFD upflow operation. blower time delay specification. Rheem Confidential and comparative test data is residential, modulating type, gas-fired seeks to test using a blower delay time available to you upon your request, furnaces on the basis of the test of 20 seconds for its GFD upflow confirming the above energy savings. procedures specified in Title 10 CFR residential, modulating type, gas-fired Manufacturers that domestically market Part 430, Subpart B, Appendix N, with furnaces instead of the specified 1.5- similar products are being sent a copy of this petition for waiver and petition for interim the modification set forth below: minute delay between burner on-time (I) Section 3.0 in Appendix N is waiver. and blower on-time. Pursuant to deleted and replaced with the following Sincerely, paragraph (b) of Title 10 CFR Part paragraph: Daniel J. Canclini, 3.0 Test Procedure. Testing and 430.27, DOE is hereby publishing the Vice-President, Product Development and measurements shall be as specified in ‘‘Petition for Waiver’’ in its entirety. The Research Engineering. Section 9 in ANSI/ASHRAE 103–82 Petition contains no confidential bcc: B.A. Cook, K. W. Kleman, R. W. Willis information. The Department solicits with the exception of Sections 9.2.2, [FR Doc. 97–8637 Filed 4–3–97; 8:45 am] 9.3.1, and 9.3.2, and the inclusion of the comments, data, and information BILLING CODE 6450±01±P following additional procedures: respecting the Petition. (II) Add a new paragraph 3.10 in Issued in Washington, DC, on March 31, Appendix N as follows: 1997. State Energy Advisory Board, Open 3.10 Gas and Oil-Fueled Central Christine A. Ervin, Meeting Furnaces. After equilibrium conditions Assistant Secretary, Energy Efficiency and are achieved following the cool-down Renewable Energy. Pursuant to the provisions of the test and the required measurements Federal Advisory Committee Act (Public performed, turn on the furnace and January 29, 1997. Law 92–463; 86 Stat. 770), notice is measure the flue gas temperature, using Mr. Cyrus Nasseri, hereby given of the following meeting: 16148 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Name: State Energy Advisory Board. filing a Notice of Termination of considered by the Commission in Date and Time: May 5, 1997 from 9:00 am Wholesale Power Service to the determining the appropriate action to be to 5:00 pm, and May 6, 1997 from 9:00 am Commissioners of Public Works of the taken, but will not serve to make to 12:00 pm. City of Greenwood, South Carolina. protestants parties to the proceedings. Place: The Mayflower Park Hotel, 405 Any person desiring to be heard or Any person wishing to become a party Olive Way, Seattle, WA 98101. 206–623– 8700. protest said filing should file a motion must file a motion to intervene. Copies Contact: William J. Raup, Office of to intervene or protest with the Federal of this filing are on file with the Building Technology, State, and Community Energy Regulatory Commission, 888 Commission and are available for public Programs, Energy Efficiency and Renewable First Street, N.E., Washington, D.C. inspection. Energy, U.S. Department of Energy, 20426, in accordance with Rules 211 Lois D. Cashell, Washington, DC 20585, Telephone 202/586– and 214 of the Commission’s Rules of Secretary. 2214. Practice and Procedure (18 CFR 385.211 [FR Doc. 97–8578 Filed 4–2–97; 8:45 am] Purpose of the Board: To make and 18 CFR 385.214). All such motions BILLING CODE 6717±01±M recommendations to the Assistant Secretary or protests should be filed on or before for Energy Efficiency and Renewable Energy April 11, 1997. Protests will be regarding goals and objectives and programmatic and administrative policies, considered by the Commission in determining the appropriate action to be [Docket Nos. EC97±23±000 and EL97±32± and to otherwise carry out the Board’s 000] responsibilities as designated in the State taken, but will not serve to make protestants parties to the proceeding. Energy Efficiency Programs Improvement Act Morgan Stanley Capital Group Inc.; of 1990 (P.L. 101–440). Any person wishing to become a party Notice of Filing Tentative Agenda: Briefings on, and must file a motion to intervene. Copies discussions of: of this filing are on file with the March 31, 1997. • The FY1998 Federal budget request for Commission and are available for public Take notice that Morgan Stanley Energy Efficiency and Renewable Energy inspection. programs. Capital Group Inc. (‘‘MSCGI’’) on March • Issues related to Electric Utility Industry Lois D. Cashell, 25, 1997, tendered for filing a request restructuring and potential Federal Secretary. that the Commission approve a legislation in this area. [FR Doc. 97–8577 Filed 4–3–97; 8:45 am] disposition of facilities and/or grant any • Review of the Board’s Fifth Annual BILLING CODE 6717±01±M other authorization the Commission Report. may deem to be needed under Section Public Participation: The meeting is open 203 of the Federal Power Act as a result to the public. Written statements may be filed [Docket No. ER97±2212±000] of the forthcoming merger between with the Board either before or after the meeting. Members of the public who wish to Duke Power Company; Notice of Filing Morgan Stanley Group Inc. (‘‘MS’’), make oral statements pertaining to agenda MSCGI’s parent, and Dean Witter, items should contact William J. Raup at the March 31, 1997. Discover & Co. (‘‘DWD&Co.’’). address or telephone number listed above. Take notice that on March 21, 1997, Take notice that MSCGI on March 25, Requests to make oral presentations must be Duke Power Company (‘‘Duke’’) 1997, also tendered for filing a request received five days prior to the meeting; tendered for filing a Network Integration for a declaratory order disclaiming reasonable provision will be made to include Transmission Service Agreement and a jurisdiction over the merger of MSCGI’s the statements in the agenda. The Chair of Network Operating Agreement (‘‘NOA’’) parent, MS, with DWD&Co. under the Board is empowered to conduct the between Duke, on its own behalf and meeting in a fashion that will facilitate the Section 203 of the Federal Power Act. orderly conduct of business. acting as agent for its wholly-owned MSCGI requests expedition and an Minutes: The minutes of the meeting will subsidiary, Nantahala Power and Light order disclaiming jurisdiction by May 1, be available for public review and copying Company, and the Commissioners of 1997. within 30 days at the Freedom of Information Public Works of the City of Greenwood, Public Reading Room, 1E–190, Forrestal South Carolina and Cinergy Services, Any person desiring to be heard or to Building, 1000 Independence Avenue, SW., Inc., acting as agent for the protest said filing should file a motion Washington, DC, between 9 a.m. and 4 p.m., Commissioners of Public Works of the to intervene or protest with the Federal Monday through Friday, except Federal City of Greenwood, South Carolina Regulatory Commission, 888 First holidays. (collectively, ‘‘Transmission Street, NE., Washington, DC 20426, in Issued at Washington, DC, on March 28, Customer’’). Duke states that the NITSA accordance with Rules 211 and 214 of 1997. and NOA set out the transmission the Commission’s Rules of Practice and Gail R. Cephas, arrangements under which Duke will Procedure (18 CFR 385.211 and 18 CFR Acting Deputy Advisory Committee, provide the Transmission Customer 385.214). All such motions or protests Management Officer. Network Integration Transmission should be filed on or before April 9, [FR Doc. 97–8641 Filed 4–3–97; 8:45 am] Service under Duke’s Pro Forma Open 1997. Protests will be considered by the Commission in determining the BILLING CODE 6450±01±P Access Transmission Tariff. Any person desiring to be heard or to appropriate action to be taken, but will protest said filing should file a motion not serve to make protestants parties to Federal Energy Regulatory to intervene or protest with the Federal the proceeding. Any person wishing to Commission Energy Regulatory Commission, 888 become a party must file a motion to intervene. Copies of this filing are on [Docket No. ER97±2211±000] First Street, N.E., Washington, D.C. 20426, in accordance with Rules 211 file with the Commission and are available for public inspection. Duke Power Company; Notice of Filing and 214 of the Commission’s Rules of Practice and Procedures (18 CFR Lois D. Cashell, March 31, 1997. 385.211 and 18 CFR 385.214). All such Secretary. Take notice that on March 21, 1997, motions or protests should be filed on [FR Doc. 97–8630 Filed 4–3–97; 8:45 am] Duke Power Company tendered for or before April 11, 1997. Protests will be BILLING CODE 6717±01±M Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16149

[Docket No. CP97±294±000] proposed in Docket No. CP96–27–001 to rate under Rate Schedule FTS which is the suction side of Compressor Station currently about 14 cents, and then Natural Gas Pipeline Company of No. 110; Northern Border would charge its own America; Notice of Application (3) About 68.9 miles of 42-inch shippers 8.5 cents per MMBtu under March 31, 1997. mainline loop in Henry, Bureau and Northern Border’s cost-of-service tariff. LaSalle Counties, Illinois, from the Take notice that on March 19, 1997, Natural says that under the Amarillo discharge side of Compressor Station Natural Gas Pipeline Company of System Alternative, Northern Border’s No. 110 to the beginning of the No. 4 America (Natural), located at 701 East system would be effectively extended line in LaSalle County, Illinois; 22nd Street, Lombard, Illinois 60148, east of Harper and that all the shippers (4) About 4.7 miles of 36-inch filed in Docket No. CP97–294–000 an would contract with Northern Border, mainline loop in Bureau County, application pursuant to Section 7(c) of not with Natural, for service to the Illinois, extending eastward from the the Natural Gas Act and Subpart A of Chicago area. Natural says that all the Part 157 of the Commission’s end of the 36-inch loop proposed in Docket No. CP96–27–001; shippers would receive comparable or, Regulations. Natural seeks a certificate in some cases, better service than they of public convenience and necessity (5) Two 15,000 horsepower gas turbine compressors at Station No. 199 originally contracted for (in the authorizing the construction and precedent agreements), but at a lower operation of certain expansion facilities located in Muscatine County, Iowa; (6) 19,000 horsepower of gas turbine per unit cost. Natural says that all this required by transport up to 663,000 Mcf would be accomplished without the per day of additional volumes on compression at Station No. 110 located in Henry County, Illinois; and, need for a totally new pipeline system/ Natural’s Amarillo mainline system east corridor being constructed across of Harper, Iowa, to the Chicago area. (7) One 13,000 horsepower gas turbine compressor at Station No. 113 eastern Iowa and Illinois by Northern The details of Natural’s application are Border. more fully set forth in its filing which located in Will County, Illinois. is on file with the Commission and open The estimated cost of these facilities Any person desiring to be heard or to to public inspection. is $160 million. make any protest with reference to said Natural states that this application is Natural says that it will charge its application should on or before April being filed in response to the Draft currently effective rates under Rate 21, 1997, file with the Federal Energy Environmental Impact Statement (DEIS) Schedule FTS for the transportation Regulatory Commission, Washington, for the ‘‘Northern Border Project’’ issued service performed by the facilities D.C. 20426, a motion to intervene or a by the Commission Staff in Northern proposed in this Application. Natural protest in accordance with the Border Pipeline Company (Northern further requests a preliminary requirements of the Commission’s Rules Border), Docket Nos. CP95–194–001, determination that the cost of the of Practice and Procedure (18 CFR 003, and Natural, Docket Nos. CP96–27– facilities should be reflected on a rolled- 385.214 or 385.211) and the Regulations 000, 001, and represents a further in basis in Natural’s next Section 4 rate under the Natural Gas Act (18 CFR expansion of Natural’s Amarillo Line. proceeding. The Commission’s pricing 157.20). All protests filed with the This application, in conjunction with policy statement in Docket No. PL94–4– Commission will be considered by it in Natural’s already pending applications 000 indicates that there is a determining the appropriate action to be in Docket Nos. CP96–27–000 and 001, is presumption in favor of rolled-in rates taken but will not serve to make the said to put before the Commission, in a when the rate increase to existing protestants parties to the proceeding. formal manner, the ‘‘Amarillo System customers from rolling-in the new Any person wishing to become a party Alternative’’ considered by the DEIS for facilities is five percent or less. to the proceeding or to participate as a the Northern Border Project. However, Natural says that, as shown in Exhibit party in any hearing therein must file a Natural states that 62 miles of large N of its application, the rolling-in of the motion to intervene in accordance with diameter lateral lines and 29,600 proposed facilities will have no the Commission’s Rules. horsepower of additional compression significant impact on Natural’s existing Take further notice that, pursuant to which the Northern Border DEIS rates. While the impact on the rates for the authority contained in and subject to considered as part of the Amarillo Natural’s transportation services vary by the jurisdiction conferred upon the System Alternative is not included transportation path, on a volume Commission by Sections 7 and 15 of the because Natural says that those facilities weighted basis, there is a slight overall Natural Gas Act and the Commission’s are not needed. Thus, Natural states that reduction in rates. Similarly, Natural’s Rules of Practice and Procedure, a its version of the Amarillo System storage rates will change by less than Alternative is preferable to the Iowa/ 0.3%. Natural claims to have thus met hearing will be held without further Illinois System Alternative which was the requirements necessary for a notice before the Commission or its also considered by the Northern Border preliminary determination in favor of designee on this application if no Project DEIS. rolled-in rates. motion to intervene is filed within the Natural requests certificate authority Natural says that Northern Border time required herein, if the Commission for the following facilities: could contract with it for firm on its own review of the matter finds (1) About 20.7 miles of 36-inch transportation service over the Amarillo that a grant of the certificate is required mainline loop in Washington and System Alternative in lieu of by the public convenience and Louisa Counties, Iowa, extending constructing the Northern Border necessity. If a motion for leave to westward from the beginning of the 36- proposed expansion from Harper to intervene is timely filed, or if the 1 inch loop proposed in Docket No. Chicago. Natural says that Northern Commission on its own motion believes CP96–27–001; Border would pay Natural’s maximum that a formal hearing is required, further (2) About 16.9 miles of 36-inch notice of such hearing will be duly 1 Natural says that it made this offer to Northern given. mainline loop in Rock Island and Henry Border on January 27, 1997, but that on February Counties, Illinois, extending eastward 7, 1997, Northern Border declined the offer and Under the procedure herein provided from the end of the 36-inch loop made no counter-proposal. for, unless otherwise advised, it will be 16150 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices unnecessary for Natural to appear or be certificate issued in Docket No. CP82– [Project Nos. 2017±011 et al.] represented at the hearing. 426–000 pursuant to Section 7 of the Hydroelectric Applications [Southern Lois D. Cashell, Natural Gas Act, all as more fully set California Edison Company, et al.]; forth in the request that is on file with Secretary. Notice of Applications [FR Doc. 97–8575 Filed 4–3–97; 8:45 am] the Commission and open to public BILLING CODE 6717±01±M inspection Take notice that the following Transco states that the new sales tap hydroelectric applications have been filed with the Commission and are [Docket No. OA97±553±000] will be used by Occidental Chemical Corporation (Occidental) for chemical available for public inspection: 1 a. Type of Application: New Major Ohio Edison Company, Pennsylvania manufacturing plant operations. License. Power Company; Notice of Filing Transco proposes to construct, install, b. Project No.: 2017–011. own and operate the new sales tap and March 31, 1997. c. Date filed: February 26, 1997. associated pipeline facilities consisting d. Applicant: Southern California Take notice that on February 21, 1997, of a 6-inch hot tap near the 4.04 Edison. Ohio Edison Company tendered for milepost on Transco’s existing 12-inch e. Name of Project: Big Creek No. 4 filing on behalf of itself and Hester Lateral, a dual 2-inch meter run Hydroelectric. Pennsylvania Power Company, a and 750 of associated pipeline. Transco f. Location: On the San Joaquin River, Supplement to the rate schedule to the states that Occidental will construct, or near Auberry, in Fresno, Madera, and Agreement for System Power cause to be constructed, appurtenant Tulare Counties, California; on lands Transactions with Citizens Lehman facilities to enable it to receive up to within the Sierra National Forest. Power Sales. This filing is made 8,000 Mcf of gas per day from Transco g. Filed Pursuant to: Federal Power pursuant to Section 205 of the Federal on an interruptible basis. Transco states Act 16 USC §§ 791(a)–825(r). Power Act. that the proposed facilities are estimated h. Applicant Contact: C. Edward Any person desiring to be heard or to at $165,000 and that Occidental will Miller, Manager of Hydro Generation protest said filing should file a motion cause Transco to be reimbursed for all Southern California Edison Co., 2244 to intervene or protest with the Federal costs associated with the facilities. Walnut Grove Avenue, P.O. Box 800, Energy Regulatory Commission, 888 Rosemead, CA 91770, (818) 302–1564. Transco states that the new sales tap First Street, N.E., Washington, D.C. i. FERC Contact: He´ctor M. Pe´rez at is not prohibited by its existing tariff 20426, in accordance with Rules 211 (202) 219–2843. and 214 of the Commission’s Rules of and that it has sufficient capacity to j. Brief Description of Project: The Practice and Procedure (18 CFR 385.211 accomplish deliveries without existing project consists of: (1) The Big and 18 CFR 385.214). All such motions detriment or disadvantage to other Creek Dam No. 7 with the 465-acre or protests should be filed on or before customers. The new sales tap will not reservoir; (2) the concrete intake April 11, 1997. Protests will be have an effect on Transco’s peak day structure; (3) the water conduit; (4) the considered by the Commission in and annual deliveries and the total concrete powerhouse; (5) two turbine determining the appropriate action to be volumes delivered will not exceed total generator units with a rated capacity of taken, but will not serve to make volumes authorized prior to this 50 MW each and the turbine generator protestants parties to the proceeding. request. unit with a rated capacity of 350 kW; (6) Any person wishing to become a party Any person or the Commission’s staff the tailrace; (7) the two 220-kV must file a motion to intervene. Copies transmission lines, one 5.8-mile-long of this filing are on file with the may, within 45 days after issuance of the instant notice by the Commission, and one 81-mile-long; and (8) other Commission and are available for public appurtenances. inspection. file pursuant to Rule 214 of the Commission’s Procedural Rules (18 CFR k. With this notice, we are initiating Lois D. Cashell, consultation with the California State 385.214) a motion to intervene or notice Secretary. Historic Preservation Officer (SHPO), as of intervention and pursuant to Section [FR Doc. 97–8579 Filed 4–3–97; 8:45 am] required by § 106, National Historic 157.205 of the Regulations under the BILLING CODE 6717±01±M Preservation Act, and the regulations of Natural Gas Act (18 CFR 157.205) a the Advisory Council on Historic protest to the request. If no protest is Preservation, 36, CFR, at 800.4. [Docket No. CP97±308±000] filed within the time allowed therefor, l. Under Section 4.32 (b)(7) of the the proposed activity shall be deemed to Transcontinental Gas Pipe Line Commission’s regulations (18 CFR), if be authorized effective the day after the any resource agency, Indian Tribe, or Corporation; Notice of Request Under time allowed for filing a protest. If a Blanket Authorization person believes that the applicant protest is filed and not withdrawn should conduct an additional scientific March 31, 1997. within 30 days after the time allowed study to form an adequate factual basis Take notice that on March 26, 1997, for filing a protest, the instant request for a complete analysis of the Transcontinental Gas Pipe Line shall be treated as an application for application on its merits, they must file Corporation (Transco), P.O. Box 1396, authorization pursuant to Section 7 of a request for the study with the Houston, Texas 77251, filed in Docket the Natural Gas Act. Commission, not later than 60 days after No. CP97–308–000 a request pursuant to Lois D. Cashell, the application is filed, and must serve Sections 157.205 and 157.211 of the Secretary. a copy of the request on the applicant. Commission’s Regulations under the [FR Doc. 97–8576 Filed 4–3–97; 8:45 am] 2 a. Type of Application: Preliminary Natural Gas Act (18 CFR 157.211) for Permit. BILLING CODE 6717±01±M authorization to construct and operate a b. Project No.: 11598–000. sales tap for an existing industrial c. Date filed: February 11, 1997. chemical facility located in St. James d. Applicant: Ketchikan Public Parish, Louisiana, under TGPL’s blanket Utilities. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16151

e. Name of Project: Carlanna Lake l. This notice also consists of the 6 a. Type of Application: Non-Project Hydroelectric. following standard paragraphs: A5, A7, Use of Project Lands and Waters. f. Location: At Carlanna Lake, an A9, A10, B, C, and D2. b. Project Name: Catawba-Wateree existing reservoir owned by the 4 a. Application Type: Request Project. applicant, on Carlanna Creek, near the approval for dredging and new c. Project No.: FERC Project No. 2232– city of Ketchikan, Ketchikan Gateway commercial marina. 340. d. Date Filed: February 11, 1997. Borough, Alaska. b. Project No: 459–088. g. Filed Pursuant to: Federal Power e. Applicant: Duke Power Company. c. Date Filed: January 22, 1997. f. Location: Mecklenburg County, Act, 16 U.S.C., § 791(a)–825(r). d. Applicant: Union Electric h. Applicant Contact: Mr. John North Carolina, Crown Harbor Company. Subdivision on Lake Norman near Magyar, General Manager, Ketchikan e. Name of Project: Osage Mooresville. Public Utilities, 2930 Tongass Avenue, Hydroelectric Project. g. Filed pursuant to: Federal Power Ketchikan, AK 99901, (907) 225–1000. f. Location: Lake of the Ozarks, Act, 16 U.S.C. § 791(a)–825(r). i. FERC Contact: Surender M. Yepuri, Morgan County, Missouri. h. Applicant Contact: Mr. E.M. P.E., (202) 219–2847. g. Filed Pursuant to: 18 CFR 4.200. Oakley, Duke Power Company, P.O. Box j. Comment Date: June 2, 1997. h. Applicant Contact: Ms. Barbara 1006 (EC12Y), Charlotte, NC 28201– k. Description of Project: The Skitt, Union Electric Company, 1901 1006, (704) 382–5778. proposed project would consist of: (1) A Chouteau Avenue, St. Louis, MO 63166, i. FERC Contact: Brian Romanek, 340-foot-long, 31-foot-high concrete- (314) 554–3453. (202) 219–3076. faced dam; (2) a 250-foot-long spillway i. FERC Contact: Steve Hocking, (202) j. Comment Date: May 12, 1997. at crest elevation 520 feet (msl); (3) a 219–2656. k. Description of the filing: reservoir with a surface area of 32 acres; j. Comment Date: May 2, 1997. Application to grant an easement of 1.32 (4) a 24-inch-diameter, 0.7-mile-long k. Description of Application: Union acres of project land to B.V. Belk steel penstock; (5) a powerhouse with Electric Company (licensee) requests Investments to construct a private an installed capacity of 800 kW; (6) a Commission approval to grant a permit residential marina consisting of 35 boat tailrace; (7) a 34.5-kV, 0.25 mile-long to Mr. Gene Gennetten of Ozark Barge slips. The proposed marina would transmission line connecting the project & Dock Service for a new commercial provide access to the reservoir for to the existing distribution system; and marina able to accommodate up to 40 residents of Crown Harbor Subdivision. (8) other appurtenances. boats at any one time. The licensee also The proposed marina facility would l. This notice also consists of the seeks Commission approval to grant Mr. consist of an access ramp and a floating following standard paragraphs: A5, A7, Gennetten a permit to excavate up to slip facility. The slips would be A9, A10, B, C, and D2. 4,000 cubic yards of lakebed sediments anchored by using self-driving piles. 3 a. Type of Application: Preliminary to build the marina. The marina would l. This notice also consists of the Permit. be located at the Gravois Arm—Lake of following standard paragraphs: B, C1, b. Project No.: 11599–000. the Ozarks, near lake mile 6.2 + 10.1, D2. c. Date filed: February 11, 1997. Section 17, Township 41 north, Range 7 a. Type of Filing: Request for d. Applicant: Ketchikan Public 17 west, Gravois Mills, Morgan County, Extension of Time to Commence Project Utilities. Missouri. Construction. e. Name of Project: Connell Lake l. This notice also consists of the b. Applicant: Southeastern Hydro- Hydroelectric. following standard paragraphs: B, C1, Power, Inc. f. Location: At Connell Lake, an and D2. c. Project No.: The proposed W. Kerr Scott Hydroelectric Project, FERC No. existing reservoir owned by the 5 a. Type of Application: Surrender of 6879–020, is to be located on the Yadkin Ketchikan Pulp Company, on Ward Exemption. Creek, near the city of Ketchikan, River in Wilkes County, North Carolina. b. Project No.: 9250–007. d. Date Filed: March 12, 1997. Ketchikan Gateway Borough, Alaska; on c. Date Filed: March 18, 1997. e. Pursuant to: Public Law 104–256. lands within the Tongass National d. Applicant: Montana Natural f. Applicant Contact: Charles B. Forest. Energy, Inc. Mierek, President, Southeastern Hydro- g. Filed Pursuant to: Federal Power e. Name of Project: West Rosebud Power, Inc., 5250 Clifton-Glendale Act, 16 U.S.C., § 791(a)–825(r). Creek. Road, Spartanburg, SC 29307–4618, h. Applicant Contact: Mr. John f. Location: On the West Rosebud (864) 579–4405. Magyar, General Manager, Ketchikan Creek, in Stillwater County, Montana. g. FERC Contact: Mr. Lynn R. Miles, Public Utilities, 2930 Tongass Avenue, g. Filed Pursuant to: Federal Power (202) 219–2671. Ketchikan, AK 99901, (907) 225–1000. Act, 16 USC Section 791(a)–825(r). h. Comment Date: May 15, 1997. i. FERC Contact: Surender M. Yepuri, h. Applicant Contact: Jay P. Bingham, i. Description of the Requests: The P.E., (202) 219–2847. Bingham Engineering, 5160 Wiley Post licensee has requested that the exiting j. Comment Date: June 2, 1997. Way, Salt Lake City, UT 84116, (801) deadline for the commencement of k. Description of Project: The 532–2520. construction of FERC Project No. 6879 proposed project would consist of: (1) A i. FERC Contact: Regina Saizan, (202) be extended. The deadline to commence 600-foot-long, 70-foot-high concrete 219–2673. project construction would be extended dam with a gated spillway; (2) a j. Comment Date: May 12, 1997. to March 20, 2001. The deadline for reservoir with a surface area of 400 k. Description of Application: The completion of construction would be acres; (4) a 48-inch-diameter, 2,300-foot- exemptee seeks to surrender its extended to March 20, 2005. long steel penstock; (5) a powerhouse exemption because it was not able to j. This notice also consists of the with an installed capacity of 1,700 kW; obtain a power sales contract for the following standard paragraphs: B, C1, (6) a tailrace; (7) a 115-kV, 200-foot-long unconstructed project. and D2. transmission line connecting the project l. This notice also consists of the 8 a. Type of Application: Amendment to the existing distribution system; and following standard paragraphs: B, C2, of license (Delete minimum flow (8) other appurtenances. and D2. requirement). 16152 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

b. Project No.: 3267–006. application itself, or a notice of intent to party to the proceeding. Any comments, c. Date Filed: September 26, 1994. file such an application, to the protests, or motions to intervene must d. Applicant: Bellows-Tower Hydro, Commission on or before the specified be received on or before the specified Inc. comment date for the particular comment date for the particular e. Name of Project: Ballard Mill application (see 18 CFR 4.36). application. Project. Submission of a timely notice of intent C. Filing and Service of Responsive f. Location: The project is located on allows an interested person to file the Documents—Any filings must bear in the Salmon River in the Town of competing preliminary permit all capital letters the title Malone in Franklin County, NY. application no later than 30 days after ‘‘COMMENTS’’, ‘‘NOTICE OF INTENT g. Filed Pursuant to: Federal Power the specified comment date for the TO FILE COMPETING APPLICATION’’, Act, 16 U.S.C. § 791(a)–825(r). particular application. A competing ‘‘COMPETING APPLICATION’’, h. Applicant contact: Frank O. preliminary permit application must ‘‘PROTEST’’, ‘‘MOTION TO Christie, P.E., Bellows-Tower Hydro, conform with 18 CFR 4.30(b) and 4.36. INTERVENE’’, as applicable, and the Inc., 8 East Main Street, Malone, NY A7. Preliminary Permit—Any Project Number of the particular 12953, (518) 483–1945. qualified development applicant application to which the filing refers. i. FERC contact: John K. Hannula, desiring to file a competing Any of the above-named documents (202) 219–0116. development application must submit to must be filed by providing the original j. Comment date: May 16, 1997. the Commission, on or before a and the number of copies provided by k. Description of the Application: specified comment date for the the Commission’s regulations to: The Bellows-Tower Hydro, Inc. (BTHI) particular application, either a Secretary, Federal Energy Regulatory request amendment of its license to competing development application or a Commission, 888 First Street, N.E., eliminate the minimum flow required notice of intent to file such an Washington, D.C. 20426. An additional by article 29 of its project license. A application. Submission of a timely copy must be sent to Director, Division minimum flow of 10 cubic feet per notice of intent to file a development of Project Review, Federal Energy second (cfs) was established primarily application allows an interested person Regulatory Commission, at the above- to protect aesthetics at the old mill race to file the competing application no mentioned address. A copy of any channel, and secondarily to maintain later than 120 days after the specified notice of intent, competing application aquatic habitat. BTHI no longer needs comment date for the particular or motion to intervene must also be the minimum flow for aesthetic application. A competing license served upon each representative of the purposes. application must conform with 18 CFR Applicant specified in the particular l. This notice also consists of the 4.30(b) and 4.36. application. following standard paragraphs: B, C1, A9. Notice of intent—A notice of C1. Filing and Service of Responsive and D2. intent must specify the exact name, Documents—Any filings must bear in 9 a. Type of Filing: Request for business address, and telephone number all capital letters the title Extension of Time to Commence Project of the prospective applicant, and must ‘‘COMMENTS’’, Construction. include an unequivocal statement of ‘‘RECOMMENDATIONS FOR TERMS b. Applicant : Potter Township Hydro intent to submit, if such an application AND CONDITIONS’’, ‘‘PROTEST’’, or Authority. may be filed, either a preliminary ‘‘MOTION TO INTERVENE’’, as c. Project No.: The proposed permit application or a development applicable, and the Project Number of Emsworth Hydroelectric Project, FERC application (specify which type of the particular application to which the No. 7041–042, is to be located on the application). A notice of intent must be filing refers. Any of the above-named Ohio River in Allegheny County, served on the applicant(s) named in this documents must be filed by providing Pennsylvania. public notice. the original and the number of copies d. Date Filed: February 24, 1997. A10. Proposed Scope of Studies under provided by the Commission’s e. Pursuant to: Public Law 104–254. Permit—A preliminary permit, if issued, regulations to: The Secretary, Federal f. Applicant Contact: Joseph J. does not authorize construction. The Energy Regulatory Commission, 888 Liberati, Esq., AAA Law Center, Suite term of the proposed preliminary permit First Street, N.E., Washington, D.C. 400, Three Wal Mart Plaza, Monaca, PA would be 36 months. The work 20426. A copy of any motion to 15061, (412) 775–0341. proposed under the preliminary permit intervene must also be served upon each g. FERC Contact: Mr. Lynn R. Miles, would include economic analysis, representative of the Applicant (202) 219–2671. preparation of preliminary engineering specified in the particular application. h. Comment Date: May 15, 1997. plans, and a study of environmental C2. Filing and Service of Responsive i. Description of the Requests: The impacts. Based on the results of these Documents—Any filings must bear in licensee has requested that the exiting studies, the Applicant would decide all capital letters the title deadline for the commencement of whether to proceed with the preparation ‘‘COMMENTS,’’ construction of FERC Project No. 7041 of a development application to ‘‘RECOMMENDATIONS FOR TERMS be extended to September 26, 1999. The construct and operate the project. AND CONDITIONS,’’ ‘‘NOTICE OF deadline for completion of construction B. Comments, Protests, or Motions to INTENT TO FILE COMPETING would be extended to September 26, Intervene—Anyone may submit APPLICATION,’’ ‘‘COMPETING 2001. comments, a protest, or a motion to APPLICATION,’’ ‘‘PROTEST,’’ or j. This notice also consists of the intervene in accordance with the ‘‘MOTION TO INTERVENE,’’ as following standard paragraphs: B, C1, requirements of Rules of Practice and applicable, and the Project Number of and D2. Procedure, 18 CFR 385.210, .211, .214. the particular application to which the In determining the appropriate action to filing refers. Any of these documents Standard Paragraphs take, the Commission will consider all must be filed by providing the original A5. Preliminary Permit—Anyone protests or other comments filed, but and the number of copies provided by desiring to file a competing application only those who file a motion to the Commission’s regulations to: The for preliminary permit for a proposed intervene in accordance with the Secretary, Federal Energy Regulatory project must submit the competing Commission’s Rules may become a Commission, 888 First Street, N.E., Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16153

Washington, D.C. 20426. A copy of a request for a currently approved required under 5 CFR 1320.8(d), notice of intent, competing application, collection. soliciting comments on this collection or motion to intervene must also be Abstract: The Safe Drinking Water Act of information was published on served upon each representative of the (SDWA) Amendments of 1996 authorize 12/31/96 (FRL–5672–7); 3 comments Applicant specified in the particular the creation of State Revolving Fund were received. application. (DWSRF) programs in each state and Burden Statement: The annual public D2. Agency Comments—Federal, Puerto Rico to assist public water reporting and record keeping burden for state, and local agencies are invited to systems to finance the costs of this collection of information is file comments on the described infrastructure needed to achieve or estimated to average 1095 hours per application. A copy of the application maintain compliance with the SDWA State response and 80 hours per local may be obtained by agencies directly requirements and to protect public community response. Burden means the from the Applicant. If an agency does health. SDWA authorizes the U.S. total time, effort, or financial resources not file comments within the time Environmental Protection Agency (EPA) expended by persons to generate, specified for filing comments, it will be to award capitalization grants to the maintain, retain, or disclose or provide presumed to have no comments. One States and Puerto Rico which, in turn, information to or for a Federal agency. copy of an agency’s comments must also provide low-cost loans and other types This includes the time needed to review be sent to the Applicant’s of assistance to eligible drinking water instructions; develop, acquire, install, representatives. systems. and utilize technology and systems for Dated: April 1, 1997, Washington, D.C. The information collection activities the purposes of collecting, validating, Lois D. Cashell, will occur primarily at the program and verifying information, processing level through the Capitalization Grant Secretary. and maintaining information, and Application/Intended Use Plan, disclosing and providing information; [FR Doc. 97–8631 Filed 4–3–97; 8:45 am] Biennial Report, Annual Audit and BILLING CODE 6717±01±P adjust the existing ways to comply with Assistance Application Review. any previously applicable instructions The State must prepare a and requirements; train personnel to be Capitalization Grant Application that able to respond to a collection of ENVIRONMENTAL PROTECTION includes an Intended Use Plan (IUP) information; search data sources; AGENCY outlining in detail how it will use the complete and review the collection of [FRL±5806±9] program funds. The agreement is an information; and transmit or otherwise instrument by which the State commits disclose the information. to manage its revolving fund program. Agency Information Collection Respondents/Affected Entities: State, The State must agree to complete and Activities: Submission for OMB local, and tribal governments. Review; Comment Request; submit a Biennial Report on the uses of Information Collection Request for the fund. The report indicates how Estimated Number of Respondents: Drinking Water State Revolving Fund activities financed contribute toward 714. Programs meeting the goals and objectives and Frequency of Response: Annually. provides information on loan recipients, AGENCY: Environmental Protection loan amounts, loan terms, project Estimated Total Annual Hour Burden: Agency (EPA). categories of eligible costs, and similar 108,885 hours. ACTION: Notice. data on other forms of assistance. Send comments on the Agency’s need The State must also agree to conduct for this information, the accuracy of the SUMMARY: In compliance with the or have conducted a separate audit of its provided burden estimates, and any Paperwork Reduction Act (44 U.S.C. DWSRF. The audit report will contain suggested methods for minimizing 3501 et seq.), this notice announces that an opinion on the financial statements respondent burden, including through the following Information Collection of the DWSRF, a report on its internal the use of automated collection Request (ICR) has been forwarded to the controls, and a report regarding whether techniques to the following addresses. Office of Management and Budget the compliance requirements have been Please refer to EPA ICR No. 1803.02 and (OMB) for review and approval: met. OMB Control No. 2040–0185 in any Information Collection Request for Also, since States provide assistance correspondence. Drinking Water State Revolving Fund to local applicants, the States must Ms. Sandy Farmer, U.S. Environmental Programs; OMB Control Number 2040– review completed loan applications and Protection Agency, OPPE Regulatory 0185. The ICR describes the nature of verify that proposed projects meet all Information Division (2137), 401 M the information collection and its applicable federal and state Street, SW, Washington, DC 20460. expected burden and cost; where requirements. appropriate, it includes the actual data EPA will use the Capitalization Grant And collection instrument. Application/Intended Use Plan, Office of Information and Regulatory DATES: Comments must be submitted on Biennial Report and Annual Audit to Affairs, Office of Management and or before May 5, 1997. conduct its oversight responsibilities as Budget, Attention: Desk Officer for FOR FURTHER INFORMATION OR A COPY mandated by the SDWA. EPA, 725 17th Street, NW, CALL: Sandy Farmer at EPA, (202) 260– An agency may not conduct or Washington, DC 20503. 2740, and refer to EPA ICR No. 1803.02. sponsor, and a person is not required to Dated: March 31, 1997. respond to, a collection of information SUPPLEMENTARY INFORMATION: unless it displays a currently valid OMB Richard T. Westlund, Title: Information Collection Request control number. The OMB control Acting Director, Regulatory Information for Drinking Water State Revolving numbers for EPA’s regulations are listed Division. Fund Programs (OMB Control No. 2040– in 40 CFR part 9 and 48 CFR Chapter [FR Doc. 97–8673 Filed 4–3–97; 8:45 am] 0185; EPA ICR No. 1803.02). This is a 15. The Federal Register Notice BILLING CODE 6560±50±P 16154 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

[ER±FRL±5478±8] EIS No. 970115, DRAFT EIS, FTA, LA, copies of EPA comments can be directed Canal Streetcar Line Reintroduction, to the Office of Federal Activities at Environmental Impact Statements; Canal Street from the Mississippi (202) 564–7167. Notice of Availability River to the Cemeteries, with a Spur Summary of Rating Definitions Line to City Park, Funding, City of Responsible Agency: Office of Federal Environmental Impact of the Action Activities, General Information (202) New Orleans, Orleans Parish, LA, 564–7167 or (202) 564–7153. Due: May 19, 1997, Contact: Peggy LO—Lack of Objections Weekly receipt of Environmental Crist (817) 860–9663. The EPA review has not identified Impact Statements Filed March 24, 1997 EIS No. 970116, FINAL EIS, USA, MO, any potential environmental impacts Through March 28, 1997 Pursuant to 40 US Army Chemical School and US requiring substantive changes to the CFR 1506.9. Army Military Police School proposal. The review may have Relocation to Fort Leonard Wood EIS No. 970108, DRAFT EIS, NRCS, HI, disclosed opportunities for application (FWL) from Fort McClellan, Alabama, Waimea-Paauilo Watershed Project, of mitigation measures that could be Implementation, Cities of St. Robert, Alleviation of Agricultural Water accomplished with no more than minor Waynesville, Richland, Dixon, Storage Problems for Crop Irrigation changes to the proposal. Crocker, Rolla, Houston and Lebanon; and Livestock Drinking Water, Pulaski, Texas, Phelps and Laclede EC—Environmental Concerns Funding, COE Section 404 Permit Counties, MO, Due: May 05, 1997, Issuance and Implementation, Hawaii The EPA review has identified Contact: Alan Gehrt (816) 426–2142. County, HI, Due: May 19, 1997, environmental impacts that should be EIS No. 970117, FINAL EIS, TVA, VA, Contact: Kenneth M. Kaneshiro (808) avoided in order to fully protect the ADOPTION—United States 541–2601. environment. Corrective measures may Penitentiary, Lee, Pennington Gap, EIS No. 970109, FINAL EIS, DOE, ID, require changes to the preferred Funding, Lee County, VA, Due: May NV, WA, MT, OR, WY, Wildlife alternative or application of mitigation 05, 1997, Contact: Linda B. Oxendine Mitigation Program Standards and measures that can reduce the (423) 632–3440. The US Tennessee Guidelines, Implementation, environmental impact. EPA would like Valley Authority (TVA) has adopted Columbia River Basin, WA, OR, ID, to work with the lead agency to reduce the US Department of Justice’s, these impacts. MT, WY and NV, Due: May 05, 1997, Bureau of Prisons FEIS #960500, filed Contact: Thomas C. McKinney (503) EO—Environmental Objections with the US Environmental Protection 230–4749. Agency on 10–17–96. TVA was not a The EPA review has identified EIS No. 970110, DRAFT EIS, COE, WA, Cooperating Agency on this project. significant environmental impacts that Cedar River Section 205 Flood Recirculation of the document is must be avoided in order to provide Damage Reduction Plan, necessary under Section 1506.3(b) of adequate protection for the Implementation, Renton, King the Council on Environmental Quality environment. Corrective measures may County, WA, Due: May 19, 1997, Regulations. require substantial changes to the Contact: Merri Martz (206) 764–3624. EIS No. 970118, DRAFT SUPPLEMENT, preferred alternative or consideration of EIS No. 970111, DRAFT EIS, AFS, OR, AFS, CO, Vail Ski Area Category III some other project alternative Summit Fire Recovery Forest Development Plan, Additional (including the no action alternative or a Restoration Project, Implementation, Information Concerning an Analysis new alternative). EPA intends to work Malheur National Forest, Long Creek of the Significance of Adopting Forest with the lead agency to reduce these Ranger District, Grant County, OR, Plan Amendments, Implementation, impacts. Due: May 19, 1997, Contact: Robert Special-Use-Permit and COE Section Hammond (541) 575–3000. EU—Environmentally Unsatisfactory 404 Permit Issuance, White River EIS No. 970112, FINAL SUPPLEMENT, National Forest, Holly Cross Ranger The EPA review has identified FHW, NB, US 275 Highway District, Rocky Mountain Region, adverse environmental impacts that are Reconstruction on New Alignment Eagle County, CO, Due: May 19, 1997, of sufficient magnitude that they are west of the existing US 275/N–36 Contact: Loren Kroenke (970) 827– unsatisfactory from the standpoint of Intersection to west of the existing US 5715. public health or welfare or 275/N–64 (West Maple Road) environmental quality. EPA intends to Interchange near Waterloo, Funding, Dated: April 1, 1997. work with the lead agency to reduce Douglas County, NB, Due: May 05, William D. Dickerson, these impacts. If the potentially 1997, Contact: Edward W Kosola (402) Director, NEPA Compliance Division, Office unsatisfactory impacts are not corrected 437–5521. of Federal Activities. at the final EIS stage, this proposal will EIS No. 970113, DRAFT EIS, USA, IN, [FR Doc. 97–8703 Filed 4–3–97; 8:45 am] be recommended for referral to the CEQ. Camp Atterbury Training Areas and BILLING CODE 6560±50±U Adequacy of the Impact Statement Facilities Upgrading, Implementation, Bartholomew, Brown, Johnson, Category 1—Adequate [ER±FRL±5478±9] Marion and Shelby Counties, IN, Due: EPA believes the draft EIS adequately May 19, 1997, Contact: Jack Fowler Environmental Impact Statements and sets forth the environmental impact(s) of (812) 526–1169. Regulations; Availability of EPA the preferred alternative and those of EIS No. 970114, FINAL EIS, COE, MN, Comments the alternatives reasonably available to IA, WI, 9-Foot Navigation Channel the project or action. No further analysis Project, Channel Maintenance Availability of EPA comments or data collection is necessary, but the Management Plan, Upper Mississippi prepared March 17, 1997 through March reviewer may suggest the addition of River Head of Navigation to 21, 1997 pursuant to the Environmental clarifying language or information. Guttenberg, IA, Implementation, MN, Review Process (ERP), under Section WI and IA, Due: May 19, 1997, 309 of the Clean Air Act and Section Category 2—Insufficient Information Contact: Robert Whiting (612) 290– 102(2)(c) of the National Environmental The draft EIS does not contain 5264. Policy Act as amended. Requests for sufficient information for EPA to fully Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16155 assess environmental impacts that Forest, Tonasket Ranger District, Final EISs should be avoided in order to fully Okanogan County, WA. ERP No. F–AFS–K61140–CA Dinkey protect the environment, or the EPA Summary: Our abbreviated review has Allotment Livestock Grazing Strategies, reviewer has identified new reasonably revealed no EPA environmental Implementation, Sierra National Forest, available alternatives that are within the concerns on this project. Fresno County, CA. spectrum of alternatives analyzed in the ERP No. D–AFS–L82014–00 Rating Summary: Review of the Final EIS draft EIS, which could reduce the LO, Priest Lake Ranger District Noxious was not deemed necessary. No formal environmental impacts of the action. Weed Control Project, Implementation, comment letter was sent to the The identified additional information, Idaho Panhandle National Forest, preparing agency. data, analyses, or discussion should be Bonner County, ID and Pend Oreille ERP No. F–COE–K39040–CA San included in the final EIS. County, WA. Diego County Water Authority Category 3—Inadequate Summary: EPA believed that the Emergency Water Storage Project, alternatives are generally well described Construction and Operation, COE EPA does not believe that the draft and there is adequate detail contained Section 404 Permit and Permit EIS adequately assesses potentially in the descriptions of the biochemical Application, San Diego County, CA. significant environmental impacts of the and herbicidal application proposed for Summary: action, or the EPA reviewer has use. EPA had no objection to the Review of the Final EIS was not identified new, reasonably available proposed action. deemed necessary. No formal comment alternatives that are outside of the ERP No. D–GSA–E81037–FL Rating letter was sent to the preparing agency. spectrum of alternatives analyzed in the LO, 9300–9499 NW 41st Street ERP No. F–FRC–L05214–WA draft EIS, which should be analyzed in Immigration and Naturalization Service order to reduce the potentially Facility Consolidation, Development, Priest Rapids Project (FERC No. 2114– significant environmental impacts. EPA Construction and Operation, Leasing, 024), Evaluation of Downstream Fish believes that the identified additional Dade County, FL. Passage Facilities, New License Issuance information, data, analyses, or Summary: EPA has no objection to the with Conditions to Protect the Migratory discussions are of such a magnitude that proposed action, although it was Juvenile Salmon (Smolts), Columbia they should have full public review at suggested that the final document River Basin, Grant County, WA. a draft stage. EPA does not believe that provide additional information on Summary: Review of the Final EIS the draft EIS is adequate for the pollution prevention. was not deemed necessary. No formal purposes of the NEPA and/or Section ERP No. D–SFW–L91002–00 Rating comment letter was sent to the 309 review, and thus should be formally LO, Programmatic EIS—Impact of preparing agency. revised and made available for public Artificial Salmon and Steelhead ERP No. FS–NOA–E91007–00 South comment in a supplemental or revised Production Strategies in the Columbia Atlantic Region Shrimp Fishery draft EIS. On the basis of the potential River Basin, Implementation, WA, OR, Management Plan, Implementation, significant impacts involved, this ID, WY, MT, NV and UT. Additional Information, Amendment 2 proposal could be a candidate for Summary: Our abbreviated review has (Bycatch Reduction), Exclusive referral to the CEQ. revealed no EPA environmental Economic Zone (EEZ), NC, SC, FL and Draft EISs concerns on this project. GA. Summary: EPA supports five ERP No. D–AFS–L65279–ID Rating ERP No. D–USN–D11025–DC Rating EC2, Naval Sea Systems Command regulatory actions designed to improve EO2, Musselshell Analysis Area, the South Atlantic Shrimp Fishery and Implementation, Pierce Ranger District, Headquarters (NAVSEA), Base Realignment and Closure Action, therefore has no objection to the Clearwater National Forest, Clearwater proposed action. EPA recommended County, ID. Relocation from Arlington, VA to Washington Navy Yard (WNY) in clarification of how Bycatch Reduction Summary: EPA expressed Devices might impact threatened and environmental objections about the southeast Washington, DC. Summary: EPA expressed endangered sea turtles in Special cumulative effects of road construction, Management Areas. timber harvesting, grazing and other environmental concerns regarding the anthropogenic activities in the basin. historic preservation of buildings in the Dated: April 1, 1997. There is insufficient information to preferred alternative; the lack of William D. Dickerson, evaluate project compliance with the information on environmental impacts Director, NEPA Compliance Division, Office Clean Water Act, the potential for associated with the demolition and of Federal Activities. proposed actions to further exacerbate renovation of buildings, and the need [FR Doc. 97–8704 Filed 4–3–97; 8:45 am] existing ‘‘impaired’’ Musselshell Creek for mitigation to protect water quality of BILLING CODE 6560±50±U water quality and degraded aquatic the Anacostia River. ERP No. DS–COE–C36030–NJ Rating habitat. [FRL±5806±8] ERP No. D–AFS–L65282–OR Rating EC2, Green Brook Sub-Basin Flood LO, Robinson-Scott Landscape Control Plan, Updated Information Clean Air Act Committee Mobile Management Project, Timber Harvest concerning a Revised Recommended Source Technical Advisory and other Vegetation Management, Plan and Mitigation Plan, Subcommittee Notification of Public Willamette National Forest, McKenzie Implementation, Middlesex, Union and Advisory Subcommittee Open Meeting Ranger District, Lane and Linn Counties, Somerset Counties, NJ. OR. Summary: EPA had environmental Pursuant to the Federal Advisory Summary: Our abbreviated review has concerns about the project’s potential Committee Act, Public Law 92–463, revealed no EPA environmental impacts to wetlands and associated notice is hereby given that the Mobile concerns on this project. mitigation. EPA recommended that Source Technical Advisory ERP No. D–AFS–L65283–WA Rating additional information be presented in Subcommittee of the Clean Air Act LO, Long Draw Salvage Sale, the Final Supplement EIS to address Advisory Committee will meet on April Implementation, Okanogan National these concerns. 16, 1997 at 9:30 am to 4 pm (Eastern 16156 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Standard Time) located at the Key ADDRESS: Comments should be FEDERAL EMERGENCY Bridge Marriott, 1400 Lee Highway, addressed to the Docket Clerk, Mail MANAGEMENT AGENCY Arlington, VA 22209, 703–807–2000. Code MFA–10J, U.S. Environmental This is an open meeting and seating will Protection Agency, 77 West Jackson Agency Information Collection be on a first-come basis. During this Boulevard, Chicago, Illinois, 60604, and Activities: Submission for Emergency meeting, the subcommittee will hear should refer to: In the Matter of Sanitary OMB Review; Comment Request progress reports from its workgroups, Landfill Company (IWD) Superfund ACTION: Notice and request for approve its report to the Clean Air Act Site, Docket No. V–W–97–C–385. comments. Advisory Committee, and be briefed on and discuss other current issues in the FOR FURTHER INFORMATION CONTACT: SUMMARY: The Federal Emergency mobile source program. Karen L. Peaceman, Mail Code CS–29A, Management Agency (FEMA) has Members of the public requesting U.S. Environmental Protection Agency, submitted an emergency processing further information should contact Mr. 77 West Jackson Boulevard, Chicago, request for a proposed collection of Philip A. Lorang, Designated Federal Illinois 60604. information to the Office of Official at (313) 668–4374, fax (313) Management and Budget (OMB) for 741–7821, or email Lorang.Phil SUPPLEMENTARY INFORMATION: The review and clearance under the @epamail.epa.gov; or Susan Romero, following party executed binding Paperwork Reduction Act of 1995 (44 Mobile Sources Technical Advisory certification of its consent to participate U.S.C. Chapter 35). OMB approval has Subcommittee Management Officer, in the settlement: Eagle-Picher been requested by March 28, 1997. U.S. Environmental Protection Agency, Industries, Inc. The purpose for the emergency 401 M Street, SW, Washington, DC This party will pay proceeds from a processing request is to obtain short- term emergency approval for the 20460 at (202) 260–4674, fax (202) 260– $67,222 bankruptcy claim for response collection of information titled 3730, or email Romero.Susan costs related to the Sanitary Landfill @epamail.epa.gov. Written comments of ‘‘Progress Report’’ and to reinstate the Company (IWD) Superfund Site, if the collection of information under the any length (with at least 20 copies United States Environmental Protection provided) should be sent to the previously assigned OMB Control Agency determines that it will not subcommittee no later than April 4, Number 3067–0151. withdraw or withhold its consent to the 1997. A notice published in Federal The Mobile Source Technical proposed settlement after consideration Register Vol. 62, No. 57, dated March Advisory Subcommittee expects that of comments submitted pursuant to this 25, 1997, page 14142, describes and public statements presented at its notice. seeks comments on the proposed meetings will not be repetitive of U.S. EPA may enter into this collection. FEMA will accept comments previously submitted oral or written settlement under the authority of through May 27, 1997. statements. section 122(h) of CERCLA. Section ADDRESSEE: Direct all comments on the Margo T. Oge, 122(h)(1) authorizes EPA to settle any request for emergency processing to the Director, Office of Mobile Sources. claims under Section 107 of CERCLA Office of Management and Budget, [FR Doc. 97–8674 Filed 4–3–97; 8:45 am] where such claim has not been referred Office of Information and Regulatory Affairs, ATTN: Victoria Becker- BILLING CODE 6560±50±M to the Department of Justice. Pursuant to this authority, the agreement proposes Wassmer, Washington, DC 20503, to settle with a party who is potentially telephone number (202) 395–5871. [FRL±5805±9] responsible for costs incurred by EPA at FOR FURTHER INFORMATION CONTACT: Contact Muriel B. Anderson at (202) Proposed Settlement Under Section the Sanitary Landfill Company (IWD) Superfund Site. 646–2625 for copies of the proposed 122(h)(1) of the Comprehensive collection of information. Environmental Response, A copy of the proposed administrative Compensation and Liability Act; In the order on consent and additional Dated: March 26, 1997. Matter of Sanitary Landfill Company background information relating to the Reginald Trujillo, (IWD) Superfund Site settlement, including a list of parties to Director, Program Services Division, the settlement, are available for review Operations Support Directorate. AGENCY: Environmental Protection and may be obtained in person or by [FR Doc. 97–8663 Filed 4–3–97; 8:45 am] Agency. mail from Karen L. Peaceman, Mail BILLING CODE 6718±01±M ACTION: Request for public comment. Code C–29A, U.S. Environmental SUMMARY: Notice of Settlement: in Protection Agency, 77 West Jackson [FEMA±1170±DR] accordance with section 122(I)(1) of the Boulevard, Chicago, Illinois 60604. Illinois; Major Disaster and Related Comprehensive Environmental The U.S. Environmental Protection Determinations Response, Compensation and Liability Agency will receive written comments Act of 1980, as amended (‘‘CERCLA’’), relating to this settlement for thirty days AGENCY: Federal Emergency notice is hereby given of a settlement from the date of publication of this Management Agency (FEMA). concerning past response costs at the notice. ACTION: Notice. Sanitary Landfill Company (IWD) Superfund Site in Moraine, Ohio. This Authority: The Comprehensive SUMMARY: This is a notice of the proposed agreement has been forwarded Environmental Response, Compensation, and Presidential declaration of a major to the Attorney General for the required Liability Act of 1980, as amended, 42 U.S.C. disaster for the State of Illinois (FEMA– prior written approval for this Section 9601 et seq. 1170–DR), dated March 21, 1997, and Settlement, as set forth under section Thomas Mateer, related determinations. 122(g)(4) of CERCLA. Acting Director, Superfund Division. EFFECTIVE DATE: March 21, 1997. DATE: Comments must be provided on or [FR Doc. 97–8675 Filed 4–3–97; 8:45 am] FOR FURTHER INFORMATION CONTACT: before May 5, 1997. BILLING CODE 6560±50±M Magda Ruiz, Response and Recovery Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16157

Directorate, Federal Emergency ACTION: Notice. SUPPLEMENTARY INFORMATION: Notice is Management Agency, Washington, DC hereby given that, in a letter dated 20472, (202) 646–3260. SUMMARY: This notice amends the notice March 18, 1997, the President declared of a major disaster for the SUPPLEMENTARY INFORMATION: Notice is a major disaster under the authority of hereby given that, in a letter dated Commonwealth of Kentucky (FEMA– the Robert T. Stafford Disaster Relief March 21, 1997, the President declared 1163–DR), dated March 4, 1997, and and Emergency Assistance Act (42 a major disaster under the authority of related determinations. U.S.C. 5121 et seq.), as follows: EFFECTIVE DATE: March 25, 1997. the Robert T. Stafford Disaster Relief I have determined that the damage in and Emergency Assistance Act (42 FOR FURTHER INFORMATION CONTACT: certain areas of the State of Louisiana, U.S.C. 5121 et seq.), as follows: Magda Ruiz, Response and Recovery resulting from a severe ice storm on January I have determined that the damage in Directorate, Federal Emergency 12–17, 1997, is of sufficient severity and certain areas of the State of Illinois, resulting Management Agency, Washington, DC magnitude to warrant a major disaster from severe storms and flooding beginning 20472, (202) 646–3260. declaration under the Robert T. Stafford Disaster Relief and Emergency Assistance Act on March 1, 1997, and continuing, is of SUPPLEMENTARY INFORMATION: The notice sufficient severity and magnitude to warrant (‘‘the Stafford Act’’). I, therefore, declare that of a major disaster for the such a major disaster exists in the State of a major disaster declaration under the Robert Commonwealth of Kentucky, is hereby T. Stafford Disaster Relief and Emergency Louisiana. Assistance Act (‘‘the Stafford Act’’). I, amended to include Categories C In order to provide Federal assistance, you therefore, declare that such a major disaster through G under the Public Assistance are hereby authorized to allocate from funds exists in the State of Illinois. program in those areas determined to available for these purposes, such amounts as In order to provide Federal assistance, you have been adversely affected by the you find necessary for Federal disaster are hereby authorized to allocate from funds catastrophe declared a major disaster by assistance and administrative expenses. available for these purposes, such amounts as the President in his declaration of You are authorized to provide Public Assistance in the designated areas. you find necessary for Federal disaster March 4, 1997: assistance and administrative expenses. Consistent with the requirement that Federal You are authorized to provide Individual The counties of Anderson, Boyd, Butler, assistance be supplemental, any Federal Assistance and Hazard Mitigation in the Caldwell, Campbell, Carter, Christian, funds provided under the Stafford Act for designated areas. Public Assistance may be Crittenden, Daviess, Elliott, Fayette, Fleming, Public Assistance will be limited to 75 added at a later date, if warranted. Consistent Floyd, Gallatin, Greenup, Henderson, Henry, percent of the total eligible costs. with the requirement that Federal assistance Hopkins, Jessamine, Kenton, Larue, Lawrence, Livingston, McCracken, McLean, The time period prescribed for the be supplemental, any Federal funds provided implementation of section 310(a), under the Stafford Act for Public Assistance Mason, Menifee, Mercer, Montgomery, or Hazard Mitigation will be limited to 75 Morgan, Nicholas, Ohio, Robertson, Rowan, Priority to Certain Applications for percent of the total eligible costs. Scott, Shelby, Spencer, Union, Webster, and Public Facility and Public Housing Woodford for Categories C through G under Assistance, 42 U.S.C. 5153, shall be for The time period prescribed for the the Public Assistance program (already a period not to exceed six months after implementation of section 310(a), designated for Individual Assistance, Hazard the date of this declaration. Priority to Certain Applications for Mitigation, and Categories A and B under the Notice is hereby given that pursuant Public Facility and Public Housing Public Assistance program). to the authority vested in the Director of The counties of Boone, Grant, Hancock, Assistance, 42 U.S.C. 5153, shall be for the Federal Emergency Management a period not to exceed six months after and Washington for Public Assistance (already designated for Individual Assistance Agency under Executive Order 12148, I the date of this declaration. hereby appoint Jim McClanahan of the Notice is hereby given that pursuant and Hazard Mitigation). Federal Emergency Management Agency to the authority vested in the Director of (Catalog of Federal Domestic Assistance No. to act as the Federal Coordinating the Federal Emergency Management 83.516, Disaster Assistance) Officer for this declared disaster. Agency under Executive Order 12148, I Lacy E. Suiter, I do hereby determine the following hereby appoint Dan Bement of the Executive Associate Director, Response and areas of the State of Louisiana to have Federal Emergency Management Agency Recovery Directorate. been affected adversely by this declared to act as the Federal Coordinating [FR Doc. 97–8667 Filed 4–3–97; 8:45 am] major disaster: Officer for this declared disaster. BILLING CODE 6718±02±P I do hereby determine the following The parishes of Calcasieu, Cameron, and areas of the State of Illinois to have been Jefferson Davis for Public Assistance. affected adversely by this declared [FEMA±1169±DR] (Catalog of Federal Domestic Assistance No. 83.516, Disaster Assistance) major disaster: Louisiana; Major Disaster and Related The counties of Alexander, Gallatin, Determinations James L. Witt, Hardin, Massac, and Pope for Individual Director. Assistance and Hazard Mitigation. AGENCY: Federal Emergency [FR Doc. 97–8665 Filed 4–3–97; 8:45 am] (Catalog of Federal Domestic Assistance No. Management Agency (FEMA). BILLING CODE 6718±02±P 83.516, Disaster Assistance) ACTION: Notice. James L. Witt, SUMMARY: Director. This is a notice of the [FEMA±1167±DR] Presidential declaration of a major [FR Doc. 97–8664 Filed 4–3–97; 8:45 am] disaster for the State of Louisiana Tennessee; Amendment to Notice of a BILLING CODE 6718±02±P (FEMA–1169–DR), dated March 18, Major Disaster Declaration 1997, and related determinations. AGENCY: Federal Emergency [FEMA±1163±DR] EFFECTIVE DATE: March 18, 1997 Management Agency (FEMA). FOR FURTHER INFORMATION CONTACT: Kentucky; Amendment to Notice of a ACTION: Notice. Major Disaster Declaration Magda Ruiz, Response and Recovery Directorate, Federal Emergency SUMMARY: This notice amends the notice AGENCY: Federal Emergency Management Agency, Washington, DC of a major disaster for the State of Management Agency (FEMA). 20472, (202) 646–3260. Tennessee, (FEMA–1167–DR), dated 16158 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

March 7, 1997, and related Supervision Policy, Office of Thrift Dated at Washington, DC, this 31st day of determinations. Supervision, 1700 G Street, NW., March, 1997. EFFECTIVE DATE: March 25, 1997. Washington, DC 20552. Federal Financial Institutions Examination Council, FOR FURTHER INFORMATION CONTACT: Office of the Comptroller of the Magda Ruiz, Response and Recovery Currency (OCC): Tom Rollo, National Joe M. Cleaver, Directorate, Federal Emergency Bank Examiner, (202/874–5070), Office Executive Secretary. Management Agency, Washington, DC of the Chief National Bank Examiner, [FR Doc. 97–8569 Filed 4–3–97; 8:45 am] Office of the Comptroller of the 20472, (202) 646–3260. BILLING CODE 6210±01±P FRB, 6720±01±P OTS, 6714± Currency, 250 E Street SW., 01±P FDIC, 4810±33±P OCC SUPPLEMENTARY INFORMATION: The notice Washington, DC 20219. of a major disaster for the State of Board of Governors of the Federal Tennessee, is hereby amended to Reserve System (FRB): Susan Meyers, FEDERAL MARITIME COMMISSION include Categories C through G under Senior Securities Analyst, (202/452– the Public Assistance program in those 2781), Division of Banking Supervision Notice of Agreement(s) Filed areas determined to have been adversely and Regulation, Board of Governors of affected by the catastrophe declared a the Federal Reserve System, 20th and C The Commission hereby gives notice major disaster by the President in his Streets NW., Washington, DC 20551. of the filing of the following declaration of March 7, 1997: agreement(s) under the Shipping Act of SUPPLEMENTARY INFORMATION: FFIEC The counties of Carroll, Cheatham, Dyer, consists of representatives from the 1984. Interested parties can review or obtain Houston, Lauderdale, Madison, Obion, FDIC, OTS, OCC, FRB, and National Stewart, and Weakley for Categories C Credit Union Administration (NCUA). copies of agreements at the Washington, through G under the Public Assistance FFIEC developed the Policy Statement DC offices of the Commission, 800 program (already designated for Individual North Capitol Street, N.W., Room 962. Assistance, Hazard Mitigation, and to provide general supervisory guidance to insured depository institutions that Interested parties may submit comments Categories A and B under the Public on an agreement to the Secretary, Assistance program). originate, purchase, or sell loans (Catalog of Federal Domestic Assistance No. guaranteed by the U.S. government. The Federal Maritime Commission, 83.516, Disaster Assistance.) Policy Statement also provided Washington, DC 20573, within 10 days Lacy E. Suiter, guidance on the accounting treatment of of the date this notice appears in the Federal Register. Executive Associate Director, Response and servicing fees and premiums associated Recovery Directorate. with these loans. FFIEC originally Agreement No.: 202–011259–012. [FR Doc. 97–8666 Filed 4–3–97; 8:45 am] adopted the Policy Statement on Title: BILLING CODE 6718±02±P November 29, 1979, and the Federal Home Loan Bank Board (the OTS’ United States/Southern and Eastern predecessor), FDIC, OCC, and FRB Africa Conference. federal banking agencies) each adopted Parties: FEDERAL FINANCIAL INSTITUTIONS Empresa De Navegacao Internacional EXAMINATION COUNCIL the Policy Statement shortly thereafter. FFIEC adopted certain amendments to (Navinter) Lykes Bros. Steamship Co., Inc. Mediterranean Shipping U.S. Government Guaranteed Loans the Policy Statement on March 22, 1985, Company S.A. Safbank Line, Ltd. and Sale Premiums; Rescission of which were subsequently adopted by (Safbank) Wilhelmsen Lines A/S. Policy Statement the federal banking agencies. On December 5, 1996, FFIEC voted to Synopsis: AGENCY: Federal Financial Institutions rescind the Policy Statement. Since the The proposed amendment restates the Examination Council (FFIEC). Policy Statement was adopted, the Agreement and deletes Eastern ACTION: Rescission of policy statement. market in government-guaranteed loans Africa from the geographic scope of has become well established, and the Agreement. It also makes SUMMARY: FFIEC has rescinded its insured depository institutions have changes to the Agreement’s name policy statement on the Sale of U.S. gained experience in dealing in this and various Agreement articles to Government Guaranteed Loans and Sale market. The supervisory guidance reflect this change. The parties have Premiums (Policy Statement), issued on contained in the Policy Statement, requested a shortened review November 29, 1979. The Policy which is very general in nature, is no period. Statement provided guidance to insured longer necessary. Additionally, the By Order of the Federal Maritime depository institutions purchasing or accounting guidance in the Policy Commission. selling loans guaranteed by the U.S. Statement is adequately addressed in Dated: April 1, 1997. government. The FFIEC rescinded the the Instructions for Preparing Reports of Policy Statement because it is outdated. Joseph C. Polking, Condition and Income and the Secretary. DATES: This Policy Statement was Consolidated Statement of Condition of [FR Doc. 97–8634 Filed 4–3–97; 8:45 am] rescinded effective December 5, 1996. the Thrift Financial Report, and FOR FURTHER INFORMATION CONTACT: subsequent accounting pronouncements BILLING CODE 6730±01±M Federal Deposit Insurance Corporation including Financial Accounting (FDIC): William A. Stark, Assistant Standards Board Statement 91, [Docket No. 97±06] Director, (202/898–6972), Kenton Fox, Accounting for Nonrefundable Fees and Senior Capital Markets Specialist, (202/ Costs Associated with Originating or Shipman International (Taiwan) Ltd.; 898–7119), Division of Supervision; Acquiring Loans and Initial Direct Costs Possible Violations of Sections 8, Jamey Basham, Counsel, (202/898– of Leases. 10(a)(1) and 10(b)(1) of the Shipping 7265), Legal Division, Federal Deposit For the above reasons, the Policy Act of 1984 and 46 C.F.R. Part 514 Insurance Corporation, 550 17th Street, Statement has been rescinded. Each of Order of Investigation and Hearing NW., Washington, DC 20429. the federal banking agencies will take Office of Thrift Supervision (OTS): appropriate action in connection with Shipman International (Taiwan) Ltd. Donna Deale, Manager, (202/906–7488), the recision of the Policy Statement. (‘‘Shipman International’’) is a tariffed Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16159 and bonded non-vessel-operating the payment of any freight due to the continuing violation may be treated as common carrier (NVOCC) located at 4th ocean common carrier, Shipman a separate violation of the 1984 Act. Floor, No. 89, Lane 155, Tun Hwa North International’s agents in the U.S. also Section 10(a)(1) of the 1984 Act, 46 Road, Taipei, Taiwan. Shipman would issue arrival notices and obtain U.S.C. app. § 1709(a)(1), prohibits any International has held itself out as an payment of the NVOCC’s freight charges person knowingly and willfully, directly NVOCC pursuant to its ATFI tariff FMC from the U.S. importer, in each case or indirectly, by means of false billings, No. 004, filed September 5, 1993.1 correctly describing the commodity false classification, false weighing, false Shipman International currently based on actual contents shipped. report of weight, false measurement, or maintains an NVOCC bond, No. In addition, during time periods prior by any other unjust or unfair device or NVOC0143, in the amount of $50,000 to the cancellation of Shipman means, to obtain or attempt to obtain with the American Motorists Insurance International’s ATFI tariff No. 004 in ocean transportation for property at less Company, 2 World Trade Center, New August 1996 and subsequent to the than the rates or charges that would York, New York 10048. Pursuant to Rule filing of Shipman International’s ATFI otherwise be applicable. Section 24 of its NVOCC tariff, Shipman tariff No. 005 in October 1996, Shipman 10(b)(1) of the 1984 Act, 46 U.S.C. app. International’s tariff publisher, International appears both as shipper § 1709(b)(1), prohibits a common carrier Distribution Publications Inc., serves as and as a carrier issuing its own from charging, collecting or receiving the U.S. resident agent for purposes of (Shipman International) NVOCC bill of greater, less or different compensation receiving service of process on behalf of lading with respect to the commodity for the transportation of property than Shipman International. being shipped. The rates assessed and the rates and charges set forth in its It appears that Shipman International, collected by Shipman International and tariff. Section 8 of the 1984 Act, 46 acting as shipper in relation to an ocean its U.S. agents for these shipments, U.S.C. app. 1707, sets forth the common carrier, misdescribed the however, bear no relation to the rates set requirement that each common carrier commodity on numerous shipments forth in Shipman International’s ATFI file and maintain with the Commission transported by an ocean common carrier tariffs on file with the Commission.3 a tariff of its rates, rules and charges, between December 1, 1995, and Since Shipman International never while section 514.1 of the Commission’s December 31, 1996.2 The shipments modified its tariff rates during these tariff regulations, 46 C.F.R. § 514.1, primarily originated in Taiwan, and respective periods, it would appear that effectuates the above statutory mandate were destined for Los Angeles and other all shipments for which Shipman by prohibiting common carriers from U.S. ports and points. In each of these International issued its NVOCC bill of operating without an effective tariff on instances, Shipman International was lading during the above time periods file with the Commission. Under section listed as shipper on the ocean carrier’s may be found to constitute violations of 13 of the 1984 Act, 46 U.S.C. app. bill of lading, while Shipman section 10(b)(1) of the Shipping Act of § 1712, a person is subject to a civil International destination agents in the 1984 (‘‘1984 Act’’). penalty of not more than $25,000 for U.S. acted as the consignee or notify During the period between August 24, each violation knowingly and willfully party. Each shipment generally reflects 1996, when Shipman International committed, and not more than $5,000 that a Shipman International ‘‘house’’, canceled its tariff FMC No. 004, and for other violations. Section 13 further or NVOCC, bill of lading was issued for October 18, 1996, when its replacement provides that a common carrier’s tariff tender by the ultimate consignee to tariff FMC No. 005 became effective, it may be suspended for violations of Shipman International’s agent upon appears that Shipman International section 10(b)(1) for a period not to arrival of the cargo at destination, which continued its business operations as an exceed one year, while section 23 of the correctly describes the commodity NVOCC without having an effective 1984 Act, 46 U.S.C. app. § 1721 shipped. tariff on file for such services. During provides for a similar suspension for It further appears that the ocean this period, Shipman International NVOCCs in the case of violations of common carrier rated the commodities continued to act in the capacity of a section 10(a)(1) of the 1984 Act. in accordance with the inaccurate shipper in relation to an ocean common Now therefore, it is ordered, that description furnished by Shipman carrier, to be identified on various pursuant to sections 8, 10, 11, 13, and International while the U.S. consignees Mitsui OSK Lines’ bills of lading as the 23 of the 1984 Act, 46 U.S.C. app. of Shipman International’s shipments shipper for whose account the §§ 1707, 1709, 1710, 1712, and 1721, an accepted delivery of the cargo and made transportation was to be provided investigation is instituted to determine: payment to the ocean common carrier during this period, and to have such (1) Whether Shipman International on the basis of the lower rate Mitsui bills of lading issued which violated section 10(a)(1) of the 1984 Act attributable to the inaccurate reflect that freight charges had been by directly or indirectly obtaining commodity description shown on the prepaid to the ocean common carrier at transportation at less than the rates and bill of lading. Contemporaneous with origin. It thus appears that Shipman charges otherwise applicable through International operated as an NVOCC the means of misdescription of the 1 Tariff FMC No. 004 expired August 24, 1996. It without an effective tariff on file for a commodities actually shipped; was subsequently replaced by tariff FMC No. 005, period of 54 days. Each day of a (2) Whether Shipman International, in effective October 18, 1996. its capacity as a common carrier, 2 Based on import data available from the PIERS subsidiary of the Journal of Commerce, Shipman 3 Since filing its tariff No. 004 in the ATFI system violated section 10(b)(1) of the 1984 Act International has acted as shipper on over 550 in 1993, Shipman International has maintained a by charging, demanding, collecting, or inbound shipments during the twelve-month period tariff consisting solely of three classes of Cargo receiving less or different compensation ending November 1996, accounting for nearly 1100 N.O.S. rates, i.e. hazardous, non-hazardous and for the transportation of property than TEUs of cargo. PIERS reports that the primary ocean refrigerated, and a separate rate for Hardware N.O.S. common carrier transporting cargo on behalf of Subsequent to the filing of its NVOCC tariff No. 005 the rates and charges shown in its Shipman International was Mitsui OSK Line, which in October 1996, Shipman International has NVOCC tariff; accounted for 91% of the total tonnage moved maintained only three classes of Cargo N.O.S. rates. (3) Whether Shipman International during this period. More than 100 of these Shipman International does not publish ‘‘per violated section 8 of the 1984 Act and shipments originated during the 54-day period in container’’ rates, nor does it appear to charge those August–October 1996 when Shipman International Cargo N.O.S. rates which it does publish, inasmuch the Commission’s tariff regulations at 46 did not have a tariff effective for its NVOCC as its rates are tariffed solely on a weight or C.F.R. § 514.1 by operating as a non- services. measurement ton basis. vessel-operating common carrier during 16160 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices the period August 25, 1996 through conference, shall be served on parties of DEPARTMENT OF HEALTH AND October 18, 1996, without having a tariff record; HUMAN SERVICES for such services on file and effective It is further ordered, that all Office of the Secretary with the Commission; documents submitted by any party of (4) Whether, in the event violations of sections 8, 10(a)(1) and 10(b)(1) of the record in this proceeding shall be Meeting of the Secretary's Council on 1984 Act and Commission regulations directed to the Secretary, Federal Health Promotion and Disease are found, civil penalties should be Maritime Commission, Washington, Prevention Objectives for 2010 assessed against Shipman International D.C. 20573, in accordance with Rule 118 AGENCY: Office of Public Health and and, if so, the amount of penalties to be of the Commission’s Rules of Practice Science, Office of Disease Prevention assessed; and Procedure, 46 C.F.R. § 502.118, and and Health Promotion. (5) Whether, in the event violations of shall be served on parties of record; and ACTION: Secretary’s Council on Health sections 10(a)(1) and 10(b)(1) of the It is further ordered, that in Promotion and Disease Prevention 1984 Act are found, the tariff of accordance with Rule 61 of the Shipman International should be Objectives for 2010: Notice of Inaugural Commission’s Rules of Practice and Meeting. suspended; and Procedure, the initial decision of the (6) Whether, in the event violations Administrative Law Judge shall be SUMMARY: The Department of Health and are found, an appropriate cease and issued by March 31, 1998 and the final Human Services is providing notice of desist order should be issued. It is further ordered, that a public decision of the Commission shall be the first annual meeting of the hearing be held in this proceeding and issued by July 29, 1998. Secretary’s Council on Health Promotion and Disease Prevention that this matter be assigned for hearing Joseph C. Polking, Objectives for 2010. before an Administrative Law Judge of Secretary. DATES: The Council will hold its the Commission’s Office of [FR Doc. 97–8635 Filed 4–3–97; 8:45 am] Administrative Law Judges at a date and meeting on April 21, 1997 from 9:30 place to be hereafter determined by the BILLING CODE 6730±01±M a.m. to approximately 4:30 p.m. E.S.T. Administrative Law Judge in ADDRESSES: Department of Health and compliance with Rule 61 of the Human Services, Sixth floor conference Commission’s Rules of Practice and FEDERAL RESERVE SYSTEM room, Hubert H. Humphrey Building, Procedure, 46 C.F.R. § 502.61. The 200 Independence Avenue, SW., hearing shall include oral testimony and Sunshine Act Meeting Washington, DC 20201. The meeting is cross-examination in the discretion of open to the public; seating is limited. the Presiding Administrative Law Judge AGENCY HOLDING THE MEETING: Board of FOR FURTHER INFORMATION CONTACT: only after consideration has been given Governors of the Federal Reserve Ellis Davis, Office of Disease Prevention by the parties and the Presiding System. and Health Promotion, Room 738G, Administrative Law Judge to the use of Hubert H. Humphrey Building, 200 alternative forms of dispute resolution, TIME AND DATE: 10:00 a.m., Wednesday, Independence Avenue, SW., and upon a proper showing that there April 9, 1997. Washington, DC 20201, (202) 260–2873. are genuine issues of material fact that PLACE: Marriner S. Eccles Federal SUPPLEMENTARY INFORMATION: The cannot be resolved on the basis of sworn Reserve Board Building, C Street Council was established by charter on statements, affidavits, depositions, or entrance between 20th and 21st Streets, September 5, 1996 to provide assistance other documents or that the nature of N.W., Washington, DC 20551. to the Secretary and the Department of the matters in issue is such that an oral Health and Human Services in the hearing and cross-examination are STATUS: Closed. development of health promotion and necessary for the development of an MATTERS TO BE CONSIDERED: disease prevention objectives to adequate record; enhance the health of Americans by It is further ordered, that Shipman 1. Personnel actions (appointments, 2010. The Council will meet International (Taiwan) Ltd. is promotions, assignments, reassignments, and approximately once a year and will designated as Respondent in this salary actions) involving individual Federal terminate two years from its charter proceeding; Reserve System employees. It is further ordered, that the date, unless renewed prior to its 2. Any items carried forward from a expiration. Commission’s Bureau of Enforcement is previously announced meeting. designated a party to this proceeding; The Council is charged to advise the It is further ordered, that notice of this CONTACT PERSON FOR MORE INFORMATION: Secretary on the development on Order be published in the Federal Mr. Joseph R. Coyne, Assistant to the national health promotion and disease Register, and a copy be served on Board; (202) 452–3204. You may call prevention goals and objectives and to parties of record; (202) 452–3207, beginning at provide links with States, communities, It is further ordered, that other approximately 5 p.m. two business days and the private sector to ensure their persons having an interest in before this meeting, for a recorded involvement in the process of participating in this proceeding may file announcement of bank and bank developing these goals and objectives. The Secretary of Health and Human petitions for leave to intervene in holding company applications Services chairs the Council, with the accordance with Rule 72 of the scheduled for the meeting. Commission’s Rules of Practice and Assistant Secretary for Health as Vice Procedure, 46 C.F.R. § 502.72; Dated: April 2, 1997. Chair. Other members include the It is further ordered, that all further Jennifer J. Johnson, Operating Division Heads of the notices, orders, and/or decisions issued Deputy Secretary of the Board. Department and the former Assistant by or on behalf of the Commission in [FR Doc. 97–8771 Filed 4–2–97; 8:45 am] Secretaries for Health. Management and this proceeding, including notice of the support services are provided by the time and place of hearing or prehearing BILLING CODE 6210±01±P Office of Disease Prevention and Health Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16161

Promotion, Office of Public Health and telephone 301–402–4242, fax number would also like to submit written statements Science, Office of the Secretary. 301–480–6900. on these issues are invited to do so. Questions to be Addressed: At its first meeting, the membership Dated: March 31, 1997. 1. What medical/clinical codes and will establish procedures for conducting Henrietta D. Hyatt-Knorr, classifications do you use in administrative the business of the Council and for Deputy Executive Director (Acting), National transactions now? What do you perceive as reporting the results of its meetings to Bioethics Advisory Commission. the main strengths and weaknesses of current the Secretary. Other items on the agenda [FR Doc. 97–8596 Filed 4–3–97; 8:45 am] methods for coding and classification of encounter and/or enrollment data? include consideration of reports from BILLING CODE 4160±17±P Healthy People 2000 Consortium focus 2. What medical/clinical codes and groups, discussion of data developments classifications do you recommend as initial standards for administrative transactions, relevant to Healthy People 2010, and National Committee on Vital and Health given the time frames in the HIPAA? What strategies for engaging the business Statistics; Meetings specific suggestions would you like to see community in the Department’s implemented regarding coding and prevention efforts. During its tenure, the Pursuant to the Federal Advisory classification? Council will oversee the development of Committee Act, the Department of 3. Prior to the passage of HIPAA, the Healthy People 2010, the third Health and Human Services announces National Center for Health Statistics initiated generation of a national initiative to the following advisory committee development of a clinical modification of prevent disease and promote the health meetings. ICD–10 (ICD–10–CM) and the Health Care Financing Administration undertook Name: National Committee on Vital and of the American people. It is anticipated development of a new procedure coding Health Statistics (NCVHS), Subcommittee on that a call for submission by the public system for inpatient procedures (called ICD– Health Data Needs, Standards, and Security. of health promotion/disease prevention 10–PCS), with a plan to implement them Times and Dates: 9:30 a.m.–6 p.m., April objectives for 2010 will be published in simultaneously in the year 2000. On the pre- 15, 1997; 9 a.m.–5:30 p.m., April 16, 1997. HIPAA schedule, they will be released to the the fall of 1997. At a second meeting Place: Room 503A, Hubert H. Humphrey field for evaluation and testing by 1998. If proposed for spring of 1998, the Council Building, 200 Independence Avenue, SW, some version of ICD is to be used for will consider the resulting submissions Washington, DC 20201. administrative transactions, do you think it as the basis for a draft of the 2010 Status: Open. objectives to be published in the fall of Purpose: Under the Administrative should be ICD–9–CM or ICD–10–CM and ICD–10–PCS, assuming that field evaluations 1998. Simplification provisions of Pub. L. 104–191, the Health Insurance Portability and are generally positive? If time permits at the conclusion of Accountability Act of 1996 (HIPAA), the 4. Recognizing that the goal of Pub. L. 104– the formal agenda of the Council, the Secretary of Health and Human Services is 191 is administrative simplification, how, Chair may allow brief oral statements required to adopt standards for specified from your perspective, would you deal with from interested parties and persons in transactions to enable health information to the current coding environment to improve attendance. The meeting is open to the be exchanged electronically. The law simplification and reduce administrative burden, but also obtain medically meaningful public; however, seating is limited. If requires that, within 24 months of adoption, all health plans, health care clearinghouses, information? you will require a sign language 5. How should the ongoing maintenance of interpreter, please call Gloria Robledo and health care providers who choose to conduct these transactions electronically medical/clinical code sets and the (202) 401–7736 by 4:30 p.m. E.S.T on must comply with these standards. The law responsibility, intellectual input and funding April 7, 1997. also requires the Secretary to adopt a number for maintenance be addressed for the Dated: March 27, 1997. of supporting standards including standards classification systems included in the standards? What are the arguments for having Susanne A. Stoiber, for code sets and classifications systems. The Secretary is required to consult with the these systems in the public domain versus in Acting Deputy Assistant Secretary for Health National Committee on Vital and Health the private sector, with or without copyright? (Disease Prevention and Health Promotion). Statistics (NCVHS) in complying with these 6. What would the resource implications [FR Doc. 97–8598 Filed 4–3–97; 8:45 am] provisions. The NCVHS is the Department’s be of changing from the coding and BILLING CODE 4160±17±M federal advisory committee on health data, classification systems that you currently are privacy and health information policy. using in administrative transactions to other To assist in the development of the NCVHS systems? Notice of a Meeting of the National recommendations to HHS, the NCVHS 7. A Coding and Classification Subcommittee on Health Data Needs, Implementation Team has been established Bioethics Advisory Commission within the Department of Health and Human (NBAC); Human Subjects Standards, and Security has been holding a series of public meetings to obtain the views, Services to address the requirements of Pub. Subcommittee perspectives and concerns of interested and L. 104–191. Does your organization have any affected parties. On the morning of April 15, concerns about the process being undertaken On Saturday, April 12, 1997, in the Subcommittee’s Working Group on Data by the Department to carry out the conjunction with National Bioethics Standards and Security will hold a public requirements of the law in regard to coding Advisory Commission’s April 13 meeting at which they will be briefed by HHS and classification issues? If so, what are those meeting, the Human Subjects on the status of and plans for unique concerns and what suggestions do you have Subcommittee is now scheduled to meet identifiers for providers and payers. for improvements? from 2:00 to 5:00 p.m. at the Crystal City On the afternoon of April 15th and all day Notice: In the interest of security, the Marriott, Salon E, Jefferson Davis on April 16th, the full Subcommittee will Department has instituted stringent consider and discuss perspectives on medical procedures for entrance to the Hubert H. Highway, Arlington, VA. 22202. The and clinical coding and classification issues Humphrey building by non-government meeting is open to the public. For in the implementation of Pub. L. 104–191. employees. Thus, persons without a public statements, please contact the For the meeting, the Subcommittee is government identification card will need to person listed below. inviting specific organizations representing have the guard call for an escort to the both the users and developers of medical and meeting. For Further Information Contact: Ms. clinical classification systems to address the Contact Person for More Information: Henrietta D. Hyatt-Knorr, National following questions in writing, to make brief Substantive program information as well as Bioethics Advisory Commission, MSC– oral presentations of their answers, and to summaries of the meeting and a roster of 7508, 6100 Executive Boulevard, Suite answer further questions from the committee members may be obtained from 3C01, Rockville, Maryland 20892–7508, Subcommittee. Other organizations that James Scanlon, NCVHS Executive Staff 16162 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Director, Office of the Assistant Secretary for Number for determining the amount of extension Planning and Evaluation, DHHS, Room 440– Average Number of re- burden/ an applicant may receive. D, Humphrey Building, 200 Independence Respondents of re- sponses/ re- A regulatory review period consists of Avenue SW., Washington, DC 20201, spond- respond- two periods of time: A testing phase and ents ent (in sponse telephone (202) 690–7100, or Marjorie S. hrs.) (in hrs.) an approval phase. For human drug Greenberg, Acting Executive Secretary, products, the testing phase begins when NCVHS, NCHS, CDC, Room 1100, State and the exemption to permit the clinical Presidential Building, 6525 Belcrest Road, local investigations of the drug becomes Hyattsville, Maryland 20782, telephone (301) health de- effective and runs until the approval 436–7050. Information also is available on partment .. 2000 1 0.25 phase begins. The approval phase starts the NCVHS home page of the HHS website: with the initial submission of an http://aspe.os.dhhs.gov/ncvhs. Dated: March 28, 1997. application to market the human drug Dated: March 26, 1997. Wilma G. Johnson, product and continues until FDA grants James Scanlon, Acting Associate Director for Policy Planning permission to market the drug product. and Evaluation, Centers for Disease Control Although only a portion of a regulatory Director, Division of Data Policy, Office of and Prevention (CDC). the Assistant Secretary for Planning and review period may count toward the Evaluation. [FR Doc. 97–8618 Filed 4–3–97; 8:45 am] actual amount of extension that the [FR Doc. 97–8597 Filed 4–3–97; 8:45 am] BILLING CODE 4163±18±P Commissioner of Patents and Trademarks may award (for example, BILLING CODE 4151±04±M half the testing phase must be Food and Drug Administration subtracted as well as any time that may have occurred before the patent was Centers for Disease Control and [Docket No. 96E±0503] issued), FDA’s determination of the Prevention Determination of Regulatory Review length of a regulatory review period for Period for Purposes of Patent a human drug product will include all [30 DAY±3±97] Extension; XALATANTM of the testing phase and approval phase as specified in 35 U.S.C. 156(g)(1)(B). Agency Forms Undergoing Paperwork AGENCY: Food and Drug Administration, FDA recently approved for marketing Reduction Act Review HHS. the human drug product XALATANTM TM ACTION: Notice. (latanoprost). XALATAN is indicated The Centers for Disease Control and for the reduction of elevated intraocular Prevention (CDC) publishes a list of SUMMARY: The Food and Drug pressure in patents with open-angle information collection requests under Administration (FDA) has determined glaucoma and ocular hypertension who review by the Office of Management and the regulatory review period for are intolerant of other intraocular Budget (OMB) in compliance with the XALATANTM and is publishing this pressure lowering medications or Paperwork Reduction Act (44 U.S.C. notice of that determination as required insufficiently responsive (failed to Chapter 35). To request a copy of these by law. FDA has made the achieve target IOP determined after requests, call the CDC Reports Clearance determination because of the multiple measurements over time) to Office on (404) 639–7090. Send written submission of an application to the another intraocular pressure lowering comments to CDC, Desk Officer; Human Commissioner of Patents and medication. Subsequent to this Resources and Housing Branch, New Trademarks, Department of Commerce, approval, the Patent and Trademark Executive Office Building, Room 10235; for the extension of a patent which Office received a patent term restoration Washington, DC 20503. Written claims that human drug product. application for XALATANTM (U.S. comments should be received within 30 ADDRESSES: Written comments and Patent No. 4,599,353) from the Trustees days of this notice. petitions should be directed to the of Columbia University in the City of New York, and the Patent and Proposed Project Dockets Management Branch (HFA– 305), Food and Drug Administration, Trademark Office requested FDA’s assistance in determining this patent’s 1. Congenital Syphilis Case 12420 Parklawn Dr., rm. 1–23, Rockville, MD 20857. eligibility for patent term restoration. In Investigation and Report Form (CDC a letter dated February 18, 1997, FDA 73.126 REV 09–91)–(0920–0128). This FOR FURTHER INFORMATION CONTACT: advised the Patent and Trademark request is for a 3-year extension of Brian J. Malkin, Office of Health Affairs Office that this human drug product had clearance. Reducing congenital syphilis (HFY–20), Food and Drug undergone a regulatory review period (CS) is a national objective in the DHHS Administration, 5600 Fishers Lane, and that the approval of XALATANTM Report entitled Healthy People 2000: Rockville, MD 20857, 301–443–1382. represented the first permitted Midcourse Review and 1995 Revisions. SUPPLEMENTARY INFORMATION: The Drug commercial marketing or use of the Objective 19.4 of this document states Price Competition and Patent Term product. Shortly thereafter, the Patent the goal: ‘‘reduce congenital syphilis to Restoration Act of 1984 (Pub. L. 98–417) and Trademark Office requested that an incidence of no more than 40 cases and the Generic Animal Drug and Patent FDA determine the product’s regulatory per 100,000 live births’’ by the year Term Restoration Act (Pub. L. 100–670) review period. 2000. In order to meet this national generally provide that a patent may be FDA has determined that the objective, an effective surveillance extended for a period of up to 5 years applicable regulatory review period for system for CS must be continued in so long as the patented item (human XALATANTM is 1,875 days. Of this order to monitor current levels of drug product, animal drug product, time, 1,519 days occurred during the disease and progress towards the year medical device, food additive, or color testing phase of the regulatory review 2000 objective. This data will also be additive) was subject to regulatory period, while 356 days occurred during used to develop intervention strategies review by FDA before the item was the approval phase. These periods of and to evaluate ongoing control efforts. marketed. Under these acts, a product’s time were derived from the following The total annual burden hours are 500. regulatory review period forms the basis dates: Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16163

1. The date an exemption under Dated: March 27, 1997. Although only a portion of a regulatory section 505(i) of the Federal Food, Drug, Allen B. Duncan, review period may count toward the and Cosmetic Act (21 U.S.C. 355(i)) Acting Associate Commissioner for Health actual amount of extension that the became effective: April 20, 1991. The Affairs. Commissioner of Patents and applicant claims April 18, 1991, as the [FR Doc. 97–8619 Filed 4–3–97; 8:45 am] Trademarks may award (for example, date the investigational new drug BILLING CODE 4160±01±F half the testing phase must be application (IND) became effective. subtracted as well as any time that may have occurred before the patent was However, FDA records indicate that the [Docket No. 96E±0509] IND effective date was April 20, 1991, issued), FDA’s determination of the length of a regulatory review period for which was 30 days after FDA receipt of Determination of Regulatory Review a human drug product will include all the IND. Period for Purposes of Patent of the testing phase and approval phase Extension; PHOTOFRIN 2. The date the application was as specified in 35 U.S.C. 156(g)(1)(B). initially submitted with respect to the AGENCY: Food and Drug Administration, FDA recently approved for marketing human drug product under section HHS. the human drug product PHOTOFRIN  505(b) of the Federal Food, Drug, and ACTION: Notice. (porfimer sodium). PHOTOFRIN is Cosmetic Act: June 16, 1995. The indicated for palliation of patients with applicant claims June 14, 1995, as the SUMMARY: The Food and Drug completely obstructing esophageal date the new drug application (NDA) for Administration (FDA) has determined cancer, or of patients with partially XALATANTM (NDA 20–597) was the regulatory review period for obstructing esophageal cancer who, in initially submitted. However, FDA PHOTOFRIN and is publishing this the opinion of their physician, cannot records indicate that NDA 20–597 was notice of that determination as required be satisfactorily treated with submitted on June 16, 1995. by law. FDA has made the neodymium:yttrium:aluminum:garnet determination because of the (Nd:YAG) laser therapy. Subsequent to 3. The date the application was submission of an application to the this approval, the Patent and Trademark approved: June 5, 1996. FDA has Commissioner of Patents and Office received a patent term restoration verified the applicant’s claim that NDA Trademarks, Department of Commerce, application for PHOTOFRIN (U.S. 20–597 was approved on June 5, 1996. for the extension of a patent which Patent No. 5,145,863) from Health This determination of the regulatory claims that human drug product. Research, Inc., and the Patent and review period establishes the maximum ADDRESSES: Written comments and Trademark Office requested FDA’s potential length of a patent extension. petitions should be directed to the assistance in determining this patent’s However, the U.S. Patent and Dockets Management Branch (HFA– eligibility for patent term restoration. In Trademark Office applies several 305), Food and Drug Administration, a letter dated February 18, 1997, FDA advised the Patent and Trademark statutory limitations in its calculations 12420 Parklawn Dr., rm. 1–23, Office that this human drug product had of the actual period for patent extension. Rockville, MD 20857. undergone a regulatory review period FOR FURTHER INFORMATION CONTACT: In its application for patent extension, and that the approval of PHOTOFRIN Brian J. Malkin, Office of Health Affairs this applicant seeks 1,116 days of patent represented the first permitted term extension. (HFY–20), Food and Drug commercial marketing or use of the Administration, 5600 Fishers Lane, Anyone with knowledge that any of product. Shortly thereafter, the Patent Rockville, MD 20857, 301–443–1382. the dates as published is incorrect may, and Trademark Office requested that on or before June 3, 1997, submit to the SUPPLEMENTARY INFORMATION: The Drug FDA determine the product’s regulatory Dockets Management Branch (address Price Competition and Patent Term review period. Restoration Act of 1984 (Pub. L. 98–417) above) written comments and ask for a FDA has determined that the and the Generic Animal Drug and Patent redetermination. Furthermore, any applicable regulatory review period for Term Restoration Act (Pub. L. 100–670) PHOTOFRIN is 4,065 days. Of this interested person may petition FDA, on generally provide that a patent may be or before October 1, 1997, for a time, 3,441 days occurred during the extended for a period of up to 5 years testing phase of the regulatory review determination regarding whether the so long as the patented item (human period, while 624 days occurred during applicant for extension acted with due drug product, animal drug product, the approval phase. These periods of diligence during the regulatory review medical device, food additive, or color time were derived from the following period. To meet its burden, the petition additive) was subject to regulatory dates: must contain sufficient facts to merit an review by FDA before the item was 1. The date an exemption under FDA investigation. (See H. Rept. 857, marketed. Under these acts, a product’s section 505(i) of the Federal Food, Drug, part 1, 98th Cong., 2d sess., pp. 41–42, regulatory review period forms the basis and Cosmetic Act (21 U.S.C. 355(i)) 1984.) Petitions should be in the format for determining the amount of extension became effective: November 11, 1984. specified in 21 CFR 10.30. an applicant may receive. The applicant claims October 15, 1984, Comments and petitions should be A regulatory review period consists of as the date the investigational new drug submitted to the Dockets Management two periods of time: A testing phase and application (IND) became effective. Branch (address above) in three copies an approval phase. For human drug However, FDA records indicate that the (except that individuals may submit products, the testing phase begins when IND effective date was November 11, the exemption to permit the clinical single copies) and identified with the 1984, which was 30 days after FDA investigations of the drug becomes docket number found in brackets in the receipt of the IND on October 12, 1984. effective and runs until the approval 2. The date the application was heading of this document. Comments phase begins. The approval phase starts initially submitted with respect to the and petitions may be seen in the with the initial submission of an human drug product under section Dockets Management Branch between 9 application to market the human drug 505(b) of the Federal Food, Drug, and a.m. and 4 p.m., Monday through product and continues until FDA grants Cosmetic Act: April 13, 1994. The Friday. permission to market the drug product. applicant claims April 12, 1994, as the 16164 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices date the new drug application (NDA) for ACCOLATE and is publishing this and Trademark Office received a patent PHOTOFRIN (NDA 20–451) was notice of that determination as required term restoration application for initially submitted. However, FDA by law. FDA has made the ACCOLATE (U.S. Patent No. records indicate that NDA 20–451 was determination because of the 4,859,692) from Zeneca, Inc., and the submitted on April 13, 1994. submission of an application to the Patent and Trademark office requested 3. The date the application was Commissioner of Patents and FDA’s assistance in determining this approved: December 27, 1995. FDA has Trademarks, Department of Commerce, patent’s eligibility for patent term verified the applicant’s claim that NDA for the extension of a patent which restoration. In a letter dated February 20–451 was approved on December 27, claims that human drug product. 18, 1997, FDA advised the Patent and 1995. ADDRESSES: Written comments and Trademark Office that this human drug This determination of the regulatory petitions should be directed to the product had undergone a regulatory review period establishes the maximum Dockets Management Branch (HFA– review period and that the approval of  potential length of a patent extension. 305), Food and Drug Administration, ACCOLATE represented the first However, the U.S. Patent and 12420 Parklawn Dr., rm. 1–23, permitted commercial marketing or use Trademark Office applies several Rockville, MD 20857. of the product. Shortly thereafter, the statutory limitations in its calculations FOR FURTHER INFORMATION CONTACT: Patent and Trademark Office requested of the actual period for patent extension. Brian J. Malkin, Office of Health Affairs that FDA determine the product’s In its application for patent extension, (HFY–20), Food and Drug regulatory review period. FDA has determined that the this applicant seeks 915 days of patent Administration, 5600 Fishers Lane, applicable regulatory review period for term extension. Rockville, MD 20857, 301–443–1382. Anyone with knowledge that any of ACCOLATE is 3,110 days. Of this SUPPLEMENTARY INFORMATION: The Drug the dates as published is incorrect may, time, 2,651 days occurred during the Price Competition and Patent Term on or before June 3, 1997, submit to the testing phase of the regulatory review Restoration Act of 1984 (Pub. L. 98–417) Dockets Management Branch (address period, while 459 days occurred during and the Generic Animal Drug and Patent above) written comments and ask for a the approval phase. These periods of Term Restoration Act (Pub. L. 100–670) redetermination. Furthermore, any time were derived from the following generally provide that a patent may be interested person may petition FDA, on dates: extended for a period of up to 5 years or before October 1, 1997, for a 1. The date an exemption under so long as the patented item (human determination regarding whether the section 505(i) of the Federal Food, Drug, drug product, animal drug product, applicant for extension acted with due and Cosmetic Act (21 U.S.C. 355(i)) medical device, food additive, or color diligence during the regulatory review became effective: March 24, 1988. FDA additive) was subject to regulatory period. To meet its burden, the petition has verified the applicant’s claim that review by FDA before the item was must contain sufficient facts to merit an the date that the investigational new marketed. Under these acts, a product’s FDA investigation. (See H. Rept. 857, drug application became effective was regulatory review period forms the basis part 1, 98th Cong., 2d sess., pp. 41–42, on March 24, 1988. for determining the amount of extension 2. The date the application was 1984.) Petitions should be in the format an applicant may receive. initially submitted with respect to the specified in 21 CFR 10.30. A regulatory review period consists of Comments and petitions should be human drug product under section two periods of time: A testing phase and 505(b) of the Federal Food, Drug, and submitted to the Dockets Management an approval phase. For human drug Branch (address above) in three copies Cosmetic Act: June 26, 1995. FDA has products, the testing phase begins when verified the applicant’s claim that the (except that individuals may submit the exemption to permit the clinical single copies) and identified with the new drug application (NDA) for investigations of the drug becomes ACCOLATE (NDA 20–547) was docket number found in brackets in the effective and runs until the approval heading of this document. Comments initially submitted on June 26, 1995. phase begins. The approval phase starts 3. The date the application was and petitions may be seen in the with the initial submission of an approved: September 26, 1996. FDA has Dockets Management Branch between 9 application to market the human drug verified the applicant’s claim that NDA a.m. and 4 p.m., Monday through product and continues until FDA grants 20–547 was approved on September 26, Friday. permission to market the drug product. 1996. Dated: March 27, 1997. Although only a portion of a regulatory This determination of the regulatory Allen B. Duncan, review period may count toward the review period establishes the maximum Acting Associate Commissioner for Health actual amount of extension that the potential length of a patent extension. Affairs. Commissioner of Patents and However, the U.S. Patent and [FR Doc. 97–8621 Filed 4–3–97; 8:45 am] Trademarks may award (for example, Trademark Office applies several BILLING CODE 4160±01±F half the testing phase must be statutory limitations in its calculations subtracted as well as any time that may of the actual period for patent extension. have occurred before the patent was In its application for patent extension, [Docket No. 96E±0507] issued), FDA’s determination of the this applicant seeks 1,496 days of patent Determination of Regulatory Review length of a regulatory review period for term extension. Anyone with knowledge that any of Period for Purposes of Patent a human drug product will include all the dates as published is incorrect may, Extension; ACCOLATE of the testing phase and approval phase as specified in 35 U.S.C. 156(g)(1)(B). on or before June 3, 1997, submit to the AGENCY: Food and Drug Administration, FDA recently approved for marketing Dockets Management Branch (address HHS. the human drug product ACCOLATE above) written comments and ask for a  ACTION: Notice. (zafirlukast). ACCOLATE is indicated redetermination. Furthermore, any for the prophylaxis and chronic interested person may petition FDA, on SUMMARY: The Food and Drug treatment of asthma in adults and or before October 1, 1997, for a Administration (FDA) has determined children 12 years of age and older. determination regarding whether the the regulatory review period for Subsequent to this approval, the Patent applicant for extension acted with due Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16165 diligence during the regulatory review medical device, food additive, or color the date that the investigational new period. To meet its burden, the petition additive) was subject to regulatory drug application became effective was must contain sufficient facts to merit an review by FDA before the item was on October 5, 1982. FDA investigation. (See H. Rept. 857, marketed. Under these acts, a product’s 2. The date the application was part 1, 98th Cong., 2d sess., pp. 41–42, regulatory review period forms the basis initially submitted with respect to the 1984.) Petitions should be in the format for determining the amount of extension human drug product under section specified in 21 CFR 10.30. an applicant may receive. 505(b) of the Federal Food, Drug, and Comments and petitions should be A regulatory review period consists of Cosmetic Act: January 30, 1995. The submitted to the Dockets Management two periods of time: A testing phase and applicant claims April 29, 1994, as the Branch (address above) in three copies an approval phase. For human drug date the new drug application (NDA) for (except that individuals may submit products, the testing phase begins when REMERONTM (NDA 20–415) was single copies) and identified with the the exemption to permit the clinical initially submitted. However, FDA docket number found in brackets in the investigations of the drug becomes records indicate that the submission heading of this document. Comments effective and runs until the approval received on April 29, 1994, was and petitions may be seen in the phase begins. The approval phase starts withdrawn before filing. The actual Dockets Management Branch between 9 with the initial submission of an NDA receipt date was January 30, 1995 a.m. and 4 p.m., Monday through application to market the human drug (the date the fileable NDA was received Friday. product and continues until FDA grants at FDA), which is considered to be the permission to market the drug product. NDA initially submitted date. Dated: March 27, 1997. Although only a portion of a regulatory 3. The date the application was Allen B. Duncan, review period may count toward the approved: June 14, 1996. FDA has Acting Associate Commissioner for Health actual amount of extension that the verified the applicant’s claim that NDA Affairs. Commissioner of Patents and 20–415 was approved on June 14, 1996. [FR Doc. 97–8622 Filed 4–3–97; 8:45 am] Trademarks may award (for example, BILLING CODE 4160±01±F half the testing phase must be This determination of the regulatory subtracted as well as any time that may review period establishes the maximum potential length of a patent extension. [Docket No. 95E±0020] have occurred before the patent was issued), FDA’s determination of the However, the U.S. Patent and Trademark Office applies several Determination of Regulatory Review length of a regulatory review period for statutory limitations in its calculations Period for Purposes of Patent a human drug product will include all of the actual period for patent extension. Extension; REMERONTM of the testing phase and approval phase as specified in 35 U.S.C. 156(g)(1)(B). In its application for patent extension, AGENCY: Food and Drug Administration, FDA recently approved for marketing this applicant seeks 730 days of patent HHS. the human drug REMERONTM term extension. ACTION: Notice. (mirtazapine). REMERONTM is indicated Anyone with knowledge that any of for the treatment of depression. the dates as published is incorrect may, SUMMARY: The Food and Drug Subsequent to this approval, the Patent on or before June 3, 1997 submit to the Administration (FDA) has determined and Trademark Office received a patent Dockets Management Branch (address the regulatory review period for term restoration application for above) written comments and ask for a REMERONTM and is publishing this REMERONTM (U.S. Patent No. redetermination. Furthermore, any notice of that determination as required 4,062,848) from Akzona Inc., and the interested person may petition FDA, on by law. FDA has made the Patent and Trademark Office requested or before October 1, 1997 for a determination because of the FDA’s assistance in determining this determination regarding whether the submission of an application to the patent’s eligibility for patent term applicant for extension acted with due Commissioner of Patents and restoration. In a letter dated January 13, diligence during the regulatory review Trademarks, Department of Commerce, 1997, FDA advised the Patent and period. To meet its burden, the petition for the extension of a patent which Trademark Office that this human drug must contain sufficient facts to merit an claims that human drug product. product had undergone a regulatory FDA investigation. (See H. Rept. 857, ADDRESSES: review period and that the approval of part 1, 98th Cong., 2d sess., pp. 41–42, Written comments and TM petitions should be directed to the REMERON represented the first 1984.) Petitions should be in the format Dockets Management Branch (HFA– permitted commercial marketing or use specified in 21 CFR 10.30. 305), Food and Drug Administration, of the product. Shortly thereafter, the Comments and petitions should be 12420 Parklawn Dr., rm. 1–23, Patent and Trademark Office requested submitted to the Dockets Management Rockville, MD 20857. that FDA determine the product’s Branch (address above) in three copies regulatory review period. (except that individuals may submit FOR FURTHER INFORMATION CONTACT: FDA has determined that the Brian J. Malkin, Office of Health Affairs single copies) and identified with the applicable regulatory review period for docket number found in brackets in the (HFY–20), Food and Drug TM REMERON is 5,003 days. Of this heading of this document. Comments Administration, 5600 Fishers Lane, time, 4,501 days occurred during the Rockville, MD 20857, 301–443–1382. and petitions may be seen in the testing phase of the regulatory review Dockets Management Branch between 9 SUPPLEMENTARY INFORMATION: The Drug period, while 502 days occurred during a.m. and 4 p.m., Monday through Price Competition and Patent Term the approval phase. These periods of Friday. Restoration Act of 1984 (Pub. L. 98–417) time were derived from the following and the Generic Animal Drug and Patent dates: Dated: March 27, 1997. Term Restoration Act (Pub. L. 100–670) 1. The date an exemption under Allen B. Duncan, generally provide that a patent may be section 505(i) of the Federal Food, Drug, Acting Associate Commissioner for Health extended for a period of up to 5 years and Cosmetic Act (21 U.S.C. 355(i)) Affairs. so long as the patented item (human became effective: October 5, 1982. FDA [FR Doc. 97–8623 Filed 4–3–97; 8:45 am] drug product, animal drug product, has verified the applicant’s claim that BILLING CODE 4160±01±F 16166 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

[Docket No. 96E±0441] length of a regulatory review period for this applicant seeks 831 days of patent a human drug product will include all term extension. Determination of Regulatory Review of the testing phase and approval phase Anyone with knowledge that any of Period for Purposes of Patent the dates as published is incorrect may,  as specified in 35 U.S.C. 156(g)(1)(B). Extension; TRITEC FDA recently approved for marketing on or before June 3, 1997 submit to the  Dockets Management Branch (address AGENCY: Food and Drug Administration, the human drug product TRITEC  above) written comments and ask for a HHS. (ranitidine bismuth citrate). TRITEC in combination with clarithromycin is redetermination. Furthermore, any ACTION: Notice. indicated for the treatment of patients interested person may petition FDA, on SUMMARY: The Food and Drug with an active duodenal ulcer or before October 1, 1997 for a Administration (FDA) has determined associated with H. pylori infection. determination regarding whether the the regulatory review period for Subsequent to this approval, the Patent applicant for extension acted with due TRITEC and is publishing this notice and Trademark Office received a patent diligence during the regulatory review of that determination as required by term restoration application for period. To meet, the petition must law. FDA has made the determination TRITEC (U.S. Patent No. 5,008,256) contain sufficient facts to merit an FDA because of the submission of an from Glaxo Wellcome, Inc., and the investigation. (See H. Rept. 857, part 1, application to the Commissioner of Patent and Trademark Office requested 98th Cong., 2d sess., pp. 41–42, 1984.) Patents and Trademarks, Department of FDA’s assistance in determining this Petitions should be in the format Commerce, for the extension of a patent patient’s eligibility for patent term specified in 21 CFR 10.30. which claims that human drug product. restoration. In a letter dated January 13, Comments and petitions should be submitted to the Dockets Management ADDRESSES: Written comments and 1997, FDA advised the Patent and petitions should be directed to the Trademark Office that this human drug Branch (address above) in three copies Dockets Management Branch (HFA– product had undergone a regulatory (except that individuals may submit 305), Food and Drug Administration, review period and that the approval of single copies) and identified with the 12420 Parklawn Dr., rm. 1–23, TRITEC represented the first permitted docket number found in brackets in the Rockville, MD 20857. commercial marketing or use of the heading of this document. Comments and petitions may be seen in the FOR FURTHER INFORMATION CONTACT: product. Shortly thereafter, the Patent Dockets Management Branch between 9 Brian J. Malkin, Office of Health Affairs and Trademark Office requested that a.m. and 4 p.m., Monday through (HFY–20), Food and Drug FDA determine the product’s regulatory Friday. Administration, 5600 Fishers Lane, review period. Rockville, MD 20857, 301–443–1382. FDA has determined that the Dated: March 27, 1997. SUPPLEMENTARY INFORMATION: The Drug applicable regulatory review period for Allen B. Duncan, Price Competition and Patent Term TRITEC is 1,074 days. Of this time, Acting Associate Commissioner for Health Restoration Act of 1984 (Pub. L. 98–417) 485 days occurred during the testing Affairs. and the Generic Animal Drug and Patent phase of the regulatory review period, [FR Doc. 97–8624 Filed 4–3–97; 8:45 am] Term Restoration Act (Pub. L. 100–670) while 589 days occurred during the BILLING CODE 4160±01±F generally provide that a patent may be approval phase. These periods of time were derived from the following dates: extended for a period of up to 5 years [Docket No. 96E±0505] so long as the patented item (human 1. The date an exemption under drug product, animal drug product, section 505(i) of the Federal Food, Drug, Determination of Regulatory Review medical device, food additive, or color and Cosmetic Act (21 U.S.C. 355(i)) Period for Purposes of Patent additive) was subject to regulatory became effective: September 1, 1993. Extension; MERETEK UBTTM Breath review by FDA before the item was FDA has verified the applicant’s claim Test marketed. Under these acts, a product’s that the date that the investigation new regulatory review period forms the basis drug application became effective was AGENCY: Food and Drug Administration, for determining the amount of extension on September 1, 1993. HHS. an applicant may receive. 2. The date the application was ACTION: Notice. A regulatory review period consists of initially submitted with respect to the two periods of time: A testing phase and human drug product under section SUMMARY: The Food and Drug an approval phase. For human drug 505(b) of the Federal Food, Drug, and Administration (FDA) has determined products, the testing phase begins when Cosmetic Act: December 29, 1994. FDA the regulatory review period for the exemption to permit the clinical has verified the applicant’s claim that MERETEK UBTTM Breath Test and is investigations of the drug becomes the new drug application (NDA) for publishing this notice of that effective and runs until the approval TRITEC (NDA 20–559) was initially determination as required by law. FDA phase begins. The approval phase starts submitted on December 29, 1994. has made the determination because of with the initial submission of an 3. The date the application was the submission of an application to the application to market the human drug approved: August 8, 1996. FDA has Commissioner of Patents and product and continues until FDA grants verified the applicant’s claim that NDA Trademarks, Department of Commerce, permission to market the drug product. 20–559 was approved on August 8, for the extension of a patent which Although only a portion of a regulatory 1996. claims that human drug product. review period may count toward the This determination of the regulatory ADDRESSES: Written comments and actual amount of extension that the review period establishes the maximum petitions should be directed to the Commissioner of Patents and potential length of a patent extension. Dockets Management Branch (HFA– Trademarks may award (for example, However, the U.S. Patent and 305), Food and Drug Administration, half the testing phase must be Trademark Office applies several 12420 Parklawn Dr., rm. 1–23, subtracted as well as any time that may statutory limitations in its calculations Rockville, MD 20857. have occurred before the patent was of the actual period for patent extension. FOR FURTHER INFORMATION CONTACT: issued), FDA’s determination of the In its application for patent extension, Brian J. Malkin, Office of Health Affairs Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16167

(HFY–20), Food and Drug permitted commercial marketing or use diligence during the regulatory review Administration, 5600 Fishers Lane, of the product. Shortly thereafter, the period. To meet its burden, the petition Rockville, MD 20857, 301–443–1382. Patent and Trademark Office requested must contain sufficient facts to merit an SUPPLEMENTARY INFORMATION: The Drug that FDA determine the product’s FDA investigation. (See H. Rept. 857, Price Competition and Patent Term regulatory review period. part 1, 98th Cong., 2d sess., pp. 41–42, Restoration Act of 1984 (Pub. L. 98–417) FDA has determined that the 1984.) Petitions should be in the format and the Generic Animal Drug and Patent applicable regulatory review period for specified in 21 CFR 10.30. TM Term Restoration Act (Pub. L. 100–670) MERETEK UBT Breath Test is 2,023 Comments and petitions should be generally provide that a patent may be days. Of this time, 1,527 days occurred submitted to the Dockets Management extended for a period of up to 5 years during the testing phase of the Branch (address above) in three copies so long as the patented item (human regulatory review period, while 496 (except that individuals may submit drug product, animal drug product, days occurred during the approval single copies) and identified with the medical device, food additive, or color phase. These periods of time were docket number found in brackets in the additive) was subject to regulatory derived from the following dates: heading of this document. Comments 1. The date an exemption under review by FDA before the item was and petitions may be seen in the section 505(i) of the Federal Food, Drug, marketed. Under these acts, a product’s Dockets Management Branch between 9 and Cosmetic Act (21 U.S.C. 355(i)) regulatory review period forms the basis a.m. and 4 p.m., Monday through became effective: March 7, 1991. The for determining the amount of extension Friday. applicant claims January 19, 1990, as an applicant may receive. Dated: March 27, 1997. the date the investigational new drug A regulatory review period consists of Allen B. Duncan, application (IND) for MERETEK UBTTM two periods of time: A testing phase and Breath Test (IND 26,861) became Acting Associate Commissioner for Health Affairs. an approval phase. For human drug effective. However, FDA records products, the testing phase begins when indicate that IND 26,861 was received [FR Doc. 97–8625 Filed 4–3–97; 8:45 am] the exemption to permit the clinical by the agency on August 7, 1985. The BILLING CODE 4160±01±F investigations of the drug becomes protocol that first contained the Urea effective and runs until the approval Breath Test was received by the agency [Docket No. 97E±0014] phase begins. The approval phase starts on February 5, 1991, as part of this IND. with the initial submission of an Using February 5, 1991, as the Determination of Regulatory Review application to market the human drug beginning date plus adding 30 days for Period for Purposes of Patent product and continues until FDA grants the receipt date of the modification, Extension; Astelin Nasal Spray permission to market the drug product. results in an effective date of March 7, AGENCY: Although only a portion of a regulatory 1991, for the testing phase of the active Food and Drug Administration, review period may count toward the ingredient of this product. HHS. actual amount of extension that the 2. The date the application was ACTION: Notice. Commissioner of Patents and initially submitted with respect to the Trademarks may award (for example, SUMMARY: The Food and Drug human drug product under section Administration (FDA) has determined half the testing phase must be 505(b) of the Federal Food, Drug, and subtracted as well as any time that may the regulatory review period for Cosmetic Act: May 11, 1995. FDA has Astelin Nasal Spray and is publishing have occurred before the patent was verified the applicant’s claim that the issued), FDA’s determination of the this notice of that determination as new drug application (NDA) for required by law. FDA has made the length of a regulatory review period for TM MERETEK UBT Breath Test (NDA determination because of the a human drug product will include all 20–586) was initially submitted on May of the testing phase and approval phase submission of an application to the 11, 1995. Commissioner of Patents and as specified in 35 U.S.C. 156(g)(1)(B). 3. The date the application was Trademarks, Department of Commerce, FDA recently approved for marketing approved: September 17, 1996. FDA has for the extension of a patent which the human drug product MERETEK verified the applicant’s claim that NDA claims that human drug product. UBTTM Breath Test (urea, C–13). 20–586 was approved on September 17, MERETEK UBTTM Breath Test is 1996. ADDRESSES: Written comments and intended for use in the qualitative This determination of the regulatory petitions should be directed to the detection of urease associated with review period establishes the maximum Dockets Management Branch (HFA– Helicobacter pylori in the human potential length of a patent extension. 305), Food and Drug Administration, stomach and as an aid in the diagnosis However, the U.S. Patent and 12420 Parklawn Dr., rm. 1–23, of H. pylori infection in adult patients. Trademark Office applies several Rockville, MD 20857. Subsequent to this approval, the Patent statutory limitations in its calculations FOR FURTHER INFORMATION CONTACT: and Trademark Office received a patent of the actual period for patent extension. Brian J. Malkin, Office of Health Affairs term restoration application for In its application for patent extension, (HFY–20), Food and Drug MERETEK UBTTM Breath Test (U.S. this applicant seeks 780 days of patent Administration, 5600 Fishers Lane, Patent No. 4,830,010) from term extension. Rockville, MD 20857, 301–443–1382. Meretekdiagnostics, Inc., and the Patent Anyone with knowledge that any of SUPPLEMENTARY INFORMATION: The Drug and Trademark Office requested FDA’s the dates as published is incorrect may, Price Competition and Patent Term assistance in determining this patent’s on or before June 3, 1997 submit to the Restoration Act of 1984 (Pub. L. 98–417) eligibility for patent term restoration. In Dockets Management Branch (address and the Generic Animal Drug and Patent a letter dated February 21, 1997, FDA above) written comments and ask for a Term Restoration Act (Pub. L. 100–670) advised the Patent and Trademark redetermination. Furthermore, any generally provide that a patent may be Office that this human drug product had interested person may petition FDA, on extended for a period of up to 5 years undergone a regulatory review period or before October 1, 1997 for a so long as the patented item (human and that the approval of MERETEK determination regarding whether the drug product, animal drug product, UBTTM Breath Test represented the first applicant for extension acted with due medical device, food additive, or color 16168 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices additive) was subject to regulatory 1. The date an exemption under Dated: March 27, 1997. review by FDA before the item was section 505(i) of the Federal Food, Drug, Allen B. Duncan, marketed. Under these acts, a product’s and Cosmetic Act (21 U.S.C. 355(i)) Acting Associate Commissioner for Health regulatory review period forms the basis became effective: March 8, 1989. The Affairs. for determining the amount of extension applicant claims February 6, 1989, as [FR Doc. 97–8626 Filed 4–3–97; 8:45 am] an applicant may receive. the date the investigational new drug BILLING CODE 4160±01±F A regulatory review period consists of application (IND) became effective. two periods of time: A testing phase and However, FDA records indicate that the an approval phase. For human drug IND effective date was March 8, 1989, National Institutes of Health products, the testing phase begins when which was 30 days after FDA receipt of Pretesting of Office of Cancer the exemption to permit the clinical the IND on February 6, 1989. investigations of the drug becomes Communications Messages; Proposed effective and runs until the approval 2. The date the application was Collection; Comment Request initially submitted with respect to the phase begins. The approval phase starts Summary: In compliance with the with the initial submission of an human drug product under section 505(b) of the Federal Food, Drug, and requirements of Section 3506(c)(2)(A) of application to market the human drug the Paperwork Reduction Act of 1995, Cosmetic Act: March 26, 1991. FDA has product and continues until FDA grants for opportunity for public comment on verified the applicant’s claim that the permission to market the drug product. proposed data collection projects, the Although only a portion of a regulatory new drug application (NDA) for  National Cancer Institute (NCI), the review period may count toward the Astelin Nasal Spray (NDA 20–114) National Institutes of Health (NIH) will actual amount of extension that the was initially submitted on March 26, publish periodic summaries of proposed Commissioner of Patents and 1991. projects to be submitted to the Office of Trademarks may award (for example, 3. The date the application was Management and Budget (OMB) for half the testing phase must be approved: November 1, 1996. FDA has review and approval. subtracted as well as any time that may verified the applicant’s claim that NDA have occurred before the patent was Proposed Collection 20–114 was approved on November 1, issued), FDA’s determination of the 1996. Title: Pretesting of Office of Cancer length of a regulatory review period for Communications Messages. a human drug product will include all This determination of the regulatory Type of Information Collection of the testing phase and approval phase review period establishes the maximum Request: EXTENSION (OMB # 0925– as specified in 35 U.S.C. 156(g)(1)(B). potential length of a patent extension. 0046, expires 8/31/97). FDA recently approved for marketing However, the U.S. Patent and Need and Use of Information the human drug product Astelin Nasal Trademark Office applies several Collection: In order to carry out NCI’s Spray (azelastine hydrochloride). statutory limitations in its calculations legislative mandate to educate and Astelin Nasal Spray is indicated for of the actual period for patent extension. disseminate information about cancer the treatment of the symptoms of In its application for patent extension, prevention, detection diagnosis, and seasonal allergic rhinitis such as this applicant seeks 349 days of patent treatment to a wide variety of audiences rhinorrhea, sneezing, and nasal pruritus term extension. and organizations (e.g. cancer patients, in adults and children 12 years and Anyone with knowledge that any of their families, the general public, health older. Subsequent to this approval, the the dates as published is incorrect may, providers, the media, voluntary groups, Patent and Trademark Office received a on or before June 3, 1997 submit to the scientific and medical organizations), patent term restoration application for the Office of Cancer Communications Dockets Management Branch (address Astelin Nasal Spray (U.S. Patent No. (OCC) needs to pretest its above) written comments and ask for a 5,164,194) from Astra Medica AG, and communications strategies, concepts, the Patent and Trademark Office redetermination. Furthermore, any and messages while they are under requested FDA’s assistance in interested person may petition FDA, on development. The primary purpose of determining this patent’s eligibility for or before October 1, 1997 for a this pretesting, or formative evaluation, patent term restoration. In a letter dated determination regarding whether the is to ensure that the messages, February 18, 1997, FDA advised the applicant for extension acted with due communications materials, and Patent and Trademark Office that this diligence during the regulatory review information services created by OCC human drug product had undergone a period. To meet its burden, the petition have the greatest capacity of being regulatory review period and that the must contain sufficient facts to merit an received, understood, and accepted by approval of Astelin Nasal Spray FDA investigation. (See H. Rept. 857, their target audiences. By utilizing represented the first permitted part 1, 98th Cong., 2d sess., pp. 41–42, appropriate qualitative and quantitative commercial marketing or use of the 1984.) Petitions should be in the format methodologies, OCC is able to (1) product. Shortly thereafter, the Patent specified in 21 CFR 10.30. Understand characteristics of the and Trademark Office requested that Comments and petitions should be intended target audience—their FDA determine the product’s regulatory submitted to the Dockets Management attitudes, beliefs and behaviors—and review period. Branch (address above) in three copies use this information in the development FDA has determined that the (except that individuals may submit of effective communications tools; (2) applicable regulatory review period for produce or refine messages that have the single copies) and identified with the Astelin Nasal Spray is 2,797 days. Of greatest potential to influence target docket number found in brackets in the this time, 749 days occurred during the audience attitudes and behavior in a testing phase of the regulatory review heading of this document. Comments positive manner; and (3) expend limited period, while 2,048 days occurred and petitions may be seen in the program resources dollars wisely and during the approval phase. These Dockets Management Branch between 9 effectively. Frequency of Response: On periods of time were derived from the a.m. and 4 p.m., Monday through occasion. Affected public: Individuals or following dates: Friday. households; Businesses or other for Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16169 profit; Not-for-profit institutions; Health Promotion Branch, OCC, NCI, it displays a currently valid OMB Federal Government; State, Local or NIH, Building 31, Room 10A03, 9000 control number. Tribal Government. Type of Rockville Pike, Bethesda, MD 20892, or PROPOSED COLLECTION: Title: A Respondents: Adult cancer patients; call non-toll-free number (301) 496– Comprehensive Alcohol Education members of the public; health care 6667 or E-mail your request, including Program for Pre-Adolescents Using professionals; organizational your address to Interactive Multimedia. Type of representatives. The annual reporting [email protected]. Information Collection request: NEW. burden is as follows: Estimated Number Comments Due Date: Comments Need and Use of Information Collection: of Respondents: 13,780; Estimated regarding this information collection are The information proposed for collection Number of Responses per Respondent: best assured of having their full effect if will be used by the NIAAA to determine 1; Average Burden Hours Per Response; received by June 3, 1997. the efficacy of interactive multimedia 1458; and Estimated Total Annual Dated: March 27, 1997. for delaying the onset of drinking among Burden Hours Requested: 2,010. There 7th and 8th grade males and females. Nancie L. Bliss, are no Capital Costs, Operating Costs Interactive multimedia enables the and/or Maintenance Costs to report. Project Clearance Liaison, NCI. combination of the elements of Request for Comments [FR Doc. 97–8595 Filed 4–3–97; 8:45 am] television and movies that engage and BILLING CODE 4140±01±M Written comments and/or suggestions motivate the target populations with from the public and affected agencies computer-based interaction, are invited on one or more of the simulations, and games to (1) increase A Comprehensive Alcohol Education information about the negative following points: (1) Whether the Program for Pre-Adolescents Using proposed collection of information is consequences of teen drinking and (2) Interactive Multimedia; Submission for teach practical skills for avoiding and necessary for the proper performance of OMB Review; Comment Request the function of the agency, including refusing alcohol. Subject participation whether the information will have SUMMARY: Under the provisions of will involve (1) focus groups, during practical utility; (2) The accuracy of the Section 3506  (2) (A) of the Paperwork development of the multimedia agency’s estimate of the burden of the Reduction Act of 1995, the National program, and (2) post-development proposed collection of information, Institute on Alcohol Abuse and behavioral trials. including the validity of the Alcoholism (NIAAA), National Frequency of Response: On Occasion. methodology and assumptions used; (3) Institutes of Health (NIH) has submitted Affected Public: Pre-adolescents. Ways to enhance the quality, utility, and to the Office of Management and Budget Type of Respondents: Minor Students clarity of the information to be (OMB) a request to review and approve (Grades 7th and 8th). collected; and (4) Ways to minimize the the information collection listed below. Estimated Number of Respondents: burden of the collection of information This proposed information collection 308. on those who are to respond, including was previously in the Federal Register Estimated Number of Responses per the use of appropriate automated, on March 22, 1996, and allowed 60 days Respondent: 1. electronic, mechanical, or other for public comment. No public Average Burden Hours per Response: technological collection techniques or comments were received. The purpose .281. their forms of information technology. of this notice is to allow an additional And Estimated Total Annual Burden For Further Information Contact: To 30 days for public comment. The NIH Hours Requested: 89.2. request more information on the may not conduct or sponsor, and the There are no Capital Costs to report. proposed project or to obtain a copy of respondent is not required to respond There are no Operating or Maintenance the data collection plans and to, an information collection that has Costs to report. instruments, contact Ellen Eisner, been extended, revised, or implemented The annual burden estimates are as Communications Research Manager, on or after September 28, 1997, unless follows:

Responses Type and number of respondents per re- Total re- Hours Total hours spondent sponses

Focus Group Subjects 40 ...... 1 40 0.5 20 Trial Subjects 268 ...... 4 1072 0.5 536

Total Number of Respondents: 308. Division of Clinical and Prevention Washington, DC 20503, Attention: Desk Total Number of Responses: 1112. Research (DCPR), NIAAA, NIH, Willco Officer for NIH. Total Hours: 556. Building, Room 505, 6000 Executive FOR FURTHER INFORMATION CONTACT: To REQUEST FOR COMMENTS: Comments are Boulevard, MSC 7003, Bethesda, request more information on the invited on: (a) whether the proposed Maryland 20892–7003. proposed project or to obtain a copy of collection is necessary, including the data collection plans, contact Dr. DIRECT COMMENTS TO OMB: Written whether the information has practical Kendall Bryant, Prevention Research comments and/or suggestions regarding use; (b) ways to enhance the clarity, Branch, Division of Clinical and quality, and use of the information to be the item(s) contained in this notice, Prevention Research (DCPR), NIAAA, collected; the accuracy of the agency especially regarding the estimated NIH, Willco Building, Room 505, 6000 estimate of burden of the proposed public burden and associated response Executive Boulevard, MSC 7003, collection; and (d) ways to minimize the time should be directed to the Office of Bethesda, Maryland 20892–7003, or call collection burden of the respondents. Management and Budget, Office of non-toll-free number (301) 443–8820. Send written comments to Dr. Kendall Regulatory Affairs, New Executive COMMENTS DUE DATE: Comments Bryant, Prevention Research Branch, Office Building, Room 10235, regarding this information collection are 16170 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices best assured of having their full effect if and genetic testing in various National Center for Research received by May 5, 1997. populations? Resources; Notice of Meeting of the Dated: March 26, 1997. —What has been learned about genetic National Advisory Research Resources Martin K. Trusty, testing for cystic fibrosis regarding Council and its Planning Subcommittee Executive Officer, NIAAA. (public and health professional) knowledge and attitudes, interest and [FR Doc. 97–8594 Filed 4–3–97; 8:45 am] Pursuant to Pub. L. 92–463, notice is BILLING CODE 4140±01±M demand, risks and benefits, hereby given of the meeting of the effectiveness, cost, and impact? National Advisory Research Resources —Should cystic fibrosis carrier testing Council (NARRC), National Center for Consensus Development Conference be offered to: (1) individuals with a Research Resources (NCRR). This on Genetic Testing for Cystic Fibrosis family history of cystic fibrosis; (2) meeting will be open to the public as Notice is hereby given of the NIH adults in the preconception or indicated below. Attendance by the Consensus Development Conference on prenatal period; and/or (3) the general public will be limited to space available. ‘‘Genetic Testing for Cystic Fibrosis,’’ population? This meeting will be closed to the which will be held April 14–16, 1997, —What are the optimal practices for public as indicated below in accordance in the Natcher Conference Center of the cystic fibrosis genetic testing (setting, with provisions set forth in secs. National Institutes of Health, 9000 timing, and the practices of education, 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. Rockville Pike, Bethesda, Maryland consent, and counseling)? and sec. 10(d) of Pub. L. 92–463, for the 20892. The conference begins at 8:30 review, discussion and evaluation of —What should be the future directions a.m. on April 14, at 8:30 a.m. on April individual grant applications. The for research relevant to genetic testing 15, and at 9:00 a.m. on April 16. applications and the discussions could for cystic fibrosis and, more broadly, At the beginning of this decade, a test reveal confidential trade secrets or was developed which could identify for research and public policy on commercial property such as patentable individuals who carried the genetic genetic testing? material, and personal information mutation associated with cystic fibrosis. The primary sponsors of this meeting concerning individuals associated with Concerned that this test might be are the National Human Genome the applications, the disclosure of inappropriately or prematurely used, a Research Institute and the NIH Office of which would constitute a clearly number of genetic and health Medical Applications Research. The unwarranted invasion of personal professional organizations issued conference is cosponsored by: the privacy. recommendations on its use. These National Institute of Diabetes and Ms. Maureen Mylander, Public Affairs groups considered the circumstances Digestive and Kidney Diseases; the Officer, NCRR, National Institutes of under which the tests should be offered National Heart, Lung, and Blood Health, 1 Rockledge Center, Room 5146, and the populations that would Institute; the National Institute of Child 6705 Rockledge Drive, MSC 7965, potentially benefit. In almost every case, Health and Human Development; the Bethesda, Maryland 20892–7965, (301) recommendations were made against NIH Office of Rare Diseases; the 435–0888, will provide a summary of using the test for large-scale population- National Institute of Mental Health; the the meeting and a roster of the members based screening until more sensitive National Institute of Nursing Research; upon request. Other information tests were developed and more had been the NIH Office of Research on Women’s pertaining to the meeting can be learned about the risks and benefits of Health; the Agency for Health Care obtained from the Executive Secretary genetic testing for individuals and their Policy Research; and the Centers for indicated. Individuals who plan to families. Several statements called for Disease Control and Prevention. attend and need special assistance, such additional support for research on the as sign language interpretation or other educational, laboratory, counseling, Advance information on the reasonable accommodations, should ethical, and cost/benefit issues conference program and conference contact the Executive Secretary in associated with the delivery of registration materials may be obtained advance of the meeting. population-based screening for cystic from: Rose Salton, Technical Resources International, Inc., 3202 Tower Oaks Name of Committee: The Subcommittee on fibrosis. Since that time new research Planning of the National Advisory Research has yielded a large body of new data on Blvd., Suite 200, Rockville, Maryland Resources Council. these issues. 20852, (301) 770–3153, confdept@tech- Place of Meeting: National Institutes of This conference will bring together res.com. The consensus statement will Health, 9000 Rockville Pike, Conference the research investigators, health care be submitted for publication in Room D, Natcher Building 45, Bethesda, providers, epidemiologists, geneticists, professional journals and other Maryland 20892. ethicists and other experts, as well as publications. In addition, the statement Open: May 22, 7:30 a.m.–8:45 a.m. representatives of the public, to present will be available beginning April 16, Purpose/Agenda: To discuss policy issues. and discuss the latest data. 1997 from the NIH Consensus Program Name of Committee: National Advisory 1 Research Resources Council. After 1 ⁄2 days of presentations and Information Center, P.O. Box 2577, Place of Meeting: National Institutes of audience discussion, an independent, Kensington, Maryland 20891, phone 1– Health, 9000 Rockville Pike, Conference non-Federal consensus panel will weigh 888–NIH–CONSENSUS (1–888–644– Room E1 and E2, Natcher Building 45, the scientific evidence and write a draft 2667) and from the NIH Consensus Bethesda, Maryland 20892. statement that it will present to the Program site on the World Wide Web at Open: May 22, 9 a.m. until recess. audience on the third day. The http://consensus.nih.gov. Closed: May 23, 8:30 a.m. until 9:45 a.m. consensus statement will address the Open: May 23, 10:00 a.m. until following key questions: Dated: March 26, 1997. adjournment. Ruth L. Kirschstein, Purpose/Agenda: Report of Center Director —What is the current state of knowledge and other issues related to Council business. Deputy Director, NIH. regarding cystic fibrosis natural Executive Secretary: Louise Ramm, Ph.D., history, epidemiology, genotype- [FR Doc. 97–8593 Filed 4–3–97; 8:45 am] Deputy Director, National Center for phenotype correlations, treatment, BILLING CODE 4140±01±M Research Resources, Building 12A, Room Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16171

4011, Bethesda, MD 20892, Telephone: (301) National Institute on Aging Special On May 14, from 9 a.m. to 5 p.m., the 496–6023. Emphasis Panel meeting: meeting will be held at the National (Catalog of Federal Domestic Assistance Name of SEP: Postponed Aging in Institutes of Health, Building 31, Program Nos. 93.306, Laboratory Animal Drosophila (Teleconference). Conference Room 10, 9000 Rockville Sciences and Primate Research; 93.333, Date of Meeting: March 31, 1997. Pike, Bethesda, Maryland 20892. This Clinical Research; 93.337, Biomedical Time of Meeting: 2:00 p.m. to adjournment. portion of the meeting will be open to Research Support; 93.371, Biomedical Place of Meeting: National Institute on Research Technology; 93.389, Research the public for announcements and Aging, Gateway Building, Room 2C212, 7201 reports of administrative, legislative, Centers in Minority Institutions; 93.198, Wisconsin Avenue, Bethesda, Maryland Biological Models and Materials Research; and program developments in the drug 20892. abuse field. Attendance by the public 93.167, Research Facilities Improvement Purpose/Agenda: To review a program Program; 93.214 Extramural Research project. will be limited to space available. Facilities Construction Projects, National Contact Person: Dr. James P. Harwood, A summary of the meeting and a Institutes of Health) Scientific Review Administrator, Gateway roster of committee members may be Dated: March 31, 1997. Building, Room 2C212, National Institutes of obtained from Ms. Camilla L. Holland, LaVerne Y. Stringfield, Health, Bethesda, Maryland 20892–9205, NIDA Committee Management Officer, Committee Management Officer, NIH. (301) 496–9666. National Institutes of Health, Parklawn [FR Doc. 97–8591 Filed 4–3–97; 8:45 am] This notice is being published less than 15 Building, Room 10–42, 5600 Fishers days prior to the above meeting due to the Lane, Rockville, Maryland 20857 (301/ BILLING CODE 4140±01±M urgent need to meet timing limitations imposed by the review and funding cycle. 443–2755). This meeting will be closed in accordance Substantive program information may National Heart, Lung, and Blood with the provisions set forth in secs. be obtained from Dr. Teresa Levitin, Institute; Notice of Meeting 552b(c) (4) and 552b(c)(6), Title 5, U.S.C. Room 10–42, Parklawn Building, 5600 Applications and/or proposals and the Pursuant to Pub. L. 92–463, notice is Fishers Lane, Rockville, Maryland discussions could reveal confidential trade 20857, (301/443–2755). hereby given of the meeting of the secrets or commercial property such as following National Heart, Lung, and patentable material and personal information Individuals who plan to attend and Blood Institute Special Emphasis Panel. concerning individuals associated with the need special assistance, such as sign The meeting will be open to the applications and/or proposals, the disclosure language interpretation or other public to provide concept review of of which would constitute a clearly reasonable accommodations, should proposed contract or grant solicitations. unwarranted invasion of personal privacy. contact the contact person named above Individuals who plan to attend and (Catalog of Federal Domestic Assistance in advance of the meeting. need special assistance, such as sign Program No. 93.866, Aging Research, (Catalog of Federal Domestic Assistance language interpretation or other National Institutes of Health) Program Numbers: 93.277, Drug Abuse reasonable accommodations, should Dated: March 31, 1997. Research Scientist Development and inform the Contact Person listed below LaVerne Y. Stringfield, Research Scientist Awards; 93.278, Drug in advance of the meeting. Committee Management Officer, NIH. Abuse National Research Service Awards for Research Training; 93.279, Drug Abuse [FR Doc. 97–8583 Filed 4–4–97; 8:45 am] Name of Panel: Standardized Assessment Research Programs) BILLING CODE 4140±01±M of Heart Failure in Population Studies. Dated: March 31, 1997. Dates of Meeting: May 7, 1997. Time of Meeting: 9:00 a.m. LaVerne Y. Stringfield, Place of Meeting: Bethesda, Marriott, 5151 National Institutes of Health Committee Management Officer, NIH. Pooks Hill Road, Bethesda, Maryland 20814. [FR Doc. 97–8584 Filed 4–3–97; 8:45 am] Agenda: Discussion of standardized National Institute on Drug Abuse; BILLING CODE 4140±01±M assessment of prevalence, incidence, and Notice of Meeting recurrence of heart failure in population studies for present and future studies. Pursuant to Pub. L. 92–463, notice is National Institutes of Health Contact Person: Robin Boineau, M.D., hereby given of the meeting of the NHLBI/DHVD, Two Rockledge Center, 6701 National Advisory Council on Drug National Institute of Diabetes and Rockledge Drive, Rm. 8158, MSC 7934, Abuse, National Institute on Drug Abuse Digestive and Kidney Diseases; Notice Bethesda, Maryland 20892, (301) 435–0455. on May 13–14, 1997. of Closed Meetings (Catalog of Federal Domestic Assistance On May 13, from 9 a.m. to 4 p.m., the Programs Nos. 93.837, Heart and Vascular meeting will be held at the Parklawn Pursuant to Section 10(d) of the Diseases Research; 93.838, Lung Diseases Federal Advisory Committee Act, as Research; and 93.839, Blood Diseases and Building, Conference Rooms G and H, Resources Research, National Institutes of 5600 Fishers Lane, Rockville, MD amened (5 U.S.C. Appendix 2), notice is Health) 20857. In accordance with provisions hereby given of the following National Dated: March 31, 1997. set forth in secs. 552b(c)(4) and Institute of Diabetes and Digestive and Kidney Diseases Special Emphasis LaVerne Y. Stringfield, 552b(c)(6), Title 5 U.S.C. and sec. 10(d) Panel meetings: Committee Management Officer, NIH. of Pub. L. 92–463, this portion of the meeting will be closed to the public for [FR Doc. 97–8586 Filed 4–3–97; 8:45 am] Name of SEP: Training Program in the review, discussion, and evaluation Endocrine and Metabolic Research. BILLING CODE 4140±01±M of grant applications. These applications Date: April 15, 1997. and the discussions could reveal Time: 10:30 AM. Place: Room 6as–37E, Natcher Building, National Institute on Aging; Notice of confidential trade secrets or commercial property such as patentable material NIH, (Telephone Conference Call). Closed Meeting Contact Person: Francisco O. Calvo, Ph.D., and personal information concerning Chief, Special Emphasis Panel Section, Pursuant to Section 10(d) of the individuals associated with the Review Branch, DEA, NIDDK, Natcher Federal Advisory Committee Act, as applications, disclosure of which would Building, Room 6as–37E, National Institutes amended (5 U.S.C. Appendix 2), notice constitute a clearly unwarranted of Health, Bethesda, Maryland 20892–6600, is hereby given of the following invasion of personal privacy. Phone: (301) 594–8897. 16172 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Purpose/Agenda: To review and evaluate discussions could reveal confidential report from the Director of the National grant applications. trade secrets or commercial property Center for Health Statistics. Attendance This notice is being published less than 15 such as patentable materials, and by the public will be limited to space days prior to the above meeting due to the personal information concerning available. urgent need to meet timing limitations In accordance with the provisions set imposed by the review and funding cycle. individuals associated with the Name of SEP: Obesity/Nutrition Research applications, disclosure of which would forth in secs. 552b(c)(4) and 552b(c)(6), Centers. constitute a clearly unwarranted Title 5, U.S.C. and sec. 10(d) of Pub. L. Date: April 24, 1997. invasion of personal privacy. 92–463, the meeting of the Council will Time: 4:30 p.m. Mrs. Ann Dieffenbach, Public be closed to the public on Thursday, Place: Room 6as–25F, Natcher Building, Information Officer, National Institute of May 22, from 3:00 p.m. to recess for the NIH, (Telephone Conference Call). General Medical Sciences, National review, discussion and evaluation of Contact Person: Lakshmanan Sankaran, Institutes of Health, Natcher Building, grant applications. These applications Ph.D., Scientific Review Administrator, Room 3AS–43H, Bethesda, Maryland and the discussions could reveal Natcher Building, Room 6as–25F, National confidential trade secrets or commercial Institutes of Health, Bethesda, Maryland 20892, telephone: 301–496–7301, FAX 20892–6600, Phone: (301) 594–7799. 301–402–0224, will provide a summary property such as patentable material Purpose/Agenda: To review and evaluate of the meeting, and a roster of Council and personal information concerning grant applications. members. Individuals who plan to individuals associated with the The meetings will be closed in accordance attend and need special assistance, such applications, the disclosure of which with the provisions set forth in secs. as sign language interpretation or other would constitute a clearly unwarranted 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. reasonable accommodations, should invasion of personal privacy. Applications and/or proposals and the contact Mrs. Dieffenbach in advance of Ms. June McCann, Committee discussions could reveal confidential trade the meeting. Dr. W. Sue Shafer, Management Officer for the National secrets or commercial property such as Institute on Aging, National Institutes of patentable material and personal information Executive Secretary, NAGMS Council, National Institutes of Health, Natcher Health, Gateway Building, 7201 concerning individuals associated with the Wisconsin Avenue, Suite 2C218, applications and/or proposals, the disclosure Building, Room 2AN–32C, Bethesda, of which would constitute a clearly Maryland 20892, telephone: 301–594– Bethesda, Maryland 20892 (301/496– unwarranted invasion of personal privacy. 4499 will provide substantive program 9322), will provide a summary of the (Catalog of Federal Domestic Assistance information upon request. meeting and a roster of committee Program No. 93.847–849, Diabetes, Endocrine members upon request. (Catalog of Federal Domestic Assistance Individuals who plan to attend and and Metabolic Diseases; Digestive Diseases Program Nos. 93.821, Biophysics and and Nutrition; and Kidney Diseases, Urology need special assistance, such as sign Physiological Sciences; 93.859, language interpretation or other and Hematology Research, National Institutes Pharmacological Sciences; 93.862, Genetics of Health) Research; 93.863, Cellular and Molecular reasonable accommodations, should Dated: March 31, 1997. Basis of Disease Research; 93.880, Minority contact Ms. McCann at (301) 496–9322, LaVerne Y. Stringfield, Access Research Careers [MARC]; and in advance of the meeting. Committee Management Officer, NIH. 93.375, Minority Biomedical Research (Catalog of Federal Domestic Assistance Support [MBRS]; Special Programs, 93.960) [FR Doc. 97–8585 Filed 4–3–97; 8:45 am] Program No. 93.866, Aging Research, Dated: March 31, 1997. National Institutes of Health) BILLING CODE 4140±01±M LaVerne Y. Stringfield, Dated: March 31, 1997. Committee Management Officer, NIH. LaVerne Y. Stringfield, National Institute of General Medical [FR Doc. 97–8589 Filed 4–3–97; 8:45 am] Committee Management Officer, NIH. Sciences; Notice of Meeting of the BILLING CODE 4140±01±M [FR Doc. 97–8590 Filed 4–3–97; 8:45 am] National Advisory General Medical BILLING CODE 4140±01±M Sciences Council National Institutes of Health (NIH) Pursuant to Pub. L. 92–463, notice is National Library of Medicine, Notice of hereby given of the meeting of the National Institute on Aging; Notice of Meeting of the Board of Scientific National Advisory General Medical Meeting of the National Advisory Counselors Sciences Council, National Institute of Council on Aging General Medical Sciences, National Pursuant to Pub. L. 92–463, notice is Institutes of Health, on May 15–16, Pursuant to Pub. L. 92–463, notice is hereby given of the meeting of the Board 1997, Natcher Building 45, Conference hereby given of the meeting of the of Scientific Counselors, National Rooms E1 and E2, Bethesda, Maryland. National Advisory Council on Aging, Library of Medicine, on May 15 and This meeting will be open to the National Institute on Aging, Thursday, May 16, 1997, in the Board Room of the public from 11 a.m. to 6 p.m. on May May 22, and Friday, May 23, 1997, to be National Library of Medicine, Building 15, for the discussion of program held at the National Institutes of Health, 38, 8600 Rockville Pike, Bethesda, policies and issues, opening remarks, Building 31, Conference Room 6, Maryland. report of the Director, NIGMS, and other Bethesda, Maryland. This meeting will The meeting will be open to the business of Council. Attendance by the be open to the public on Thursday, May public from 9:00 a.m. to 1:00 p.m. and public will be limited to space available. 22, from 10:30 a.m. to 3:00 p.m. for a from 2:00 p.m. to 5:00 p.m. on May 15 In accordance with provisions set status report by the Director, comments and from 9:00 a.m. to approximately 12 forth in secs. 552b(c)(4) and 552b(c)(6), from Public Interest Groups, and a noon on May 16 for the review of Title 5, U.S.C. and sec. 10(d) of Pub. L. report from the Office of Research and research and development programs and 92–463, the meeting will be closed to Women’s Health. preparation of reports of the Lister Hill the public on May 15, from 8:30 a.m. to The meeting will be open again on National Center for Biomedical 11:00 a.m., and also closed on May 16, Friday, May 23, from 8:30 a.m. until Communications. Attendance by the for the review, discussion, and adjournment for a report on the NNA public will be limited to space available. evaluation of individual grant Program Review, a report on the Council Individuals who plan to attend and applications. Applications and the Task Force on Minority Aging and a need special assistance, such as sign Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16173 language interpretation or other Time: 1:00 p.m. Purpose/Agenda: To review Small reasonable accommodations, should Place: NIH, Rockledge 2, Room 4214, Business Innovation Research. contact Ms. Jackie Duley at (301) 496– Telephone Conference. Name of SEP: Microbiological and 4441 in advance of the meeting. Contact Person: Dr. Dan McDonald, Immunological Sciences. In accordance with provisions set Scientific Review Administrator, 6701 Date: April 18, 1997. Time: 1:00 p.m. forth in sec. 552b(c)(6), Title 5, U.S.C., Rockledge Drive, Room 4214, Bethesda, Maryland 20892, (301) 435–1215. Place: NIH, Rockledge 2, Room 4200, and sec. 10(d) of Pub. L. 92–463, the Telephone Conference. meeting will be closed to the public on Name of SEP: Clinical Sciences. Date: April 18, 1997. Contact Person: Dr. Gilbert Meier, May 15, from approximately 1:00 p.m. Time: 1:00 p.m. Scientific Review Administrator, 6701 to 2:00 p.m. for the consideration of Place: NIH, Rockledge 2, Room 4138, Rockledge Drive, Room 4200, Bethesda, personnel qualifications and Telephone Conference. Maryland 20892, (301) 435–1219. performance of individual investigators Contact Person: Dr. Anthony Chung, The meetings will be closed in accordance and similar items, the disclosure of Scientific Review Administrator, 6701 with the provisions set forth in secs. which would constitute a clearly Rockledge Drive, Room 4138, Bethesda, 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. unwarranted invasion of personal Maryland 20892, (301) 435–1213. Applications and/or proposals the privacy. Name of SEP: Clinical Sciences. discussions could reveal confidential trade The Executive Secretary, Dr. Harold Date: April 23, 1997. secrets or commercial property such as Time: 1:00 p.m. patentable material and personal information M. Schoolman, Acting Director, Lister concerning individuals associated with the Hill National Center for Biomedical Place: NIH, Rockledge 2, Room 4104, Telephone Conference. applications and/or proposals, the disclosure Communications, National Library of of which would constitute a clearly Medicine, 8600 Rockville Pike, Contact Person: Dr. Priscilla Chen, Scientific Review Administrator, 6701 unwarranted invasion of personal privacy. Bethesda, Maryland 20894, telephone Rockledge Drive, Room 4104, Bethesda, (Catalog of Federal Domestic Assistance (301) 496–4441, will furnish summaries Maryland 20892, (301) 435–1787. Program Nos. 93.306, 93.333, 93.337, 93.393– of the meeting, rosters of committee Name of SEP: Microbiological and 93.396, 93.837–93.844, 93.846–93.878, members, and substantive program Immunological Sciences. 93.892, 93.893, National Institutes of Health, information. Date: April 24, 1997. HHS) Dated: March 31, 1997. Dated: March 31, 1997. Time: 1:00 p.m. LaVerne Y. Stringfield, Place: NIH, Rockledge 2, Room 4180, LaVerne Y. Stringfield, Telephone Conference. Committee Management Officer, NIH. Committee Management Officer, NIH. Contact Person: Dr. Tim Henry, Scientific [FR Doc. 97–8587 Filed 4–3–97; 8:45 am] [FR Doc. 97–8588 Filed 4–3–97; 8:45 am] Review Administrator, 6701 Rockledge Drive, BILLING CODE 4140±01±M BILLING CODE 4140±01±M Room 4180, Bethesda, Maryland 20892, (301) 435–1147. Name of SEP: Biological and Physiological Division of Research Grants; Notice of Sciences. Substance Abuse and Mental Health Closed Meetings Date: April 28, 1997. Services Administration Time: 1:00 p.m. Pursuant to Section 10(d) of the Place: NIH, Rockledge 2, Room 6178, Current List of Laboratories Which Federal Advisory Committee Act, as Telephone Conference. Meet Minimum Standards To Engage in amended (5 U.S.C. Appendix 2), notice Contact Person: Dr. Nancy Pearson, Urine Drug Testing for Federal is hereby given of the following Division Scientific Review Administrator, 6701 Agencies, and Laboratories That Have of Research Grants Special Emphasis Rockledge Drive, Room 6178, Bethesda, Withdrawn From the Program Panel (SEP) meetings: Maryland 20892, (301) 435–1047. Name of SEP: Biological and Physiological AGENCY: Substance Abuse and Mental Purpose/Agenda: To review individual Sciences. Health Services Administration, HHS grant applications. Date: April 30, 1997. (Formerly: National Institute on Drug Name of SEP: Biological and Physiological Time: 2:00 p.m. Sciences. Abuse, ADAMHA, HHS). Date: April 4, 1997. Place: NIH, Rockledge 2, Room 6178, ACTION: Notice. Time: 1:00 p.m. Telephone Conference. Place: NIH, Rockledge 2, Room 4150, Contact Person: Dr. Nancy Pearson, SUMMARY: The Department of Health and Telephone Conference. Scientific Review Administrator, 6701 Human Services notifies Federal Contact Person: Dr. Marcia Litwack, Rockledge Drive, Room 6178, Bethesda, agencies of the laboratories currently Maryland 20892, (301) 435–1047. Scientific Review Administrator, 6701 certified to meet standards of Subpart C Rockledge Drive, Room 4150, Bethesda, Name of SEP: Clinical Sciences. of Mandatory Guidelines for Federal Maryland 20892, (301) 435–1719. Date: April 30, 1997. Time: 1:00 p.m. Workplace Drug Testing Programs (59 Name of SEP: Biological and Physiological FR 29916, 29925). A similar notice Sciences. Place: NIH, Rockledge 2, Room 4106, Date: April 10, 1997. Telephone Conference. listing all currently certified laboratories Time: 1:00 p.m. Contact Person: Ms. Josephine Pelham, will be published during the first week Place: NIH, Rockledge 2, Room 4148, Scientific Review Administrator, 6701 of each month, and updated to include Telephone Conference. Rockledge Drive, Room 4106, Bethesda, laboratories which subsequently apply Contact Person: Dr. Philip Perkins, Maryland 20892, (301) 435–1786. for and complete the certification Scientific Review Administrator, 6701 Name of SEP: Biological and Physiological process. If any listed laboratory’s Rockledge Drive, Room 4148, Bethesda, Sciences. certification is totally suspended or Maryland 20892, (301) 435–1718. Date: May 5, 1997. revoked, the laboratory will be omitted This notice is being published less than 15 Time: 1:00 p.m. from updated lists until such time as it Place: NIH, Rockledge 2, Room 4150, days prior to the above meetings due to the is restored to full certification under the urgent need to meet timing limitations Telephone Conference. imposed by the grant review and funding Contact Person: Dr. Marcia Litwack, Guidelines. cycle. Scientific Review Administrator, 6701 If any laboratory has withdrawn from Name of SEP: Clinical Sciences. Rockledge Drive, Room 4150, Bethesda, the National Laboratory Certification Date: April 16, 1997. Maryland 20892, (301) 435–1719. Program during the past month, it will 16174 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices be identified as such at the end of the Bayshore Clinical Laboratory, 4555 W. 334–3400 (formerly: Sierra Nevada current list of certified laboratories, and Schroeder Dr., Brown Deer, WI 53223, Laboratories, Inc.) will be omitted from the monthly listing 414–355–4444/800–877–7016 Laboratory Corporation of America thereafter. Cedars Medical Center, Department of Holdings, 69 First Ave., Raritan, NJ This Notice is now available on the Pathology, 1400 Northwest 12th Ave., 08869, 800–437–4986 (Formerly: internet at the following website: http:/ Miami, FL 33136, 305–325–5784 Roche Biomedical Laboratories, Inc.) /www.health.org Centinela Hospital Airport Toxicology Laboratory Specialists, Inc., 113 Jarrell Laboratory, 9601 S. Sepulveda Blvd., FOR FURTHER INFORMATION CONTACT: Mrs. Dr., Belle Chasse, LA 70037, 504– Giselle Hersh or Dr. Walter Vogl, Los Angeles, CA 90045, 310–215– 392–7961 Division of Workplace Programs, Room 6020 Marshfield Laboratories, Forensic Clinical Reference Lab, 8433 Quivira 13A–54, 5600 Fishers Lane, Rockville, Toxicology Laboratory, 1000 North Rd., Lenexa, KS 66215–2802, 800– Maryland 20857; Tel.: (301) 443–6014. Oak Ave., Marshfield, WI 54449, 715– 445–6917 389–3734/800–331–3734 SUPPLEMENTARY INFORMATION: CompuChem Laboratories, Inc., 1904 MedExpress/National Laboratory Mandatory Guidelines for Federal Alexander Drive, Research Triangle Center, 4022 Willow Lake Blvd., Workplace Drug Testing were developed Park, NC 27709, 919–549–8263/800– Memphis, TN 38118, 901–795–1515/ in accordance with Executive Order 833–3984 (Formerly: CompuChem 800–526–6339 12564 and section 503 of Pub. L. 100– Laboratories, Inc., A Subsidiary of Medical College Hospitals Toxicology 71. Subpart C of the Guidelines, Roche Biomedical Laboratory, Roche Laboratory, Department of Pathology, ‘‘Certification of Laboratories Engaged CompuChem Laboratories, Inc., A 3000 Arlington Ave., Toledo, OH in Urine Drug Testing for Federal Member of the Roche Group) 43614, 419–381–5213 Agencies,’’ sets strict standards which Cox Health Systems, Department of Medlab Clinical Testing, Inc., 212 laboratories must meet in order to Toxicology, 1423 North Jefferson Cherry Lane, New Castle, DE 19720, conduct urine drug testing for Federal Ave., Springfield, MO 65802, 800– 302–655–5227 agencies. To become certified an 876–3652/417–269–3093 (formerly: MedTox Laboratories, Inc., 402 W. applicant laboratory must undergo three Cox Medical Centers) County Rd. D, St. Paul, MN 55112, rounds of performance testing plus an Dept. of the Navy, Navy Drug Screening 800–832–3244/612–636–7466 on-site inspection. To maintain that Laboratory, Great Lakes, IL, P.O. Box Methodist Hospital of Indiana, Inc., certification a laboratory must 88–6819, Great Lakes, IL 60088–6819, Department of Pathology and participate in a quarterly performance 847–688–2045/847–688–4171 Laboratory Medicine, 1701 N. Senate testing program plus periodic, on-site Diagnostic Services Inc., dba DSI, 4048 Blvd., Indianapolis, IN 46202, 317– inspections. Evans Ave., Suite 301, Fort Myers, FL 929–3587 33901, 941–418–1700/800–735–5416 Methodist Medical Center Toxicology Laboratories which claim to be in the Doctors Laboratory, Inc., P.O. Box 2658, Laboratory, 221 N.E. Glen Oak Ave., applicant stage of certification are not to 2906 Julia Dr., Valdosta, GA 31604, Peoria, IL 61636, 800–752–1835/309– be considered as meeting the minimum 912–244–4468 requirements expressed in the HHS DrugProof, Division of Dynacare/ 671–5199 Guidelines. A laboratory must have its Laboratory of Pathology, LLC, 1229 MetroLab-Legacy Laboratory Services, letter of certification from SAMHSA, Madison St., Suite 500, Nordstrom 235 N. Graham St., Portland, OR HHS (formerly: HHS/NIDA) which Medical Tower, Seattle, WA 98104, 97227, 503–413–4512, 800–237–7808 attests that it has met minimum 800–898–0180/206–386–2672 (x4512) standards. (formerly: Laboratory of Pathology of Minneapolis Veterans Affairs Medical Center, Forensic Toxicology In accordance with Subpart C of the Seattle, Inc., DrugProof, Division of Laboratory, 1 Veterans Drive, Guidelines, the following laboratories Laboratory of Pathology of Seattle, Minneapolis, Minnesota 55417, 612– meet the minimum standards set forth Inc.) 725–2088 in the Guidelines: DrugScan, Inc., P.O. Box 2969, 1119 National Toxicology Laboratories, Inc., Aegis Analytical Laboratories, Inc., 624 Mearns Rd., Warminster, PA 18974, 215–674–9310 1100 California Ave., Bakersfield, CA Grassmere Park Rd., Suite 21, 93304, 805–322–4250 Nashville, TN 37211, 615–331–5300 ElSohly Laboratories, Inc., 5 Industrial Park Dr., Oxford, MS 38655, 601–236– Northwest Toxicology, Inc., 1141 E. Alabama Reference Laboratories, Inc., 2609 3900 South, Salt Lake City, UT 84124, 543 South Hull St., Montgomery, AL General Medical Laboratories, 36 South 800–322–3361 36103, 800–541–4931/334–263–5745 Brooks St., Madison, WI 53715, 608– Oregon Medical Laboratories, P.O. Box American Medical Laboratories, Inc., 267–6267 972, 722 East 11th Ave., Eugene, OR 14225 Newbrook Dr., Chantilly, VA Harrison Laboratories, Inc., 9930 W. 97440–0972, 541–687–2134 22021, 703–802–6900 Highway 80, Midland, TX 79706, Pathology Associates Medical Associated Pathologists Laboratories, 800–725–3784/915–563–3300 Laboratories, East 11604 Indiana, Inc., 4230 South Burnham Ave., Suite (formerly: Harrison & Associates Spokane, WA 99206, 509–926–2400/ 250, Las Vegas, NV 89119–5412, 702– Forensic Laboratories) 800–541–7891 733–7866/800–433–2750 Jewish Hospital of Cincinnati, Inc., 3200 PharmChem Laboratories, Inc., 1505–A Associated Regional and University Burnet Ave., Cincinnati, OH 45229, O’Brien Dr., Menlo Park, CA 94025, Pathologists, Inc. (ARUP), 500 Chipeta 513–569–2051 415–328–6200/800–446–5177 Way, Salt Lake City, UT 84108, 801– LabOne, Inc., 8915 Lenexa Dr., Overland PharmChem Laboratories, Inc., Texas 583–2787/800–242–2787 Park, Kansas 66214, 913–888–3927/ Division, 7606 Pebble Dr., Fort Worth, Baptist Medical Center—Toxicology 800–728–4064 (formerly: Center for TX 76118, 817–595–0294 (formerly: Laboratory, 9601 I–630, Exit 7, Little Laboratory Services, a Division of Harris Medical Laboratory) Rock, AR 72205–7299, 501–202–2783 LabOne, Inc.) Physicians Reference Laboratory, 7800 (formerly: Forensic Toxicology Laboratory Corporation of America, 888 West 110th St., Overland Park, KS Laboratory Baptist Medical Center) Willow St., Reno, NV 89502, 702– 66210, 913–338–4070/800–821–3627 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16175

Poisonlab, Inc., 7272 Clairemont Mesa S.E.D. Medical Laboratories, 500 Walter The following laboratory withdrew Blvd., San Diego, CA 92111, 619–279– NE, Suite 500, Albuquerque, NM from the National Laboratory 2600/800–882–7272 87102, 505–727–8800/800–999–LABS Certification Program on March 3, 1997: Premier Analytical Laboratories, 15201 SmithKline Beecham Clinical Puckett Laboratory, 4200 Mamie St., I–10 East, Suite 125, Channelview, TX Laboratories, 7600 Tyrone Ave., Van Hattiesburgh, MS 39402. 77530, 713–457–3784/800–888–4063 Nuys, CA 91405, 818–989–2520/800– The Standards Council of Canada (formerly: Drug Labs of Texas) 877–2520 (SCC) Laboratory Accreditation Program Presbyterian Laboratory Services, 1851 SmithKline Beecham Clinical for Substances Abuse (LAPSA) has been East Third Street, Charlotte, NC Laboratories, 801 East Dixie Ave., given deemed status by the Department 28204, 800–473–6640 Leesburg, FL 34748, 352–787–9006, of Transportation. The SCC has Quest Diagnostics Incorporated, 4770 (formerly: Doctors & Physicians accredited the following Canadian Regent Blvd., Irving, TX 75063, 800– Laboratory) laboratory for the conduct of forensic 526–0947/972–916–3376 (formerly: SmithKline Beecham Clinical urine drug testing required by Damon Clinical Laboratories, Damon/ Laboratories, 3175 Presidential Dr., Department of Transportation MetPath, CORNING Clinical Atlanta, GA 30340, 770–452–1590 regulations: NOVAMANN (Ontario) Laboratories) (formerly: SmithKline Bio-Science Inc., 5540 McAdam Rd., Mississauga, Quest Diagnostics Incorporated, 875 Laboratories) ON, Canada L4Z 1P1, 905–890–2555. Greentree Rd., 4 Parkway Ctr., SmithKline Beecham Clinical Richard Kopanda, Pittsburgh, PA 15220–3610, 800–574– Laboratories, 506 E. State Pkwy., Executive Officer, Substance Abuse and 2474/412–920–7733 (formerly: Med- Schaumburg, IL 60173, 847–447– Mental Health Services Administration. Chek Laboratories, Inc., Med-Chek/ 4379/800–447–4379 (formerly: [FR Doc. 97–8311 Filed 4–3–97; 8:45 am] Damon, MetPath Laboratories, International Toxicology Laboratories) CORNING Clinical Laboratories) SmithKline Beecham Clinical BILLING CODE 4160±20±P Quest Diagnostics Incorporated, 4444 Laboratories, 400 Egypt Rd., Giddings Road, Auburn Hills, MI Norristown, PA 19403, 800–523– 48326, 810–373–9120 (formerly: 0289/610–631–4600 (formerly: DEPARTMENT OF HOUSING AND HealthCare/Preferred Laboratories, SmithKline Bio-Science Laboratories) URBAN DEVELOPMENT HealthCare/MetPath, CORNING SmithKline Beecham Clinical Clinical Laboratories) Laboratories, 8000 Sovereign Row, [Docket No. FR±4200±N±49] Quest Diagnostics Incorporated, 1355 Dallas, TX 75247, 214–638–1301 Notice of Proposed Information Mittel Blvd., Wood Dale, IL 60191, (formerly: SmithKline Bio-Science Collection for Public Comment 630–595–3888 (formerly: MetPath, Laboratories) Inc., CORNING MetPath Clinical South Bend Medical Foundation, Inc., AGENCY: Office of the Assistant Laboratories, CORNING Clinical 530 N. Lafayette Blvd., South Bend, Secretary for Community Planning and Laboratories Inc.) IN 46601, 219–234–4176 Development, HUD. Quest Diagnostics Incorporated, 2320 Southwest Laboratories, 2727 W. ACTION: Notice. Schuetz Rd., St. Louis, MO 63146, Baseline Rd., Suite 6, Tempe, AZ 800–288–7293/314–991–1311 85283, 602–438–8507 SUMMARY: The proposed information (formerly: Metropolitan Reference St. Anthony Hospital (Toxicology collection requirement described below Laboratories, Inc., CORNING Clinical Laboratory), P.O. Box 205, 1000 N. will be submitted to the Office of Laboratories, South Central Division) Lee St., Oklahoma City, OK 73102, Management and Budget (OMB) for Quest Diagnostics Incorporated, One 405–272–7052 review, as required by the Paperwork Malcolm Ave., Teterboro, NJ 07608, Toxicology & Drug Monitoring Reduction Act. The Department is 201–393–5590 (formerly: MetPath, Laboratory, University of Missouri soliciting public comments on the Inc., CORNING MetPath Clinical Hospital & Clinics, 2703 Clark Lane, subject proposal. Laboratories, CORNING Clinical Suite B, Lower Level, Columbia, MO DATES: Comments due: June 3, 1997. Laboratory) 65202, 573–882–1273 Quest Diagnostics Incorporated, Toxicology Testing Service, Inc., 5426 ADDRESSES: Interested persons are National Center for Forensic Science, N.W. 79th Ave., Miami, FL 33166, invited to submit comments regarding 1901 Sulphur Spring Rd., Baltimore, 305–593–2260 this proposal. Comments should refer to MD 21227, 410–536–1485 (formerly: TOXWORX Laboratories, Inc., 6160 the proposal by name and/or OMB Maryland Medical Laboratory, Inc., Variel Ave., Woodland Hills, CA Control Number and should be sent to: National Center for Forensic Science, 91367, 818–226–4373 / 800–966– Reports Liaison Officer, Shelia E. Jones, CORNING National Center for 2211, (formerly: Laboratory Department of Housing and Urban Forensic Science) Specialists, Inc.; Abused Drug Development, 451—7th Street, SW, Quest Diagnostics Incorporated, 7470 Laboratories; MedTox Bio-Analytical, Room 7230, Washington, DC 20410. Mission Valley Rd., San Diego, CA a Division of MedTox Laboratories, FOR FURTHER INFORMATION CONTACT: 92108–4406, 800–446–4728/619–686– Inc.) Tony Johnston, Deputy Director, 3200 (formerly: Nichols Institute, UNILAB, 18408 Oxnard St., Tarzana, Financial Management Division, Office Nichols Institute Substance Abuse CA 91356, 800–492–0800 / 818–996– of Block Grant Assistance, Room 7180, Testing (NISAT), CORNING Nichols 7300 (formerly: MetWest-BPL Department of Housing and Urban Institute, CORNING Clinical Toxicology Laboratory) Development, 451 Seventh Street, SW, Laboratories) UTMB Pathology-Toxicology Washington, DC 20410, telephone (202) Scientific Testing Laboratories, Inc., 463 Laboratory, University of Texas 708–1871. Hearing- or speech-impaired Southlake Blvd., Richmond, VA Medical Branch, Clinical Chemistry individuals may access this number via 23236, 804–378–9130 Division, 301 University Boulevard, TTY by calling the Federal Information Scott & White Drug Testing Laboratory, Room 5.158, Old John Sealy, Relay Service at 1–800–877–8399. Fax 600 S. 25th St., Temple, TX 76504, Galveston, Texas 77555–0551, 409– inquiries may be sent to Mr. Johnston at 800–749–3788 772–3197. (202) 708–1798. (Other than the ‘‘800’’ 16176 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices number, these telephone numbers are the Federal Deposit Insurance submitted to OMB may be obtained not toll-free.) Corporation, the Office of Thrift from Ms. Weaver. SUPPLEMENTARY INFORMATION: The Supervision, the Credit Union SUPPLEMENTARY INFORMATION: The Department will submit the proposed Administration, or the U.S. Comptroller Department has submitted the proposal information collection to OMB for of the Currency, Certain not-for-profit for the collection of information, as review, as required by the Paperwork organizations affected by acts of arson or described below, to OMB for review, as Reduction Act of 1995 (44 U.S.C. terrorism. required by the Paperwork Reduction Chapter 35, as amended). Estimation of the total numbers of Act (44 U.S.C. Chapter 35). This Notice is soliciting comments hours needed to prepare the information The Notice lists the following from members of the public and affected collection including number of information: (1) The title of the agencies concerning the proposed respondents, frequency of response, and information collection proposal; (2) the collection of information to: (1) Evaluate hours of response: A total of 300 office of the agency to collect the whether the proposed collection of respondents are expected and the total information; (3) the OMB approval information is necessary for the proper estimated burden hours is 12,240. number, if applicable; (4) the performance of the functions of the Status of the proposed information description of the need for the agency, including whether the collection: The Department does not information and its proposed use; (5) information will have practical utility; have a critical mass of respondents to the agency form number, if applicable; (2) Evaluate the accuracy of the agency’s serve as a source of information from (6) what members of the public will be estimate of the burden of the proposed which conclusions can be drawn with affected by the proposal; (7) how collection of information; (3) Enhance respect to the accuracy of its current frequently information submissions will the quality, utility, and clarity of the estimates. be required; (8) an estimate of the total information to be collected; and (4) Authority: Section 3506 of the Paperwork number of hours needed to prepare the Minimize the burden of the collection of Reduction Act of 1995, 44 U.S.C. Chapter 35, information submission including information on those who are to as amended. number of respondents, frequency of respond; including through the use of Dated: April 1, 1997. response, and hours of response; (9) appropriate automated collection Jacquie Lawing, whether the proposal is new, an techniques or other forms of information General Deputy Assistant Secretary. extension, reinstatement, or revision of an information collection requirement; technology, e.g., permitting electronic [FR Doc. 97–8632 Filed 4–3–97; 8:45 am] and (10) the names and telephone submission of responses. BILLING CODE 4210±29±M This Notice also lists the following numbers of an agency official familiar information: with the proposal and of the OMB Desk Title of Proposal: Loan Guarantee [Docket No. FR±4175±N±02] Officer for the Department. Recovery Fund. Authority: Section 3507 of the Paperwork OMB Control Number, if applicable: Submission for OMB Review: Reduction Act of 1995, 44 U.S.C. 35, as 2506–0159. Comment Request amended. Description of the need for the Dated: March 31, 1997. AGENCY: Office of Administration, HUD. information and proposed use: To David S. Cristy, ACTION: Notice. appropriately determine whether Acting Director, Information Resources entities that submit applications for SUMMARY: The proposed information Management Policy and Management assistance under the Loan Guarantee collection requirement described below Division. Recovery Fund (Section 4 of the Church has been submitted to the Office of Notice of Submission of Proposed Arson Prevention Act of 1996) are Management and Budget (OMB) for Information Collection to OMB eligible applicants and submit review, as required by the Paperwork applications otherwise in compliance Reduction Act. The Department is Title of Proposal: HOPE VI Program with the regulations, certain information soliciting public comments on the Application Requirements (FR–4175). is required. Among other necessary subject proposal. Office: Public and Indian Housing. criteria, HUD must determine whether: OMB Approval Number: 2577–0208. (1) The financial institution is eligible as DATES: Comments due date: May 5, Description of the Need for the defined at 24 CFR Section 573.2 of the 1997. Information and its Proposed Use: The regulations; (2) the borrower is eligible ADDRESSES: Interested persons are purpose of the HOPE VI Program is to as defined under 24 CFR Section 573.2; invited to submit comments regarding enable the demolition of obsolete public (3) the loan will assist in addressing this proposal. Comments must be housing developments or portions damage or destruction caused by acts of received within thirty (30) days from the thereof, the revitalization (where arson or terrorism; (4) the activities date of this Notice. Comments should appropriate) of sites (including which will be assisted by the guaranteed refer to the proposal by name and/or remaining public housing units) on loans are eligible activities under OMB approval number and should be which such developments are located, § 573.3; (5) the financial institution sent to: Joseph F. Lackey, Jr., OMB Desk replacement of housing for low-income utilizes sufficient underwriting Officer, Office of Management and families, and tenant-based assistance for standards; and (6) the assisted activities Budget, Room 10235, New Executive the purpose of providing the will comply with all applicable Office Building, Washington, DC 20503. replacement housing, and assisting environmental laws and requirements. FOR FURTHER INFORMATION CONTACT: tenants displaced by the demolition. Agency form numbers, if applicable: Kay F. Weaver, Reports Management The information collection application N/A. Officer, Department of Housing and requirements submitted will be Members of affected public: Financial Urban Development, 451 7th Street, evaluated on the extent to which the institutions such as banks, trust Southwest, Washington, DC 20410, proposal will lessen concentration of companies, savings and loan telephone (202) 708–0050. This is not a low-income residents, the quality of associations, credit unions, mortgage toll-free number. Copies of the proposed proposed self-sufficiency programs and companies, or other issuers regulated by forms and other available documents management policies, the extent of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16177 participation by the community and Form Number: HUD–52825–A, HUD– Frequency of Submission: On development partners, and the overall 2880, SF–424, and SF–LLL. Occasion. Respondents: State, Local, or Tribal program quality. Reporting Burden: Government.

Number of re- Frequency of Hours per Burden spondents x response x response = hours

Application ...... 200 1 40 8,000 Resident Consultation ...... 200 1 4 800

Total Estimated Burden Hours: 8,800. DEPARTMENT OF THE INTERIOR or via e-mail: Status: Reinstatement, with changes. [email protected]. Contact: Adrianne Todman-Wesby, Bureau of Land Management Individuals who use a (202) 401–8812 x4178; Joseph F. Lackey, [WO±300±1990±00] telecommunications device for the deaf Jr., OMB, (202) 395–7316. may call the Federal Information Relay Dated: March 31, 1997. Intent to Prepare an Environmental Service at 1–800–877–8339 between Impact Statement for the Revision of 8:00 a.m. and 8:00 p.m. Eastern time, [FR Doc. 97–8633 Filed 4–3–97; 8:45 am] the Surface Management Monday through Friday, excluding BILLING CODE 4210±01±M RegulationsÐ43 CFR 3809 for Federal holidays. Operations Under the Mining Law of SUPPLEMENTARY INFORMATION: [Docket No. FR±4124±N±32] 1872, as Amended I. Public Comment Procedures Federal Property Suitable as Facilities AGENCY: Bureau of Land Management, to Assist the Homeless Interior. II. Background and Description of ACTION: Notice of intent and scoping. Information Solicited AGENCY: Office of the Assistant Secretary for Community Planning and SUMMARY: The Bureau of Land I. Public Comment Procedures Development, HUD. Management (BLM) will prepare an Environmental Impact Statement (EIS) Your written comments should be ACTION: Notice. for the proposed revision of its specific; be confined to issues outlined in this notice; explain the reason for any SUMMARY: This Notice identifies regulations governing mining operations recommended change; and where unutilized, underutilized, excess, and under the general mining laws. BLM possible, reference the specific section surplus Federal property reviewed by invites comments and suggestions on or paragraph of the current regulations HUD for suitability for possible use to the scope of the rulemaking and assist the homeless. analysis. Specifically, BLM encourages which you are addressing. BLM appreciates any and all comments, but EFFECTIVE DATE: April 4, 1997. the public to submit possible alternate language for the current definition of those most useful and likely to FOR FURTHER INFORMATION CONTACT: ‘‘unnecessary or undue degradation’’ influence decisions on the content of Mark Johnston, Department of Housing and for current operational and the EIS are those that either are and Urban Development, Room 7256, reclamation requirements. We also ask supported by quantitative information 451 Seventh Street SW., Washington, that those who want to receive or studies or include citations to and DC 20410; telephone (202) 708–1226; additional information send in a request analyses of the applicable laws and TDD number for the hearing- and to be placed on BLM’s mailing list. regulations. BLM is particularly speech-impaired (202) 708–2565, (these interested in receiving specific alternate telephone numbers are not toll-free), or DATES: In order to be considered for preparation of the draft EIS, scoping language for existing regulations. Except call the toll-free Title V information line for comments provided in electronic at 1–800–927–7588. comments are most useful if received on or before June 3, 1997. See the format, commenters should submit two SUPPLEMENTARY INFORMATION: In SUPPLEMENTARY INFORMATION section for copies of their written comments, where accordance with the December 12, 1988 the dates of scoping meetings. practicable. Comments received after court order in National Coalition for the ADDRESSES: the time indicated under the DATES Homeless versus Veterans Mail or hand-deliver written comments and requests to be section or at locations other than that Administration, No. 88–2503–OG listed in the ADDRESSES section will not (D.D.C.), HUD publishes a Notice, on a put on the mailing list to Paul McNutt, 3809/EIS Team Leader, Bureau of Land necessarily be considered or included in weekly basis, identifying unutilized, the administrative record. underutilized, excess and surplus Management, Nevada State Office, 850 Federal buildings and real property that Harvard Way, Reno, NV 89502–2055. Electronic Access and Filing Address HUD has reviewed for suitability for use See the SUPPLEMENTARY INFORMATION to assist the homeless. Today’s Notice is section for the electronic access and Commenters may transmit comments for the purpose of announcing that no filing address and for the locations of electronically via the Internet to: additional properties have been scoping meetings. Comments will be [email protected]. Please submit determined suitable or unsuitable this available for public review at the comments as an ASCII file and avoid the week. Harvard Way address from 7:45 a.m. to use of special characters or encryption. 4:15 p.m. Pacific time, Monday through Please include your name and address Dated: March 27, 1997. Friday, excluding Federal holidays. in your message. If you do not receive Jacquie M. Lawing, FOR FURTHER INFORMATION CONTACT: Paul a confirmation from the system that we General Deputy Assistant Secretary. McNutt, (702) 785–6604 or via e-mail: have received your Internet message, [FR Doc. 97–8211 Filed 4–3–97; 8:45 am] [email protected]. An alternate contact Mr. McNutt directly at (702) BILLING CODE 4210±29± contact is Scott Haight, (406) 538–7461 785–6604. 16178 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Meetings Management regulations was on hold, duplication and promote cooperation BLM will conduct scoping meetings BLM did move forward to complete and among regulators. on the following dates at the specified implement specific Surface Issues tentatively identified for locations: Management regulatory revisions, analysis in the EIS include impacts to: May 13—Cavanaugh’s Inn at the Park, including the following final rules: Use Air and water resources; and Occupancy of Mining Claims (July Soils, vegetation, and topography; 303 N. River Drive, Spokane, WA Threatened and endangered species; May 13—Colorado Room, Holiday Inn, 16, 1996, 61 FR 37116), and Bonding (February 28, 1997, 62 FR 9093). Cultural resources; 14707 W. Colfax Ave., Golden, CO Fish and wildlife; May 15—Pioneer Room, Carleson In the Secretary’s direction to the BLM, he identified several areas of Exploration and mining activities; and Center, 2010 Second Ave., Fairbanks, Local and regional economies. AK concern with the existing regulations. May 15—Park Suite, Best Western These include: Dated: March 31, 1997. Executive Park Hotel, 1100 North Definition of ‘‘unnecessary or undue Bob Armstrong, Central, Phoenix, AZ degradation.’’ BLM contemplates Assistant Secretary for Land and Minerals May 20—Silver Legacy, 407 N. Virginia revising the definition to more clearly Management. Street, Reno, NV require the use of ‘‘best available [FR Doc. 97–8601 Filed 4–3–97; 8:45 am] May 22—Pan American Room, Capitol technology and practices,’’ local or State BILLING CODE 4310±84±P Hilton, 16th and K Streets, NW, ‘‘best management practices,’’ or other Washington, DC similar technology-based standards [AZ-950±57±77; AZA 28900] May 28—Colonial Inn, 2301 Colonial appropriate in the conduct of hardrock Way, Helena, MT mining. Public Land Order No. 7251; BLM will conduct separate afternoon Mining and reclamation performance Withdrawal of National Forest System and evening meetings at each location, standards. BLM currently does not have Lands for State Highway 87 Roadside except for the Washington, DC location detailed performance addressing such Zone; Arizona where we will hold only an afternoon areas as revegetation, contouring, and meeting beginning at 1:00 p.m. BLM hydrology in the Surface Management AGENCY: Bureau of Land Management, will hold the afternoon meetings from regulations. Interior. 1:30 p.m. to 3:30 p.m. local time and the Notice level operations. For many ACTION: Public Land Order. evening meetings from 7:00 p.m. to 9:00 hardrock mining operations that disturb SUMMARY: This order withdraws 7,550 p.m. local time at each location. In 5 acres or less, the existing Surface Helena, the afternoon meeting will acres of National Forest System lands Management regulations do not require from location and entry under the begin at 2:00 p.m.; in Fairbanks, the advance approval of a plan of operations afternoon meeting will begin at 3:00 United States mining laws for 20 years by BLM. Instead, an operator must to protect the State Highway 87 p.m. provide BLM a ‘‘notice’’ which The meeting sites for the public Roadside Zone. The lands have been completely describes the operation and and will remain open to mineral leasing. scoping meeting are accessible to measures to protect the environment at EFFECTIVE DATE: April 4, 1997. individuals with disabilities. An least 15 calendar days before beginning FOR FURTHER INFORMATION CONTACT: individual with a disability who needs activities on the site (43 CFR 3809.1–3). Cliff an accommodation to participate in the The task force is expected to propose at Yardley, BLM Arizona State Office, 222 meeting (e.g., interpreting service, least three alternative ways of North Central Ave., Phoenix, Arizona assistive listening device, or materials in addressing this issue. One alternative 85004–2203, 602–417–9437. alternative format) should notify the By virtue of the authority vested in would be to require all those intending contact person listed in this notice at the Secretary of the Interior by Section to conduct mining to submit a plan of least two weeks before the scheduled 204 of the Federal Land Policy and operations and receive BLM’s approval meeting date. Although BLM will Management Act of 1976, 43 U.S.C. before commencing operations attempt to meet a request received after 1714 (1988), it is ordered as follows: (elimination of notice-level operations). this date, the requested accommodation 1. Subject to valid existing rights, the A second alternative would be to may not be available. following described National Forest narrow the scope of the notice System lands are hereby withdrawn II. Background and Discussion of provision; for example in areas of from location and entry under the Information Solicited environmental sensitivity an operator United States mining laws (30 U.S.C. In a memorandum dated January 6, planning to disturb 5 acres or less Ch. 2 (1988)), but not from leasing under 1997, the Secretary of the Interior would have to submit a plan of the mineral leasing laws, to protect the directed BLM to revise and update its operations and receive BLM’s approval scenic values of the State Highway 87 Surface Management regulations (43 before commencing operations. A third Roadside Zone: CFR part 3809) for operations under the alternative would be to tighten up the Mining Law of 1872, as amended (30 current notice provisions to better Gila and Salt River Meridian U.S.C. 22 et seq.). This is a resumption protect the environment, such as by Tonto National Forest of a rules revision effort that requiring more information from an T. 7 N., R. 9 E., commenced in 1991, but was suspended operator, allowing BLM more time to Sec. 1, W1⁄2; in 1993 without publication of proposed review a notice, and providing greater Sec. 11, S1⁄2SW1⁄4, and NE1⁄4SE1⁄4; rules, pending Congressional action that penalties for not meeting the Sec. 12, NW1⁄4, and N1⁄2SW1⁄4; would have amended the Mining Law. requirements of the notice provisions. Sec. 14, NW1⁄4NW1⁄4; 1 1 Any regulatory changes would have Coordination with State regulatory Sec. 15, NE ⁄4NE ⁄4. T. 8 N., R. 9 E., been superseded and possibly programs. To ensure that the Federal Sec. 36, SE1⁄4SW1⁄4. incompatible with such legislative Land Policy and Management Act’s T. 8 N., R. 10 E., reform. purpose of avoiding unnecessary or Sec. 5, lot 3, E1⁄2SW1⁄4NW1⁄4, SE1⁄4NW1⁄4, While the proposal to undertake undue degradation is achieved, BLM W1⁄2NE1⁄4SW1⁄4, N1⁄2NE1⁄4SW1⁄4SW1⁄4, comprehensive revisions to the Surface would adopt rules that would minimize and S1⁄2SE1⁄4SW1⁄4SW1⁄4; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16179

Sec. 7, E1⁄2SE1⁄4NE1⁄4, and SE1⁄4; Office, 50 Bastian Road, P.O. Box 1420, termination of segregation, or 270 days Sec. 8, SW1⁄4NW1⁄4NW1⁄4, and Battle Mountain, NV 89820. from date of this publication, whichever W1⁄2NE1⁄4NW1⁄4NW1⁄4; SUMMARY: The following described land occurs first. Sec. 17, SW1⁄4SW1⁄4SW1⁄4; 1 in Nye County, Nevada, has been The patent, when issued, will contain Sec. 18, E ⁄2; the following reservations to the United Sec. 20, W1⁄2; examined and identified as suitable for 1 1 1 1 States: Sec. 29, W ⁄2, and W ⁄2W ⁄2SE ⁄4; disposal by direct sale, at the appraised Sec. 31, lot 3, SE1⁄4NE1⁄4, NE1⁄4SW1⁄4, and fair market value, under Section 203 1. A right-of-way thereon for ditches or NW1⁄4SE1⁄4; and Section 209 of the Federal Land canals constructed by the authority of Sec. 32, NW1⁄4NW1⁄4. Policy and Management Act (FLPMA) of the United States. Act of August 30, T. 9 N., R. 10 E., October 21, 1976 (43 U.S.C. 1713 and 1890 (43 U.S.C. 945); 1 1 Sec. 3, lots 3 and 4, and S ⁄2NW ⁄4; 1719). 2. Leasable minerals (43 CFR 2430.5(a)); Sec. 4, lots 1 to 4, inclusive, and S1⁄2N1⁄2; 1 1 1 And will be subject to: Sec. 5, lots 1 and 2, S ⁄2NE ⁄4, and SE ⁄4; Mount Diablo Meridian, Nevada 1. Those rights for highway purposes Sec. 8, N1⁄2, and SW1⁄4; T. 7 S., R. 44 E., granted to the Nevada Department of Sec. 9, E1⁄2, and E1⁄2SW 1⁄4; Sec. 33, E1⁄2NE1⁄4NE1⁄4SE1⁄4. Sec. 10, NW1⁄4; Transportation, its successors or assigns, Comprising 5 acres, more or less. S. 16, N1⁄2, and NW1⁄4SW1⁄4. by right-of-way Nev-042808, pursuant to T. 9 N., R. 10 E., The lands will be sold to the adjacent the Act of August 27, 1958; Sec. 17, W1⁄2, and SE1⁄4SE1⁄4NE1⁄4; land owner, John R. Wellborn. The 2. Those rights for powerline 1 Sec. 20, N ⁄2; lands are hereby classified for disposal purposes granted to Valley Electric S. 32, W1⁄2. Association, its successors or assigns, by T. 10 N., R. 10 E., in accordance with Executive Order 1 1 1 1 6910 and the Act of June 28, 1934, as right-of-way Nev-066116, pursuant to Sec. 9, SE ⁄4SW ⁄4, and SW ⁄4SE ⁄4; the Act of March 4, 1911; and Sec. 16, E1⁄2, and E1⁄2E1⁄2W1⁄2; amended. The land will not be offered 3. All other valid existing rights. Sec. 21, E1⁄2, and E1⁄2E1⁄2W1⁄2. for sale until at least 60 days after the T. 10 N., R. 10 E., date of publication of this notice in the Should the sale proponent not 1 1 1 purchase the parcel, the lands may Sec. 22, W ⁄2SW ⁄4NW ⁄4, and Federal Register. 1 1 1 remain for sale, over the counter, at the W ⁄2NW ⁄2SW ⁄4; FOR FURTHER INFORMATION CONTACT: 1 4 1 2 appraised fair market value, until the Sec. 28, NE ⁄ , and S ⁄ ; Mary Craggett, Realty Specialist, Bureau Sec. 33, NW1⁄4, and S1⁄2; segregation terminates 270 days from of Land Management, Battle Mountain Sec. 34, SW1⁄4. publication of this Notice in the Federal Field Office, at (702) 635–4000. The areas described aggregate 7,550 acres Register. Interested parties may inquire in Gila County. SUPPLEMENTARY INFORMATION: The land about the parcel at the Bureau of Land has been identified as suitable for 2. The withdrawal made by this order Management, 50 Bastian Road, Battle disposal by the Esmeralda/Southern Mountain, NV 89820, Monday through does not alter the applicability of those Nye Resource Management Plan. The land laws governing the use of the Friday, from 7:30 a.m. to 4:30 p.m. land is not needed for any resource Adverse comments submitted during National Forest System lands under program and is not suitable for lease, license, or permit, or governing the 45-day comment period will be management by the Bureau or another evaluated by the State Director, who the disposal of their mineral or Federal department or agency. vegetative resources other than under may sustain, vacate or modify this realty The locatable and salable mineral action and issue a final determination. the mining laws. estates have been determined to have no 3. This withdrawal will expire 20 In the absence of timely filed objections, known value. Therefore, the mineral this realty action will become a final years from the effective date of this estate, excluding leasable minerals, will order unless, as a result of a review determination of the Department of the be conveyed simultaneously with the Interior. conducted before the expiration date surface estate in accordance with pursuant to Section 204(f) of the Federal section 209(b)(1) of Federal Land Policy Dated: March 21, 1997. Land Policy and Management Act of and Management Act of 1976. Gerald M. Smith, 1976, 43 U.S.C. 1714(f) (1988), the Acceptance of the sale offer will District Manager. Secretary determines that the constitute application for conveyance of [FR Doc. 97–8600 Filed 4–3–97; 8:45 am] withdrawal shall be extended. the available mineral interests. The sale BILLING CODE 4310±HC±P Dated: March 27, 1997. proponent will be required to submit a Bob Armstrong, $50.00 nonrefundable filing fee for [CO±956±97±1420±00] Assistant Secretary of the Interior. conveyance of the mineral interests [FR Doc. 97–8627 Filed 4–3–97; 8:45 am] specified above with the purchase price Colorado: Filing of Plats of Survey BILLING CODE 4310±32±P for the land. Failure to submit the nonrefundable fee for the mineral estate March 27, 1997. within the time frame specified by the The plats of survey of the following [NV±930±1430±01; N±59269] authorized officer will result in described land, will be officially filed in cancellation of the sale. the Colorado State Office, Bureau of Realty Action: Sale of Public Lands in Upon publication of this Notice in the Land Management, Lakewood, Nye County, Nevada, by Federal Register, the lands will be Colorado, effective 10:00 am., March 27, Noncompetitive Sale Procedures segregated from all forms of 1997. All inquiries should be sent to the AGENCY: Bureau of Land Management; appropriation under the public land Colorado State Office, Bureau of Land Interior. laws, including the mining laws, but not Management, 2850 Youngfield Street, ACTION: Notice. the mineral leasing laws or disposals Lakewood, Colorado 80215. pursuant to Sections 203 and 209 of The plat representing the retracement DATES: Comments must be submitted on FLPMA. The segregation shall terminate of a portion of the Colorado-New or before May 19, 1997. upon issuance of a patent or other Mexico boundary and the dependent ADDRESSES: Submit comments to the document of conveyance, upon resurvey of a portion of the Eighth District Manager, Battle Mountain Field publication in the Federal Register of a Standard Parallel North (north 16180 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices boundary), the west boundary, and a The proposed information collection preclearance from the Attorney General portion of the subdivisional lines, and is published to obtain comments from before instituting changes affecting the subdivision of sections 6, 7, 18, and the public and affected agencies. voting. They must convince the 19, T. 32 N., R. 9 W., New Mexico Comments are encouraged and will be Attorney General that voting changes Principal Meridian, Group 1139, accepted until June 3, 1997. are not racially discriminatory. The Colorado, was accepted February 20, We request written comments and Procedures facilitate the provision of 1997. suggestions from the public and affected information that will enable the The plat representing the dependent agencies concerning the proposed Attorney General to make the required resurvey of a portion of the collection of information. Your determination. subdivisional lines and the comments should address one or more (5) An estimate of the total number of subdivisional lines of sections 1, 12, and of the following four points: respondents and the amount of time 13, T. 32 N., R. 10 W., New Mexico (1) Evaluate whether the proposed estimated for an average respondent to Principal Meridian, Group 1139, collection of information is necessary respond: 4,727 responses per year Colorado, was accepted February 20, for the proper performance of the (10,103 respondents making an average 1997. functions of the agency/component, of 0.47 responses per year), with the These surveys were requested by the including whether the information will average response requiring 10.02 hours. Colorado Department of Transportation have practical utility; (6) An estimate of the total public for administrative purposes. (2) Evaluate the accuracy of the burden (in hours) associated with the The plat representing the corrective agency’s/component’s estimate of the collection: 47,365 burden hours. resurvey of a portion of the subdivision burden of the proposed collection of If additional information is required of section 14, Fractional Township 51 information, including the validity of contact: Mr. Robert B. Briggs, Clearance N., R. 1 E., New Mexico Principal the methodology and assumptions used; Officer, United States Department of Meridian, Group 1094, Colorado was (3) Enhance the quality, utility, and Justice, Information Management and accepted March 19, 1997. clarity of the information to be Security Staff, Justice Management The plat (in three sheets) representing collected; and Division, Suite 850, Washington Center, the dependent resurvey of portions of (4) Minimize the burden of the 1001 G Street, NW, Washington, DC the subdivisional lines, the subdivision collection of information on those who 20530. of sections 22 and 28, a resurvey of a are to respond, including through the portion of the north right-of-way of U.S. use of appropriate automated, Dated: April 1, 1997. Highway No. 40, a metes-and-bounds electronic, mechanical, or other Robert B. Briggs, survey of Lot 6 in Section 27 and Parcel technological collection techniques or Department Clearance Officer, United States A in section 28, and an informative other forms of information technology, Department of Justice. traverse of the center line of a dirt road e.g., permitting electronic submission of [FR Doc. 97–8599 Filed 4–3–97; 8:45 am] 20 ft. wide for an administrative responses. BILLING CODE 4410±13±M easement in sections 22 and 27, T. 2 N., If you have additional comments, R. 77 W., Sixth Principal Meridian, suggestions, or need a copy of the Group 1091, Colorado, was accepted proposed information collection Office of the Attorney General Feburary 20, 1997. instrument with instructions, or [A.G. Order No. 2073±97] The amended field notes correcting a additional information, please contact corner description for cor. No. 2, M.S. David H. Hunter 202–307–2898, RIN 1105±AA50 Attorney, Voting Section, Civil Rights No. 13937, Mary McKiniry Lode located Proposed Guidelines for Megan's Law 1 4 Division, U.S. Department of Justice, in the NW ⁄ of sec. 7, T 1 N., R. 72 and the Jacob Wetterling Crimes P.O. Box 66128, Washington, DC 20035. W., Sixth Principal Meridian, Group Against Children and Sexually Violent Additionally, comments and/or 875, Colorado, were accepted February Offender Registration Act 20, 1997. suggestions regarding the item(s) The supplemental plat created to contained in this notice, especially AGENCY: Department of Justice. facilitate a land transfer in section 1., T. regarding the estimated public burden ACTION: Proposed guidelines. 11 S., R. 98 W., Sixth Principal and associated response time, may also Meridian, Colorado, was accepted be directed to Mr. Hunter. SUMMARY: The United States Department March 19, 1997. Overview of this information of Justice (DOJ) is publishing Proposed These surveys were requested by BLM collection: Guidelines to implement Megan’s Law for administrative purposes. (1) Type of Information Collection: and to clarify other issues relating to Darryl A. Wilson, Extension of a currently approved compliance with the Jacob Wetterling Chief Cadastral Surveyor for Colorado. collection. Crimes Against Children and Sexually [FR Doc. 97–8570 Filed 4–3–97; 8:45 am] (2) Title of the Form/Collection: Violent Offender Registration Act. Procedures for the Administration of BILLING CODE 4310±JB±P DATES: Comments must be received by Section 5 of the Voting Rights Act of June 3, 1997. 1965, 28 CFR Part 51. (3) Agency form number, if any, and ADDRESSES: Comments may be mailed to DEPARTMENT OF JUSTICE the applicable component of the Bonnie J. Campbell, Director, Violence Department sponsoring the collection: Against Women Office, U.S. Department Civil Rights Division; Agency of Justice, 950 Pennsylvania Avenue, Information Collection Activities: No form; Voting Section, Civil Rights Division. NW, Washington, DC 20530, 202–616– Extension of Existing Collection; 8894. Comment Request (4) Affected public who will be asked or required to respond, as well as a brief SUPPLEMENTARY INFORMATION: Megan’s ACTION: Notice of information collection abstract: Primary: State or Local Law, Pub. L. No. 104–145, 110 Stat. under review; procedures for the Government. Other: None. Jurisdictions 1345, amended subsection (d) of section administration of Section 5 of the specially covered under the Voting 170101 of the Violent Crime Control and Voting Rights Act of 1965. Rights Act are required to obtain Law Enforcement Act of 1994, Pub. L. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16181

No. 103–322, 108 Stat. 1796, 2038 Guidelines attempts to address these registration agency but provide that this (codified at 42 U.S.C. 14071), which questions. The main changes or information is to be submitted to a local contains the Jacob Wetterling Crimes additional clarifications concern the law enforcement agency or other Against Children and Sexually Violent following issues: intermediary, which is then required to Offender Registration Act (hereafter 1. The Jacob Wetterling Act provides forward it to the state registration referred to as the ‘‘Jacob Wetterling Act’’ that registration information is initially agency. The revised guidelines make it or ‘‘the Act’’). The provisions of the to be taken and submitted by ‘‘the clear that providing for the submission Jacob Wetterling Act amended by court’’ or a ‘‘prison officer.’’ 42 U.S.C. of change of address information in this Megan’s Law relate to the release of 14071(b) (1) & (2). The purpose of this manner (through an intermediary) is registration information. The changes in requirement is to ensure that a allowed under the Act. Likewise, a state these provisions require conforming responsible official will obtain could provide for the submission of changes in the Final Guidelines registration information near the time of initial registration information by the published by the Department of Justice release and transmit it to the registration responsible prison officer or court on April 4, 1996 in the Federal Register agency. Some states assign this through an intermediary. See 42 U.S.C. (61 FR 15110) to implement the Jacob responsibility to probation or parole 14071(b)(2). Wetterling Act. In addition, other officers, who have functions relating to 5. The Act requires that the state changes in the Guidelines are necessary correctional matters or the execution of registration agency notify local law to resolve questions that have arisen in sentences, but who might not be enforcement agencies concerning the the Justice Department’s review of state regarded as prison officers or courts on release or subsequent movement of sex offender registration programs and a narrow reading of those terms. The registered offenders to their areas. 42 discussion of compliance requirements revised guidelines make it clear that U.S.C. 14071(b) (2) & (4). The revised with the states. such assignments of responsibility to guidelines make it clear that states have Megan’s Law makes two changes in such officers are permissible under the discretion concerning the form this the Jacob Wetterling Act: (1) It Act. notice will take. Permissible options eliminates a general requirement that 2. The Act provides that, if a person include, for example, written notice, information collected under state required to register is released, then the electronic transmission of registration registration programs be treated as responsible officer must obtain the information, and provision of on-line private data, and (2) it substitutes registration information and forward it access to registration information. mandatory language for previously to the registration agency within three 6. The act requires periodic address permissive language concerning the days of receipt. 42 U.S.C. 14071(b)(2). verification for registered offenders, release of relevant information that is Many states, however, do not wait until through the return of nonforwardable necessary to protect the public the day of release to obtain registration address verification forms that are sent concerning registered offenders. information, but require offenders to to the registered address. 42 U.S.C. The time frame for compliance with provide this information some period of 14071(b)(3). Some state registration the Megan’s Law amendment to the time (e.g. 30 days or 60 days) prior to programs do not have the state Jacob Wetterling Act is the general time release. The revised guidelines make it registration agency directly send or frame for compliance with the Act clear that, under the latter type of receive address verification forms but specified in section 170101(f) (42 U.S.C. procedure, it is adequate if the delegate that function to local law 14071(f))—three years from the Act’s registration information is forwarded no enforcement agencies. The revised original enactment date of September later than three days after release guidelines clarify that this approach to 13, 1994, subject to a possible extension because that equally ensures the periodic address verification is of two years for states which are making submission of registration information permitted under the Act, as long as state good faith efforts to come into within the time frame contemplated by procedures ensure that the state compliance with the Act. States that fail the Act. registration agency will be promptly to comply with the Megan’s Law 3. As noted above, the Act requires made aware if the verification process provisions or other provisions of the that a responsible officer obtain and discloses that the registrant is no longer Jacob Wetterling Act within the transmit the initial registration at the registered address. The revised specified time frame will be subject to information. Some states provide that guidelines also clarify that states, if they a mandatory 10% reduction of Byrne the responsible officer is to send the wish, may require personal appearance Formula Grant funding (under 42 U.S.C. initial registration information of the registrant at a law enforcement 3756), and any funds that are not concurrently to the state registration agency to return an address verification allocated to noncomplying states will be agency and to the appropriate local law form, as opposed to return of the form reallocated to states that are in enforcement agency, as opposed to through the mail. compliance. transmitting the information exclusively 7. The Act contemplates the creation In addition to changes reflecting the to the state registration agency, which of a gap-free network of state Megan’s Law amendment, these would then forward it to the appropriate registration programs, under which proposed guidelines include changes local law enforcement agency. The offenders who are registered in one state that clarify other provisions of the Jacob revised guidelines make it clear that the cannot escape registration requirements Wetterling Act. Since the publication of concurrent transmission approach is merely by moving to another state. See, the original Guidelines for the Act, a allowed because that approach also e.g., 42 U.S.C. 14071(b) (4) & (5). The large majority of the states have results in the availability of the revised guidelines effectuate this submitted enacted or proposed sex registration information at the state and legislative objective by more clearly offender registration provisions to the local levels as contemplated by the Act. defining the obligation of states to Department of Justice for preliminary 4. The Act requires registrants to register out-of-state offenders who move review concerning compliance with the report changes of address within 10 into the state. Act. This review process has raised a days. 42 U.S.C. 14071(b)(1)(A). Most 8. The Act requires that released number of questions which indicate that state registration programs do not convicted offenders in the relevant additional guidance would be helpful. require registrants to send change of offense categories by subject to This proposed revision of the address information directly to the state registration and periodic address 16182 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices verification for at least 10 years. 42 against a victim who is a minor.’’ 42 state witness protection programs U.S.C. 14071(b)(6). This requirement is U.S.C. § 14071(a)(1). One of the clauses because the Act does not require that unqualified, and the revised guidelines in the Act’s definition of this term the registration system records include make it clear that a state is not in covers ‘‘criminal sexual conduct toward the registrant’s original name or the compliance if it allows registration a minor.’’ § 14071(a)(3)(A)(iii). The registrant’s residence prior to the obligations to be waived or terminated revised guidelines state explicitly that relocation. before the end of this period on such this includes incest offenses against 17. The revised guidelines encourage grounds as a finding of rehabilitation or minors. The Act’s definition of states to require registration for all a finding that registration (or continued ‘‘criminal offense against a victim who convicted offenders in the pertinent registration) would not serve the is a minor’’ also includes two clauses offense categories, including offenders purposes of the state’s registration relating to solicitation offenses: convicted in federal, military, and provisions. However, if the underlying ‘‘solicitation of a minor to engage in Indian tribal courts, as well as offenders conviction is reversed, vacated, or set sexual conduct,’’ and ‘‘solicitation of a convicted in state courts. aside, or if the registrant is pardoned, minor to practice prostitution.’’ 18. The revised guidelines encourage registration (or continued registration) is §§ 14071(a)(3)(A) (iv) & (vi). The revised states to ensure that their sex offender not required under the Act. guidelines provide greater detail in registration agencies are ‘‘criminal 9. Where a person required to register explaining the solicitation offenses that justice agencies’’ as defined in 28 C.F.R. is re-incarcerated for another offense or state registration systems must cover to 20.3(c), to permit the free exchange of civilly committed, some states toll comply with these provisions. registration information between state registration requirements during the 13. The Act also requires registration registries and the FBI’s records systems. subsequent incarceration or by persons convicted of a ‘‘sexually Subsequent to the enactment of commitment. The revised guidelines violent offense.’’ 42 U.S.C. § 14071(a)(1). Megan’s Law, Congress enacted clarify that this approach is consistent It essentially provides that the term additional legislation relating to sex with the Act because tolling the ‘‘sexually violent offense’’ means offender tracking and registration in the registration period during confinement aggravated sexual abuse and sexual Pam Lychner Sexual Offender Tracking results in longer aggregate registration abuse as described in federal law or the and Identification Act of 1996, Pub. L. while the registrant is released. In state criminal code. § 14071(a)(3)(B). No. 104–236, 110 Stat. 3093 (hereafter addition, it is unnecessary to carry out The revised guidelines clarify that states referred to as the ‘‘Pam Lychner Act’’) address registration and verification may comply with this requirement The Pam Lychner Act includes, inter procedures during confinement and either by covering offenses that meet the alia, amendments to the Jacob doing so does not further the Act’s federal law definition, or by covering Wetterling Act affecting the duration of objective of protecting the public from comparable offenses under state law. registration requirements, sexually released offenders. The availability of the latter option is violent predator certification, 10. The Act prescribes more stringent not limited to states that use the terms fingerprinting of registered offenders, registration requirements for a subclass ‘‘aggravated sexual abuse’’ and ‘‘sexual address verification, and reporting of of offenders characterized as ‘‘sexually abuse’’ or other specific terminology in registration information to the FBI. The violent predators.’’ See 42 U.S.C. referring to sex offenses in their changes made by the Pam Lychner Act 14071(a) (1) & (3) (C)–(E). Some states criminal codes. will be the subject of future guidelines. require that sexually violent predators 14. The revised guidelines clarify that States have until three years for the Pam be civilly committed, as opposed to the Act’s time limits for reporting initial Lychner Act’s enactment date of being subject to more stringent registration information and change of October 4, 1996 to come into registration requirements. The revised address information refer to the time compliance with the features of the guidelines clarify that this approach within which the information must be Wetterling Act added by the Pam may be allowed because it would be submitted or sent, as opposed to the Lychner Act, subject to a possible two- superfluous to carry out address time within which it must be received year extension. These new provisions registration and verification procedures by the state registration agency. are not addressed in this publication. while such an offender is committed. 15. The Act requires criminal 11. The Act requires that the penalties for persons in the relevant Proposed Guidelines determination whether a person is (or is offense categories who knowingly fail to These guidelines carry out a statutory no longer) a ‘‘sexually violent predator’’ register or keep registration information directive to the Attorney General, in be made by the sentencing court. 42 current. 42 U.S.C. § 14071(c). The section 170101(a)(1) (42 U.S.C. U.S.C. § 14071(a)(2). In light of the revised guidelines clarify that this § 14071(a)(1)), to establish guidelines for variation among states in court structure neither requires states to allow a defense registration systems under the Act. and assignments of judicial for offenders who were unaware of the Before turning to the specific provisions responsibility, the revised guidelines legal obligation to register nor precludes of the Act, four general points should be clarify that this requirement means only states from doing so. As a practical noted concerning the Act’s the determination must be made by a matter, states can ensure that offenders interpretation and application. court whose decision is legally are aware of their obligations through First, states that wish to achieve competent to trigger the more stringent consistent compliance with the Act’s compliance with the Jacob Wetterling registration requirements prescribed for provisions for advising offenders of Act should understand that its sexually violent predators by the Act. It registration requirements at the time or requirements constitute a floor for state does not mean that ‘‘the sentencing release and obtaining a signed registration systems, not a ceiling, and court’’ for purposes of the sexually acknowledgment that this information that they do not risk the loss of part of violent predator determination must be has been provided. their Byrne Formula Grant funding by the same court in which the offender 16. The revised guidelines clarify that going beyond its standards. For was convicted for an underlying the Act does not preclude states from example, a state may have a registration sexually violent offense. taking measures for the security of system that covers a broader class of sex 12. The Act requires registration by registrants who have been relocated and offenders than those identified in the persons convicted of a ‘‘criminal offense provided new identities under federal or Jacob Wetterling Act, requires address Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16183 verification for such offenders at more offenders’ constitutional rights. A few Weld, 1996 WL 769398 (D. Mass. Dec. frequent intervals than the Act courts, however, have found that certain 17, 1996) (declining to enjoin retroactive prescribes, or requires offenders to provisions of the state systems violate application of community notification register for a longer period of time than (or likely violate) the Constitution. See provisions); Stearns v. Gregoire, Dkt. the period specified in the Act. Rowe v. Burton, 884 F. Supp. 1372 (D, No. C95–1486D, slip op. (W.D. Wash. Exercising these options creates no Alaska 1994) (on motion for preliminary Apr. 12, 1996) (same), appeal pending; problem of compliance because the relief) (notification provision), appeal Opinion of the Justices, 423 Mass. 1201, provisions in the Jacob Wetterling Act dismissed, 85 F.3d 635 (9th Cir. 1996); 668 N.E.2d 738 (1996) (advisory opinion concerning duration of registration, State v. Babin, 637 So.2d 814 (La. App.) that community notification provisions covered offenders, and other matters, do (retroactive application of notification are constitutional, even as retroactively not preclude states from imposing provision), writ denied, 644 So.2d 649 applied); Kansas v. Myers, 260 Kan. 669, additional or more stringent (La. 1994); State v. Payne, 633 So.2d 701 923 P.2d 1024 (1996) (holding that requirements that encompass the Act’s (La. App. 1993) (same), writ denied, 637 retroactive application of community baseline requirements. The general So.2d 497 (La. 1994); cf. In re Reed, 663 notification violates the Ex Post Facto objective of the Act is to protect people p.2d 216 (Cal. 1983) (en banc) Clause), petition for cert. pending. The from child molesters and violent sex (registration requirements for United States has filed briefs in several offenders through registration misdemeanor offenders violate the of these cases supporting the state laws. requirements. It is not intended to, and California Constitution). The United States Supreme Court soon does not have the effect of, making There has been extensive litigation will decide whether to grant a petition states less free than they were under concerning whether aspects of New seeking review of the Kansas Supreme prior law to impose registration Jersey’s community notification Court’s holding that the retroactive requirements for this purpose. program violate due process or ex post application of Kansas’ sex offender Second, states that wish to achieve facto guarantees as applied to community notification provisions compliance with the Jacob Wetterling individuals who committed the covered violates the Ex Post Facto Clause. Act also should understand that they offense prior to enactment of the The remainder of these guidelines may, within certain constraints, use notification statute. The Department of addresses the provisions of the Jacob their own criminal law definitions in Justice believes that the New Jersey Wetterling Act—including the Megan’s defining registration requirements and community notification statute at issue Law amendment, but not including the will not have to revise their registration in those cases does not violate the Ex changes made by the Pam Lychner systems to use technical definitions of Post Facto Clause and that the Act—in the order in which they appear covered sex offenses based on federal Fourteenth Amendment’s Due Process in section 170101 of the Violent Crime law. This point will be explained more Clause of its own force does not require Control and Law Enforcement Act of fully below. recognition of such a liberty interest on 1994. Third, the Jacob Wetterling Act the part of offenders affected by that contemplates the establishment of statute, and has filed ‘‘friend of the General Provisions—Subsection (a)(1)– programs that will impose registration court’’ briefs supporting the New Jersey (2) requirements on offenders who are law. Paragraph (1) of subsection (a) of subsequently convicted of offenses in The New Jersey Supreme Court, in section 170101 directs the Attorney the pertinent categories. The Act does John Doe v. Poritz, 142 N.J. 1, 662 A.2d General to establish guidelines for state not require states to attempt to identify 367 (1995), upheld the New Jersey programs that require: and impose registration requirements on statute, although it imposed certain (A) current address registration for persons offenders who were convicted of procedural protections under federal convicted of ‘‘a criminal offense against a offenses in these categories prior to the and state law. In Artway v. Attorney victim who is a minor’’ or ‘‘a sexually violent establishment of a conforming General of New Jersey, 876 F. Supp. 666 offense,’’ and registration system. Nevertheless, the (D.N.J. 1995), the District Court held (B) current address registration under a Act does not preclude states from that retroactive application of the different set of requirements for persons who imposing any new registration notification provisions of New Jersey’s are determined to be ‘‘sexually violent requirements on offenders convicted Megan’s Law violated the Ex Post Facto predators.’’ prior to the establishment of the Clause. On appeal, however, this part of For purposes of the Act, ‘‘state’’ registration system. the District Court’s decision was vacated should be understood to encompass the Fourth, the Act’s definitions of on ripeness grounds. 81 F.3d 1235, political units identified in the covered offense categories are tailored to rehearing denied, 83 F.3d 594 (3d Cir. provision defining ‘‘state’’ for purposes its general purpose of protecting the 1996). Then, the District Court ruled in of eligibility for Byrne Formula Grant public from persons who molest or a class-action case that the notification funding (42 U.S.C. § 3791(a)(2)) in light sexually exploit children and from other provisions of New Jersey’s Megan’s Law, of the tie-in between compliance with sexually violet offenders. Hence, these as modified by the New Jersey Supreme the Act and the allocation of Byrne definitions do not include all offenses Court’s decision in Doe, are Formula Grant funding. Hence, the that involve a sexual element. For constitutional, even when retroactively ‘‘states’’ that must comply with the Act example, offenses consisting of applied. W.P. v. Poritz, 931 F. Supp. to maintain full eligibility for such consensual acts between adults are not 1199 (D.N.J. 1996), appeal pending. funding are the fifty states, the District among the offenses for which There is ongoing litigation over the of Columbia, the Commonwealth of registration is required under the Act. validity of notification systems—and Puerto Rico, the Virgin Islands, Some state registration and particularly the validity of their American Samoa, Guam, and the notification systems have been retroactive application—in other states Northern Mariana Islands. challenged on constitutional grounds. as well. See, e.g., Doe v. Pataki, 940 F. Paragraph (2) of subsection (a) states The majority of courts that have dealt Supp. 603 (S.D.N.Y. 1996) (enjoining that the determination whether a person with the issue have held that systems retroactive application of community is a ‘‘sexually violent predator’’ (which like those contemplated by the Jacob notification as an ex post facto brings the more stringent registration Wetterling Act do not violate released punishment), appeal pending; Doe v. standards into play), and the 16184 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices determination that a person is no longer convicted in federal or military courts to by such names as ‘‘kidnapping,’’ a ‘‘sexually violent predator’’ (which register. ‘‘criminal restraint,’’ or ‘‘false terminates the registration requirement The Act’s requirement is one of imprisonment’’—whose gravamen is under those more stringent standards), current address registration, and the Act abduction or unlawful restraint of a shall be made by the sentencing court does not dictate under what name a person. States can comply with these after receiving a report by a state board person must be required to register. clauses by requiring registration for composed of experts in the field of the Hence, the Act does not preclude states persons convicted of these statutory behavior and treatment of sexual from taking measures for the security of offenses whose victims were below the offenders. registrants who have been provided new age of 18. The Act does not require ‘‘State board’’ in paragraph (2) should identities and relocated under the inclusion of these offenses in the be understood to mean a body or group federal witness security program (see 18 registration requirement when the containing two or more experts that is U.S.C. § 3521 et seq.) or comparable offender is a parent, but states may authorized by state law or designated state programs. A state may provide that choose to require registration for parents under the authority of state law. Beyond the registration system records will who commit these offenses. the requirement that a board must be identify such a registrant only by his or (2) Clause (iii) covers offenses composed of experts in the field of the her new name and that the registration consisting of ‘‘criminal sexual conduct behavior and treatment of sexual system records will not include the pre- toward a minor.’’ States can comply offenders, the Act affords states relocation address of the registrant or with this clause by requiring registration discretion concerning the selection and other information from which his or her for persons convicted of all statutory sex composition of such boards. For original identity or participation in a offenses under state law whose elements example, a state could establish a single witness security program could be involved physical contact with a permanent board for this purpose, could inferred. States are encouraged to make victim—such as provisions defining establish a system of state-designated provision in their laws and procedures crimes of ‘‘rape,’’ ‘‘sexual assault,’’ boards, or could authorize the for the security of such registrants and ‘‘sexual abuse,’’ or ‘‘incest’’—in cases designation of different boards for to honor requests from the United States where the victim was in fact a minor at different courts, time periods, Marshals Service and other agencies the time of the offense. responsible for witness protection to geographic areas or cases. In addition, Coverage is not limited to cases where ensure that the identities of these the Act permits states to set their own the victim’s age is an element of the registrants are not compromised. Due to standards concerning who qualifies as offense (such as prosecutions for an expert in the field of the behavior the federal statutory preemption concerning what may or may not be specially defined child molestation and treatment of sexual offenders for offenses). Offenses that do not involve purposes of board participation, and to disclosed about federally protected witnesses, 18 U.S.C. §§ 3521(b) (1)(G) & physical contact, such as exhibitionism, utilize qualifying experts from outside are not subject to the Act’s mandatory the state to serve on the boards. (3), a state’s failure to promulgate protective provisions may adversely registration requirements pursuant to ‘‘Sentencing court’’ in paragraph (2) affect its eligibility to send witnesses to, clause (iii), but states are free to require should be understood to mean a court or to receive witness data from, the registration for persons convicted of whose determination is competent federal witness security program. such offenses as well if they so choose. under state law to trigger or terminate (3) Clause (iv) covers offenses the more stringent registration Definition of ‘‘Criminal Offense Against consisting of solicitation of a minor to requirements the Act prescribes for a Victim Who is a Minor’’—Subsection engage in sexual conduct. The notion of sexually violent predators. It does not (a)(3)(A) ‘‘sexual conduct’’ should be understood mean that ‘‘the sentencing court’’ for The Act prescribes a 10-year in the same sense as in clause (iii). purposes of the sexually violent registration requirement for persons Hence, states can comply with clause predator determination must be the convicted of a ‘‘criminal offense against (iv) by consistently requiring same court in which the offender was a victim who is a minor’’. Subparagraph registration, in cases where the victim convicted for an underlying offense that (A) of paragraph (3) of subsection (a) was below the age of 18, based on: gave rise to a requirement to register. defines the term ‘‘criminal offense —A conviction for an offense involving As noted above, subsection (a)(1) against a victim who is a minor.’’ solicitation of the victim under a general requires states to register persons ‘‘Minor’’ should be understood to mean attempt or solicitation provision, where the convicted of certain crimes against a person below the age of 18. object offense would be covered by clause minors and sexually violent offenses, States do not have to track the (iii), and but states are free to go beyond the Act’s terminology used in the Act’s definition —A conviction for an offense involving minimum standards and include other of ‘‘criminal offense against a victim solicitation of the victim under any classes of offenders within their sex who is a minor’’ in defining registration provision defining a particular crime offender registration programs. For whose elements include soliciting or requirements. Rather, compliance attempting to engage in sexual activity example, states are encouraged to depends on whether the substantive involving physical contact. require sex offenders convicted in coverage of a state’s registration federal, military, or Indian tribal courts requirements includes the offenses (4) Clause (v) covers offenses who reside in their jurisdictions to described in subparagraph (A) of consisting of using a minor in a sexual register. Although the Act does not paragraph (3). performance. This includes both live require states to register such offenders, The specific clauses in the Act’s performances and using minors in the the presence of any convicted sex definition of ‘‘criminal offense against a production of pornography. offender in the state—whether the victim who is a minor’’ are as follows: (5) Clause (vi) covers offenses offender was prosecuted in a state, (1) Clause (i) and (ii) cover consisting of solicitation of a minor to federal, military, or Indian tribal court— kidnapping of a minor (except by a practice prostitution. The interpretation raises similar public safety concerns. parent) and false imprisonment of a of this clause is parallel to that of clause Some states (e.g., Washington and minor (except by a parent). All states (iv). States can comply with clause (vi) California) already require sex offenders have statutes that define offenses—going by consistently requiring registration, in Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16185 cases where the victim was below the registration requirements does not bar oral-genital or oral-anal contact, or age of 18, based on: states from including such offenders in direct genital touching of a victim below —A conviction for an offense involving their registration systems if they wish. the age of 16 in certain circumstances. solicitation of the victim under a general Moreover, the scope of subsection (The second part of the definition in attempt or solicitation provision, where the (a)(3)(A)’s exemption is also limited by subparagraph (B) of paragraph (3), object offense is a prostitution offense, and other provisions of the Act that require relating to physical contact with intent —A conviction for an offense involving registration of persons convicted of to commit aggravated sexual abuse or solicitation of the victim under any ‘‘sexually violent offenses’’ (as defined sexual abuse, does not enlarge the class provision defining a particular crime in (a)(3)(B)), with no provision of covered offenses under the federal whose elements include soliciting or attempting to get a person to engage in excluding younger offenders where the law definitions because sections 2241 prostitution. criminality of the conduct depends on and 2242 explicitly encompass attempts the victim’s age. as well as completed offenses.) (6) Clause (vii) covers offenses Since the Act’s registration Second, a state could comply by consisting of any conduct that by its requirements depend in all requiring registration for offenders nature is a sexual offense against a circumstances on conviction of certain convicted of the state offenses that minor. This clause is intended to insure types of offenses, states are not required correspond to the federal offenses uniform coverage of convictions under to mandate registration for juveniles described above—i.e., the most serious statutes defining sex offenses in which who are adjudicated delinquent—as sexually assaultive crime or crimes the status of the victim as a minor is an opposed to adults convicted of crimes under state law, covering non- element of an offense, such as specially and juveniles convicted as adults—even consensual sexual acts involving defined child molestation offenses, and if the conduct on which the juvenile penetration—together with state other offenses prohibiting sexual delinquency adjudication is based offenses (if any) that have as their activity with underage persons. States would constitute an offense giving rise elements engaging in physical contact can comply with this clause by to a registration requirement if engaged with another person with intent to including convictions under these in by an adult. However, states may commit such a crime. statutes uniformly in the registration require registration for juvenile Definition of ‘‘Sexually Violent requirement. delinquents, and the conviction of a Predator’’—Subsection (a)(3) (C)-(E) (7) Considered in isolation, clause juvenile who is prosecuted as an adult (viii) gives states discretion whether to does count as a conviction for purposes Offenders who meet the definition of require registration for attempts to of the Act’s registration requirements. ‘‘sexually violent predator’’ are subject commit offenses described in clauses (i) to more stringent registration through (vii). However, any verbal Defintion of ‘‘Sexually Violent requirements than other sex offenders. command or attempted persuasion of Offense’’—Subsection (a)(3)(B) (1) Subparagraph (C) defines the victim to engage in sexual conduct The Act prescribes a 10-year ‘‘sexually violent predator’’ to mean a would bring the offense within the registration requirement for offenders person who has been convicted of a scope of the solicitation clause (clause convicted of a ‘‘sexually violent sexually violent offense and who suffers (iv)), and make it subject to the Act’s offense,’’ as well as for those convicted from a mental abnormality or mandatory registration requirements. of a ‘‘criminal offense against a victim personality disorder that makes the Moreover, this provision must be who is a minor.’’ person likely to engage in predatory considered in conjunction with the Subparagraph (B) of paragraph (3) sexually violent offenses. Act’s requirement of registration for defines the term ‘‘sexually violent (2) Subparagraph (D) essentially persons convicted of a ‘‘sexually violent offense’’ to mean any criminal offense defines ‘‘mental abnormality’’ to mean a offense,’’ which does not allow the that consists of aggravated sexual abuse condition involving a disposition to exclusion of attempts if they are or sexual abuse (as described in sections commit criminal sexual acts of such a otherwise encompassed within the 2241 and 2241 of title 18, United States degree that it makes the person a definition of a ‘‘sexually violent Code, or as described in the state menace to others. There is no definition offense.’’ criminal code) or an offense that has as of ‘‘personality disorder’’ in the Act; Hence, state discretion to exclude its elements engaging in physical hence, the definition of this term is a attempted sexual offenses against contact with another person with intent matter of state discretion. For example, minors from registration requirements to commit such an offense. In light of a state may choose to utilize the pursuant to clause (viii) is limited by this definition, there are two ways in definition of ‘‘personality disorder’’ that other provisions of the Act. The which a state could satisfy the appears in the Diagnostic and Statistical simplest approach for states would be to requirement of registration for persons Manual of Mental Disorders: DSM–IV. include attempted sexual assaults on convicted of ‘‘sexually violent offenses’’: American Psychiatric Association, minors (as well as completed offenses) First, a state could comply by Diagnostic and Statistical Manual of uniformly as predicates for the requiring registration for offenders Mental Disorders (4th ed. 1994). registration requirement. convicted for criminal conduct that (3) Subparagraph (E) defines At the conclusion of the definition of would violate 18 U.S.C. § 2241 or ‘‘predatory’’ to mean an act directed at ‘‘criminal offense against a victim who § 2242—the federal ‘‘aggravated sexual a stranger or at a person with whom a is a minor,’’ the Act states that (for abuse’’ and ‘‘sexual abuse’’ offenses—if relationship has been established or purposes of the definition) conduct prosecuted federally. Specifically, promoted for the primary purpose of which is criminal only because of the sections 2241 and 2242 generally victimization. age of the victim shall not be considered proscribe non-consensual ‘‘sexual acts’’ As noted earlier, the Act provides that a criminal offense if the perpetrator is with anyone, ‘‘sexual acts’’ with persons the determination whether an offender 18 years of age or younger. However, below the age of 12, and attempts to is a ‘‘sexually violent predator’’ is to be here again, states are free to go beyond engage in such conduct. ‘‘Sexual act’’ is made by the sentencing court with the the Act’s baseline requirements. The generally defined (in 18 U.S.C. assistance of a board of experts. The Act exemption of certain offenders based on § 2246(2)) to mean an act involving any does not require, or preclude, that all age from the Act’s mandatory degree of genital or anal penetration, persons convicted of a sexually violent 16186 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices offense undergo a determination as to ‘‘front end’’ determinations of ‘‘sexually person who is required to register as a whether they satisfy the definition of violent predator’’ status in this manner, ‘‘sexually violent predator.’’ The ‘‘sexually violent predator.’’ It also does however, it would still be necessary to information that is specifically required not specify under what conditions such condition termination of the registration under subparagraph (B) is the name of an inquiry must be undertaken. A state requirement on a determination by the the person, identifying factors, that wishes to comply with the Act must sentencing court (assisted by a board of anticipated future residence, offense adopt some approach to this issue, but experts) pursuant to section history, and documentation of any the specifics are a matter of state 170101(b)(6)(B) of the Act that the treatment received for the mental discretion. For example, a state might person does not suffer from a mental abnormality or personality disorder of provide that the decision whether to abnormality or personality disorder that the person. The Act does not require seek classification of an offender as a would make the person likely to engage that prison officers or courts conduct an ‘‘sexually violent predator’’ is a matter in a predatory sexually violent offense. investigation to determine the offender’s of judgment for prosecutors or might treatment history. For purposes of Specifications Concerning State provide that a determination of this documenting the treatment received, Registration Systems under the Act— question should be undertaken prison officials and courts may rely on Subsection (b) routinely when a person is convicted of information that is readily available to a sexually violent offense and has a Paragraphs (1) and (2) of subsection them, either from existing records or the prior history of committing such crimes. (b) set out duties for prison officers and offender. In addition, prison officers and Similarly, the Act affords states courts in relation to offenders required courts may comply with the discretion with regard to the timing of to register who are released from prison requirement to document an offender’s the determination whether an offender or who are placed on any form of post- treatment history simply by noting that is a ‘‘sexually violent predator.’’ A state conviction supervised release (‘‘parole, the offender received treatment for a may, but need not, provide that a supervised release, or probation’’). The mental abnormality or personality determination on this issue be made at duties generally include taking disorder. If states want to require the the time of sentencing or as a part of the registration information, informing the inclusion of more detailed information original sentence. It could, for example, offender of registration obligations, and about the offender’s treatment history, be made instead by the responsible transmitting the registration information however, they are free to do so. court when the offender has served a to the designated state law enforcement States that wish to comply with the term of imprisonment and is about to be agency. Act will need to adopt statutes or released from custody. The terms ‘‘prison officer’’ and administrative provisions to establish As with other features of the Jacob- ‘‘court’’ should be understood to the duties specified in subsection (b)(1) Wetterling Act, sexually violent include any officer having functions and ensure that they are carried out. predator provisions only define baseline relating to correctional matters, offender These informational requirements, like requirements for states that wish to supervision, or the execution of other requirements in the Act, only maintain eligibility for full Bryne sentences. Hence, states have the option define minimum standards, and states Formula Grant funding. States are free of assigning responsibility for the initial may require more extensive information to impose these more stringent taking and transmission of registration from offenders. For example, the Act registration requirements on a broader information to probation or parole does not require that information be class of offenders and may use state law officers, as well as to persons who are obtained relating to registering categories or definitions for that prison or court officers in a narrower offenders’ employment, but states may purpose, without contravening the Jacob sense. legitimately wish to know if a convicted Wetterling Act. Likewise, while the Act The specific duties set out in child molester is seeking or has does not require civil commitment of subparagraph (A) of paragraph (1) obtained employment that involves sexually violent predators or other include: (i) informing the person of the responsibility for the care for children. offenders under any circumstances, duty to register and obtaining the As a second example, although it is states may, if they so wish, require civil information required for registration not required under the Act, states are commitment of persons determined to (i.e., address information), (ii) informing strongly encouraged to collect DNA be sexually violent predators under the the person that he must give written samples, where permitted under Act’s standards and procedures in lieu notice of a new address within 10 days applicable legal standards, to be typed of the Act’s heightened registration to a designated state law enforcement and stored in state DNA databases. requirements for such persons. agency if he changes residence, (iii) States also are urged to participate in If a state chooses to subject all persons informing the person that, if he changes the Federal Bureau of Investigation’s convicted of a ‘‘sexually violent residence to another state, he must (FBI’s) Combined DNA Index System offense’’ to the more stringent inform the registration agency in the (CODIS). CODIS is the FBI’s program of registration requirements and standards state he is leaving and must also register technical assistance to state and local provided by the Act for ‘‘sexually the new address with a designated state crime laboratories that allows them to violent predators,’’ then a particularized law enforcement agency in the new state store and match DNA records from determination that an offender is a within 10 days (if the new state has a convicted offenders and crime scene ‘‘sexually violent predator’’ would have registration requirement), (iv) obtaining evidence. The FBI provides CODIS no practical effect and would be fingerprints and a photograph if they software, in addition to user support superfluous. Hence, if a state elected have not already been obtained, and (v) and training, free of charge, to state and this approach, it would not be necessary requiring the person to read and sign a local crime laboratories for performing for the state to have ‘‘sexually violent form stating that these requirements forensic DNA analysis. CODIS permits predator’’ determinations made by the have been explained. DNA examiners in crime laboratories to sentencing court or to constitute boards Beyond these basic requirements, exchange forensic DNA data on an of experts to advise the courts which apply to all registrants, intrastate level and will enable states to concerning such determinations, prior subparagraph (B) of paragraph (1) of exchange DNA records among to the commencement of registration. In subsection (b) requires that additional themselves through the national CODIS a state that eschewed particularized information be obtained in relation to a system. Thus, collection of DNA Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16187 samples and participation in CODIS types of information that the Act the Act. Likewise, states may, if they greatly enhance a state’s capacity to requires from registrants. wish, strengthen the requirements for investigate and solve crimes involving In some states, the responsible prison transmission and return of verification biological evidence, especially serial officer or court sends the initial forms beyond the minimum required by and stranger rapes. registration information both to the the Act, such as requiring registrants to Paragraph (2) of subsection (b) states, designated state law enforcement appear in person at a law enforcement in part, that the officer or court shall agency and to a local law enforcement agency to return verification forms that forward the registration information agency having jurisdiction where the have been sent to their residences. obtained from an offender who is being registrant will reside, as opposed to In some states, the designated state released to a designated state law transmitting the information only to the law enforcement agency does not enforcement agency within three days. state agency. This approach is allowed, directly carry out address verification In some states, the responsible official and in such states the state agency need but develops verification forms which does not wait until the time of release not be required to provide notice to the are sent out and received by local law to obtain registration information but local law enforcement agency because enforcement agencies. This delegation obtains this information some period of such notice would be superfluous in of responsibility for the verification time (e.g., 30 days or 60 days) prior to relation to a local law enforcement function is allowed, so long as the release. Under such a procedure, it is agency that has received the registration procedure specified in the Act for adequate if the registration information information directly from the prison periodic address verification through is forwarded no later than three days officer or court. transmission and return of a verification after release. Likewise, the Act does not preclude a form is complied with, and state The Act leaves states discretion in state procedure under which the prison procedures ensure that the designated designating an agency as the responsible officer or court transmits the initial state law enforcement agency will ‘‘state law enforcement agency,’’ registration information indirectly to the promptly be made aware if the including the means by which such a designated state law enforcement verification process discloses that the designation is made, the timing of such agency by sending it in the first instance registrant is no longer at the registered a designation, and the agencies that may only to a local law enforcement agency address. be designated. States are not required to having jurisdiction where the registrant As indicated above, under paragraph select the state policy as the designated will reside, which is then required to (1)(A) of subsection (b) of the Act, agency and may choose any agency with forward the information to the state registrants are required to submit or functions relating to the enforcement of agency. Procedures of this type will be send change of address information law or protection of public safety. For deemed in compliance, so long as the within 10 days of the change of example, states may designate as the information is submitted or sent to the residence. Paragraph (4) of subsection pertinent ‘‘state law enforcement local law enforcement agency within the (b) requires the designated state law agency’’ a correctional agency, a crime applicable time frame (no later than enforcement agency to notify other statistics bureau or criminal records three days after release), and state interested law enforcement agencies of agency, or a department of public safety. procedures ensure that the local agency a change of address by the registrant. States are encouraged, however, to will forward the information promptly Specifically, when a registrant changes ensure that the designated state law to the state agency. In a state with this residence to a new address, the enforcement agency is a ‘‘criminal type of procedure, having the state designated law enforcement agency justice agency’’ as defined in 28 C.F.R. agency notify a local law enforcement must (i) notify a law enforcement 20.3(c). This will permit the free agency from which it received the initial agency having jurisdiction where the exchange of registration information registration information would be registrant will reside, and (ii) if the between the state registry and the FBI’s superfluous and is not required. registrant moves to a new state, notify records systems. Paragraph (2) of subsection (b) further the law enforcement agency with which Paragraph (2) of subsection (b) also provides that the state law enforcement the offender must register in the new provides that after receiving the agency shall immediately transmit the state (if the new state has a registration registration information from the conviction data and fingerprints to the requirement). responsible officer or court, the FBI. The Act should not be understood Under many state registration designated state law enforcement as requiring duplicative transmission of programs, registrants do not send agency must immediately enter the conviction data and fingerprints to the change of address information directly information into the appropriate state FBI at the time of initial registration if to the designated state law enforcement law enforcement record system and the state already has sent this agency but provide this information to notify a law enforcement agency having information to the FBI (e.g., at the time a local law enforcement agency or other jurisdiction where the person expects to of conviction). intermediary (such as a probation reside. The Act leaves states discretion Paragraph (3) of subsection (b) relates officer), which is then required to concerning the form of notification to to verification of the offender’s address. forward it to the state agency. This the relevant local law enforcement In essence, annual verification of approach is allowed under the Act, so agency. Permissible options include, for address with the designated state law long as the registrant is required to example, written notice, electronic enforcement agency is required for all submit or send change of address transmission of registration information, offenders through the return within 10 information to the intermediary within and provision of on-line access to days of an address verification form sent the time frame specified by the Act (no registration information. The Act also by the agency to the registrant. later than 10 days after the change of leaves states discretion in determining However, the verification intervals are address), and state procedures ensure which state record system is appropriate 90 days (rather than a year) for that the intermediary will forward the for storing registration information. ‘‘sexually violent predators.’’ information promptly to the designated States that wish to achieve compliance As noted earlier, these are baseline state law enforcement agency. If the with the Act, however, may need to requirements which do not bar states intermediary that receives the change of modify state record systems if they are from requiring verification of address at address information in the first instance not currently set up to receive all the shorter intervals than those specified in is a local law enforcement agency 16188 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices having jurisdiction where the registrant a mental abnormality or personality Release of Registration Information— will reside, then the designated state disorder that would make him likely to Subsection (d) law enforcement agency does not have engage in a predatory sexually violent Subsection (d) governs the disclosure to notify that local law enforcement offense. This provision does not require of information collected under a state agency of the change of address because review of the offender’s status at any registration program. This part of the doing so would be superfluous. If, particular interval. For example, a state Act has been amended by the federal however, the intermediary is a local law could set a minimum period of 10 years Megan’s Law (Pub. L. No. 104–145, 110 enforcement agency in the place from before entertaining a request to review Stat. 1345). To comply with the Megan’s which the registrant is moving, the the status of a ‘‘sexually violent Law amendment, a state must establish requirement remains of immediately predator,’’ the same period as the a conforming information release notifying a law enforcement agency general minimum registration period for program that applies to offenders having jurisdiction over the new place required to register on the basis of of residence. Either the state agency or sex offenders under the Act. convictions occurring after the the local law enforcement agency that The termination provision in establishment of the program. States do receives the change of address subparagraph (B) of paragraph (6) only not have to apply new information information in the first instance must affects the requirement that a person release standards to offenders whose provide such notification. register as a ‘‘sexually violent predator’’ Paragraph (5) requires a person convictions predate the establishment of under subparagraph (B) of subsection a conforming program, but the Act does convicted of an offense that requires (a)(1) of the Jacob Wetterling Act. It does registration under the Act who moves to not preclude states from applying such not limit states in imposing more standards retroactively to offenders another state to register within 10 days extensive registration requirements with a designated state law enforcement convicted earlier if they so wish. under their own laws. Moreover, even if The Megan’s Law amendment made agency in his new state of residence (if it has been determined as provided in the new state has a registration two important changes from the prior subparagraph (B) of paragraph (6) that a requirement). This entails law: person is no longer a ‘‘sexually violent responsibilities for states in relation to First, subsection (d) originally out-of-state offenders who move into the predator,’’ this does not relieve the provided that information collected state, as well as personal responsibilities person of the 10-year registration under state registration programs is to for the registrant. To comply with the requirement under other provisions of be treated as private data, subject to Act, a state registration program must the Jacob Wetterling Act which applies limited exceptions. The Megan’s Law require registration by out-of-state to any person convicted of a ‘‘criminal amendment has repealed the general offenders in the Act’s offense categories offense against a victim who is a minor’’ ‘‘private data’’ restriction and has who move into the state and must or a ‘‘sexually violent offense.’’ substituted an affirmative statement (in provide that such offenders are required subsection (d)(1)) that information Criminal Penalties for Registration to register within 10 days of establishing collected under a state registration Violations—Subsection (c) residence in the state. program may be disclosed for any purpose permitted under the law of the Subparagraph (A) of paragraph (6) The Act provides that a person states that the registration requirement state. Hence, under the current law, required to register under a state there is no requirement that registration remains in effect for 10 years. As noted program established pursuant to the Act earlier, states may choose to establish information be treated as private or who knowingly fails to register and keep longer registration periods, but confidential to any greater extent than such registration current shall be subject registration requirements of shorter the state may wish. duration are not consistent with the Act. to criminal penalties. Accordingly, Second, paragraph (2) of subsection Hence, for example, a state program is states that wish to comply with the Act (d), as amended, provides that the not in compliance with the Act if it will need to enact criminal provisions designated state law enforcement allows registration obligations to be covering this situation as part of, or in agency, and any local law enforcement waived or terminated before the end of conjunction with, the legislation agency authorized by the state agency, the 10 year period on such grounds as defining their registration systems, if shall release relevant information that is a finding of rehabilitation, or a finding they have not already done so. necessary to protect the public that registration (or continued The Act neither requires states to concerning a specific person required to registration) would not serve the allow a defense for offenders who were register under the Act. In contrast, the purposes of the state’s registration unaware of their legal registration prior law only provided that information may be released for this provisions. However, if the underlying obligations nor precludes states from purpose. conviction is reversed, vacated, or set doing so. As a practical matter, states aside, or if the registrant is pardoned, The principal objective of this change can ensure that offenders are aware of registration (or continued registration) is is to ensure that registration programs their obligations through consistent not required under the Act. Also, a state will include means for members of the may toll registration requirements compliance with the Act’s provisions public to obtain information concerning during periods in which an offender is for advising offenders of registration registered offenders that is necessary for incarcerated for another offense or requirements at the time of release and the protection of themselves or their civilly committed because it is obtaining a signed acknowledgment that families. In light of this change, a state superfluous to carry out address this information has been provided. If cannot comply with the Act by releasing registration and verification procedures the violation by a registrant consists of registration information only to law while the registrant is confined. failing to return an address verification enforcement agencies, to other Subparagraph (B) of paragraph (6) form within 10 days of receipt, the state governmental or non-governmental states that the registration requirement may allow a defense if the registrant can agencies or organizations, to prospective for ‘‘sexually violent predators’’ under prove that he did not in fact change his employers, or to the victims of the Act terminates upon a determination residence address, as provided in registrants’ offenses. States also cannot that the offender no longer suffers from subsection (b)(3)(A)(iv). comply by having purely permissive or Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16189 discretionary authority for officials to offenders should be covered and what time period will be subject to a release registration information. information will be disclosed mandatory 10% reduction of Byrne Information must be released to concerning these offenders. Formula Grant funding, and any funds members of the public as necessary to States are encouraged to involve that are not allocated to noncomplying protect the public from registered victims and victim advocates in the states will be reallocated to states that offenders. This mandatory disclosure development of their information are in compliance. requirement applies both in relation to release programs and in the process for States are requested to submit offenders required to register because of particularized risk assessments of descriptions of their existing or conviction for ‘‘a criminal offense registrants if the state program involves proposed registration systems for sex against a victim who is a minor’’ and such assessments. offenders to the Bureau of Justice those required to register because of Paragraph (2) of subsection (d) does Assistance as soon as possible. These conviction for a ‘‘sexually violent not deprive states of the authority to submissions will be reviewed to offense.’’ exercise centralized control over the determine the status of state compliance States do, however, retain discretion release of information, or if the state with the Act and to suggest any to make judgments concerning the prefers, to have local agencies make necessary changes to achieve circumstances in which, and the extent determinations concerning public safety compliance before the funding to which, the disclosure of registration needs and information release. reduction goes into effect. information to the public is necessary A proviso at the end of paragraph (2) To maintain eligibility for full Byrne for public safety purposes and to specify states that the identity of the victim of Formula Grant funding following standards and procedures for making an offense that requires registration September 13, 1997—the end of the these determinations. Several different under the Act shall not be released. This three-year implementation period approaches to this issue appear in proviso safeguards victim privacy by provided by the Act—states must existing state laws. prohibiting disclosure of victim identity submit to the Bureau of Justice One type of approach, which is to the general public in the context of Assistance by July 13, 1997, information consistent with the requirements of the information release programs for that shows compliance with the Act or Jacob Wetterling Act as amended, registered offenders. It does not bar the a written explanation of why involves particularized risk assessments dissemination of victim identity compliance cannot be achieved within of registered offenders, with differing information for law enforcement or that period and a description of the degrees of information release based on other governmental purposes (as good faith efforts that justify an the degree of risk. For example, some opposed to disclosure to the public) and extension of time (but not more than states classify registered offenders in does not require that a state limit two years) for achieving compliance. this manner into risk levels, with (1) maintenance of or access to victim States will also be required to submit Registration information limited to law identity information in public records information in subsequent program enforcement uses for offenders in the (such as police and court records) which years concerning any changes in sex ‘‘low risk’’ level, (2) notice to exist independently of the registration offender registration systems that may organizations with a particular safety system. Because the purpose of the affect compliance with the Act. interest (such as schools and other child proviso is to protect the privacy of Dated: March 28, 1997. care entities) for ‘‘medium risk’’ victims, its restriction may be waived at offenders, and (3) notice to neighbors for the victim’s option. Janet Reno, ‘‘high risk’’ offenders. So long as the victim is not identified, Attorney General. States are also free under the Act to the proviso in paragraph (2) does not bar [FR Doc. 97–8702 Filed 4–3–97; 8:45 am] make judgments concerning the degree including information concerning the BILLING CODE 4410±01±M of danger posed by different types of characteristics of the victim and the offenders and to provide information nature and circumstances of the offense disclosure for all offenders (or only in information release programs for Drug Enforcement Administration offenders) with certain characteristics or registered offenders. For example, states [Docket No. 96±24] in certain offense categories. For are not barred by the proviso from example, states may decide to focus releasing such information as victim age Jose R. Castro, M.D.; Denial of particularly on child molesters, in light and gender, a description of the Application of the vulnerability of the potential offender’s conduct, and the geographic victim class, and on recidivists, in light area where the offense occurred. On February 20, 1996, the Deputy of the threat posed by offenders who Assistant Administrator, Office of persistently commit sexual offenses. Immunity for Good Faith Conduct— Diversion Control, Drug Enforcement Another approach consistent with the Subsection (e) Administration (DEA), issued an Order Act is to make information accessible to Subsection (e) states that law to Show Cause to Jose R. Castro, M.D. members of the public on request. This enforcement agencies, employees of law (Respondent), of Alma, Georgia, may be done, for example, by making enforcement agencies, and state officials notifying him of an opportunity to show registration lists open for inspection by shall be immune from liability for good cause as to why DEA should not deny the public, by establishing call-in faith conduct under the Act. his application for a DEA Certificate of numbers which members of the public Registration as a practitioner under 21 can contact to obtain information on the Compliance—Subsection (f) U.S.C. 823(f), for reason that his registration status of identified States have three years from the date registration would be inconsistent with individuals, or by providing such of enactment (i.e., September 13, 1994) the public interest. The Order to Show information in response to written to come into compliance with the Act Cause alleged, in substance, that: (1) requests. As with proactive notification unless the Attorney General grants an From August 1989 through February systems, states that have information- additional two years where a state is 1990, Federal and state agents made 12 on-request systems may make making good faith efforts at undercover visits to Respondent’s office judgments about which registered implementation. States that fail to come and that on each occasion, Respondent offenders or classes of registered into compliance within the specified issued the agents prescriptions for 16190 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices controlled substances for no legitimate handle controlled substances in the Acting Deputy Administrator finds it medical use and outside the scope of State of Georgia; granting the unnecessary to address whether professional practice; (2) On or about Government’s Motion for Summary Respondent’s registration would be January 10, 1991, Respondent was Disposition; and recommending that inconsistent with the public interest as indicted in the United States District Respondent’s application for a DEA alleged in the Order to Show Cause. Court for the Southern District of Certificate of Registration be denied. Judge Bittner also properly granted Georgia and charged with 12 counts of Neither party filed exceptions to her the Government’s Motion for Summary illegal distribution of controlled opinion, and on January 8, 1997, Judge Disposition. Here, the parties did not substances; (3) On May 8, 1991, Bittner transmitted the record of these dispute the fact that Respondent was Respondent was found guilty in the proceedings to the Acting Deputy unauthorized to handle controlled United States District Court for the Administrator. substances in Georgia. Therefore, it is Southern District of Georgia of four The Acting Deputy Administrator has well-settled that when no question of counts of illegal distribution of considered the record in its entirety, material fact is involved, a plenary, controlled substances; (4) Between 1989 and pursuant to 21 CFR 1316.67, hereby adversary administrative proceeding and 1991, Respondent prescribed issues his final order based upon involving evidence and cross- numerous different controlled findings of fact and conclusions of law examination of witnesses is not substances to an individual for no as hereinafter set forth. The Acting obligatory. See Phillip E. Kirk, M.D., 48 legitimate medical reason. On May 17, Deputy Administrator adopts, in full, FR 32,887 (1983), aff’d d sub nom Kirk 1991, the individual died of a drug the Opinion and Recommended Ruling, v. Mullen, 749 F.2d 297 (6th Cir. 1984); overdose after consuming a combination Findings of Fact, Conclusions of Laws NLRB v. International Association of of controlled substances prescribed by and Decision of the Administrative Law Bridge, Structural and Ornamental Respondent. A subsequent autopsy Judge. Ironworkers, AFL–CIO, 549 F.2d 634 revealed that the individual died of The Acting Deputy Administrator (9th Cir. 1977); United States v. multiple drug poisoning, consistent finds that on January 9, 1992, Consolidated Mines & Smelting Co., 44 with the controlled substances that Respondent and the Board entered into F2d 432 (9th Cir. 1971). Respondent prescribed; (5) On a Consent Order whereby Respondent’s Accordingly, the Acting Deputy September 3, 1991, the Composite State license to practice medicine was Administrator of the Drug Enforcement Board of Medical Examiners, State of suspended for five years with all but the Administration, pursuant to the Georgia, ordered the summary first six months suspended and was authority vested in him by 21 U.S.C. 823 suspension of Respondent’s privileges then placed on probation. As part of the and 824, and 28 CFR 0.100(b) and 0.104, to handle controlled substances. Consent Order, Respondent hereby orders that the application Pursuant to the Order, Respondent was relinquished, until further order of the submitted by Jose R. Castro, M.D. for a ordered to surrender DEA Certificate of Board, ‘‘his right to prescribe, DEA Certificate of Registration, be, and Registration AC 9230311. Accordingly, administer, dispense, order or possess it hereby is, denied. This order is on September 10, 1991, Respondent ** * controlled substances.’’ A letter effective May 5, 1997. voluntarily surrendered his DEA from the Board dated October 11, 1996, Dated: March 24, 1997. registration. indicated that Respondent was ‘‘not James S. Milford, authorized to possess or prescribe any On March 22, 1996, Respondent, Acting Deputy Administrator. through counsel, requested a hearing on controlled substance.’’ There is no [FR Doc. 97–8560 Filed 4–3–97; 8:45 am] the issues raised by the Order to Show evidence in the record that the Board Cause, and the matter was docketed has since reinstated Respondent’s BILLING CODE 4410±09±M before Administrative Law Judge Mary controlled substance privileges. Therefore, the Acting Deputy Ellen Bittner. Following prehearing Abbas Helim Demetrios, M.D.; Administrator finds that Respondent is procedures, a hearing was scheduled to Revocation of Registration commence on January 29, 1997. On not currently authorized to handle October 16, 1996, the Government filed controlled substances in the State of On June 24, 1996, the Deputy a Motion for Summary Disposition, Georgia. Assistant Administrator, Office of alleging that Respondent was not The DEA does not have statutory Diversion Control, Drug Enforcement currently authorized to handle authority under the Controlled Administration (DEA) issued an Order controlled substances in the State of Substances Act to issue or maintain a to Show Cause to Abbas Helim Georgia. The Government’s motion was registration if the applicant or registrant Demetrios, M.D., notifying him of an supported by a copy of a Consent Order is without state authority to handle opportunity to show cause as to why entered into by Respondent and the controlled substances in the state in DEA should not revoke his DEA Composite State Board of Medical which he conducts business. 21 U.S.C. Certificate of Registration BD1248029, Examiners for the State of Georgia 802(21), 823(f), and 824(a)(3). This and deny any pending requests for (Board) on January 9, 1992, and a copy prerequisite has been consistently modification of such registration to of a letter from the Board to DEA dated upheld. See Dominick A. Ricci, M.D., 58 change the registered address from October 11, 1996, stating that FR 51,104 (1993); James H. Nickens, California to Georgia, pursuant to 21 Respondent was not authorized to M.D., 57 Fed. Reg. 59,847 (1992); Roy E. U.S.C. 823(f) and 824(a)(3), for reason possess or prescribe controlled Hardman, M.D., 57 FR 49,195 (1992). In that he is not currently authorized to substances. Although provided an the instant case, the record indicates handle controlled substances in the opportunity to do so, Respondent did that Respondent is not currently States of California and Georgia. The not file a response to the Government’s authorized to handle controlled order also notified Dr. Demetrios that motion. substances in the State of Georgia. As should no request for a hearing be filed On November 22, 1996, Judge Bittner Judge Bittner notes, ‘‘[b]ecause within 30 days, his hearing right would issued her Opinion and Recommended Respondent lacks this state authority, he be deemed waived. Ruling, Findings of Fact, Conclusions of is not currently entitled to a DEA The DEA received a signed receipt Law and Decision finding that registration.’’ Because Respondent is not indicating that the order was received Respondent lacked authorization to entitled to a DEA registration, the on July 1, 1996. No request for a hearing Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16191 or any other reply was received by the This prerequisite has been consistently filed exceptions to her Opinion and DEA from Dr. Demetrios or anyone upheld. See Dominick A. Ricci, M.D., 58 Recommended Ruling and on January 9, purporting to represent him in this FR 51,104 (1993); James H. Nickens, 1997, Judge Bittner transmitted the matter. Therefore, the Acting Deputy M.D. 57 FR 59,847 (1992); Roy E. record of these proceedings to the Administrator, finding that: (1) Thirty Hardman, M.D., 57 FR 49,195 (1992). Acting Deputy Administrator. days have passed since the receipt of the Here, it is clear that Dr. Demetrios is The Acting Deputy Administrator has Order to Show Cause, and (2) no request neither currently authorized to practice considered the record in its entirety, for a hearing having been received, medicine nor to dispense controlled and pursuant to 21 CFR 1316.67, hereby concludes that Dr. Demetrios is deemed substances in the States of Georgia and issues his final order based upon to have waived his hearing right. After California. Therefore, he is not entitled findings of fact and conclusions of law considering the relevant material from to a DEA registration in either state. as hereinafter set forth. The Acting the investigative file in this matter, the Accordingly, the Acting Deputy Deputy Administrator adopts, in full, Acting Deputy Administrator now Administrator of the Drug Enforcement the Opinion and Recommended Ruling, enters his final order without a hearing Administration, pursuant to the Findings of Fact, Conclusions of Law pursuant to 21 CFR 1301.54(e) and authority vested in him by 21 U.S.C. 823 and Decision of the Administrative Law 1301.57. and 824 and 28 CFR 0.100(b) and 0.104, Judge. The Acting Deputy The Acting Deputy Administrator hereby orders that DEA Certificate of Administrator’s adoption is in no finds that Dr. Demetrios is currently Registration, BD1248029, previously manner diminished by any recitation of registered with DEA in the State of issued to Abbas Helim Demetrios, M.D., facts, issues and conclusions herein, or California. On June 3, 1993, he be, and it hereby is, revoked. The Acting of any failure to mention a matter of fact submitted a renewal application for his Deputy Administrator further orders or law. DEA registration indicating that he that any pending requests for renewal The Acting Deputy Administrator wanted to change the address to a and/or modification of such registration, finds that Respondent pharmacy is location in Cumming, Georgia. be, and they hereby are, denied. This located in Philadelphia, Pennsylvania The Acting Deputy Administrator order is effective May 5, 1997. and is owned and operated by Tahir further finds that on December 6, 1993, Abdullah, R.Ph., M.D. (hereinafter the Composite State Board of Medical Dated: March 24, 1997. referred to as Dr. Abdullah). Respondent Examiners for the State of Georgia James S. Milford, pharmacy is seeking registration with (Georgia Board) ordered the summary Acting Deputy Adminstrator. DEA in order to handle controlled suspension of Dr. Demetrios’ license to [FR Doc. 97–8559 Filed 4–3–97; 8:45 am] substances. practice medicine in the State of Georgia BILLING CODE 4410±09±M Dr. Abdullah received his pharmacy ‘‘based upon (his) repeated pattern of training in Pakistan and came to the United States in 1973. From inappropriate sexual conduct with his [Docket No. 95±44] patients.’’ Subsequently, on October 5, approximately 1977 until 1985, Dr. 1994, the Georgia Board accepted the Hagura Pharmacy; Denial of Abdullah owned another pharmacy, voluntary surrender of Dr. Demetrios’ Application also named Hagura Pharmacy, at Georgia medical license. Thereafter, on another location in Philadelphia, May 30, 1995, the Medical Board of On May 23, 1995, the Deputy Pennsylvania. In 1979, Dr. Abdullah’s California (California Board) filed an Assistant Administrator, Office of brother came to the United States and Accusation proposing to revoke Dr. Diversion Control, Drug Enforcement worked at Hagura Pharmacy as a clerk. Demetrios’ license to practice medicine Administration (DEA) issued an Order Dr. Abdullah was the pharmacist-in- in the State of California based upon the to Show Cause to Hagura Pharmacy charge at Hagura Pharmacy until action of the Georgia Board, as well as (Respondent) of Philadelphia, approximately 1981 when he began his Dr. Demetrios’ conviction in a Georgia Pennsylvania, notifying it of an medical education outside of the United state court on charges of rape, battery, opportunity to show cause as to why States. Beginning in 1981, Dr. aggravated sexual battery, simple DEA should not deny its application for Abdullah’s brother and the pharmacist- battery, sexual battery, and sexual registration as a retail pharmacy under in-charge handled the daily operations assault by a practitioner of 21 U.S.C. 823(f), for reason that such of the pharmacy and Dr. Abdullah’s psychotherapy against a patient. On registration would be inconsistent with wife paid the bills. In 1983, he returned April 3, 1996, the California Board the public interest. to the United States after the university entered a Default Decision revoking Dr. By letter dated June 22, 1995, the he was attending closed. While he was Demetrios’ California medical license Respondent, through counsel, timely in Philadelphia for the most part from effective May 3, 1996. The Acting filed a request for a hearing, and 1983 through 1985, Dr. Abdullah only Deputy Administrator concludes that following prehearing procedures, a occasionally went to Hagura Pharmacy Dr. Demetrios is not currently hearing was held in Philadelphia, and was not involved in the daily authorized to handle controlled Pennsylvania on March 19, 1996, before operations of the pharmacy. substances in the State of California, Administrative Law Judge Mary Ellen In 1984, unbeknownst to Dr. where he is currently registered with Bittner. At the hearing, both parties Abdullah, his brother attempted to DEA, nor in the State of Georgia, where called a witness to testify and fraudulently assume ownership of he is requesting modification of his DEA introduced documentary evidence. After Hagura Pharmacy. However in this registration. the hearing, both parties submitted proceeding, it is undisputed that Dr. The DEA does not have statutory proposed findings of fact, conclusions of Abdullah remained the owner of Hagura authority under the Controlled law and argument. On December 6, Pharmacy. In February 1985, Dr. Substances Act to issue or maintain a 1996, Judge Bittner issued her Opinion Abdullah decided to sell Hagura registration if the applicant or registrant and Recommended Ruling, Findings of Pharmacy to his brother-in-law and on is without state authority to handle Fact, Conclusions of Law and Decision, February 28, 1995, papers were filed controlled substances in the state in recommending that Respondent’s with the State Board of Pharmacy for a which he conducts his business. 21 application for a DEA Certificate of change of ownership and listing the new U.S.C. 802(21), 823(f), and 824(a)(3). Registration be denied. Neither party name of the pharmacy as Khawaja 16192 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Pharmacy. A new DEA Certificate of no one from either Hagura Pharmacy or application for a DEA Certificate of Registration was issued to Khawaja Khawaja Pharmacy had ever telephoned Registration if he determines that such Pharmacy. However, after only one the doctor attempting to verify the registration would be inconsistent with payment was made by Dr. Abdullah’s prescriptions. The investigators then the public interest. In determining the brother-in-law, Khawaja Pharmacy was telephonically contacted the other public interest, the following factors are closed and the inventory was doctors whose prescriptions were found considered: transferred to another local pharmacy in in the pharmacies’ records to verify (1) The recommendation of the mid-April 1985. Dr. Abdullah testified their legitimacy. The investigators appropriate State licensing board or at the hearing in this matter that he determined that fraudulent professional disciplinary authority. arranged for the sale of Khawaja prescriptions found in the records of the (2) The applicant’s experience in Pharmacy. There is some question as to pharmacies accounted for 89% of the dispensing, or conducting research with whether Dr. Abdullah’s brother-in-law approximately 174,000 dosage units of respect to controlled substances. was ever the actual owner of Khawaja the audited Schedule II substances (3) The applicant’s conviction record Pharmacy, however in light of the dispensed during the audit period, and under Federal or State laws relating to findings below, the Acting Deputy approximately 90% of the fraudulent the manufacture, distribution, or Administrator finds it unnecessary to prescriptions were filled when the dispensing of controlled substances. resolve this issue. pharmacy was operating under the (4) Compliance with applicable State, In 1985, DEA initiated an name Hagura Pharmacy. For purposes of Federal, or local laws relating to investigation of the controlled substance the audit, the investigators included the controlled substances. handling practices of Hagura Pharmacy fraudulent prescriptions in the total (5) Such other conduct which may and Khawaja Pharmacy. This amount of controlled substances threaten the public health and safety. investigation was initiated after DEA dispensed during the audit period. These factors are to be considered in the had received a number of reports from However, if those prescriptions were disjunctive; the Deputy Administrator Hagura Pharmacy’s suppliers that the excluded, the results of the audit would may rely on any one or a combination pharmacy was purchasing an excessive be significantly different, with the of factors and may give each factor the amount of Schedule II controlled shortage being larger and the overages weight he deems appropriate in substances. On May 23, 1985, DEA turning into shortages. determining whether a registration investigators attempted to serve an Dr. Abdullah graduated from medical should be revoked or an application for administrative inspection warrant at school in 1987, however as of the date registration be denied. See Henry J. then-Khawaja Pharmacy. After of the hearing he was not licensed to Schwarz, Jr., M.D., Docket No. 88–42, 54 discovering that the pharmacy was practice medicine in the United States. FR 16,422 (1989). closed, the investigators contacted Dr. Dr. Abdullah testified that if Regarding factor one, there is no Abdullah at the suggestion of the State Respondent pharmacy is issued a DEA evidence in the record that any state Board of Pharmacy. Dr. Abdullah and Certificate of Registration, he will be the licensing authority has taken any action the pharmacist-in-charge of Hagura managing pharmacist, and if he becomes against Dr. Abdullah or any of his Pharmacy and Khawaja Pharmacy met licensed to practice medicine in the pharmacies. As Judge Bittner noted with the investigators at a building United States, he will close Respondent ‘‘that although state licensure is a where the controlled substance records pharmacy and surrender its DEA prerequisite for a DEA registration, it is of the pharmacies were maintained. Dr. registration. not the only factor to be considered.’’ Abdullah signed, as the owner of the The Government contends that As to factor two, the Acting Deputy pharmacy, a receipt for the records Respondent’s registration would be Administrator finds that while DEA turned over to the investigators. inconsistent with the public interest registers pharmacies, a pharmacy can The investigators then conducted an based upon the fact that Hagura only act through its officers and agents. accountability audit of Schedule II Pharmacy, while owned by Dr. As Judge Bittner stated in her opinion, controlled substances using the records Abdullah, did not keep accurate ‘‘[i]t is well settled that the Deputy supplied by Dr. Abdullah, as well as controlled substance dispensing records Administrator may revoke, suspend, or information provided by Hagura as evidenced by the results of the deny a registration to a pharmacy ‘based Pharmacy’s suppliers and the inventory accountability audit and the significant on the controlled substance handling conducted by the pharmacist-in-charge number of fraudulent prescriptions that practices of the pharmacy’s owner, of Khawaja Pharmacy upon its closure. were filled by the pharmacy. The majority shareholder, officer, managing The audit covered the period January 3, Government also contends that pharmacist or other key employee.’ ’’ 1984 through April 17, 1985, and Respondent’s registration would not be Cumberland Prescription Center, Inc., revealed a shortage of 2,359 dosage in the public interest because Dr. 52 FR 37,224 (1987). Therefore, in units of Ritalin 20 mg. and overages of Abdullah blames others for the determining Respondent’s experience in the other audited substances. problems of Hagura Pharmacy, even dispensing controlled substances, the In conducting the audit, the though he was the owner. Acting Deputy Administrator considers investigators noted that at least 85% of Respondent contends that although he the experience of Respondent’s owner/ the approximately 2,400 Schedule II was the owner, he was not involved in pharmacist, Dr. Abdullah. prescriptions filled during the audit the daily operations of Hagura It is undisputed that Dr. Abdullah was period were issued by one of three Pharmacy from 1981 through 1985, and the owner of Hagura Pharmacy from doctors, all of whose offices were therefore, was not involved in any 1977 until at least the end of February located at least ten miles from Hagura alleged wrongdoing. Respondent further 1985. The DEA audit of Hagura Pharmacy. The investigators argues that any alleged wrongdoing Pharmacy/Khawaja Pharmacy, covering interviewed those doctors and showed occurred prior to 1985 and therefore, the period January 3, 1984 through them copies of the prescriptions. Each DEA’s proposed denial of its application April 17, 1985, revealed that more than of the doctors stated that the names on for registration is barred by the doctrine 2,400 fraudulent prescriptions were the prescriptions were not patients of of laches and/or principles of equity. filed by the pharmacy. Further the doctor, that it was not the doctor’s Pursuant to 21 U.S.C. 823(f), the investigation revealed that three signature on the prescriptions, and that Deputy Administrator may deny an doctors’ names appeared as the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16193 prescribing physicians on As to factor five, Judge Bittner found Accordingly, the Acting Deputy approximately 85% of these relevant ‘‘* * * Dr. Abdullah’s lack of Administrator of the Drug Enforcement prescriptions and these doctors candor regarding the ownership of the Administration, pursuant to the indicated that the prescriptions were pharmacy. * * *’’ Dr. Abdullah authority vested in him by 21 U.S.C. 823 forged and that no one from Hagura maintained that he was not the owner and 824 and 28 CFR 0.100(b) and 0.104, Pharmacy had ever contacted them to of Khawaja Pharmacy and therefore hereby orders that the application for verify the legitimacy of the should not be held accountable for the registration as a retail pharmacy prescriptions. Of the forged actions of that pharmacy. Judge Bittner submitted by Hagura Pharmacy, be, and prescriptions, 90% were filled prior to found this argument ‘‘at best it hereby is, denied. This order is February 28, 1985, while the pharmacy disingenuous’’ in light of the fact that effective May 5, 1997. was operating as Hagura Pharmacy with Dr. Abdullah arranged for the transfer of Dated: March 27, 1997. Dr. Abdullah as the owner. Dr. Abdullah the inventory to another pharmacy upon James S. Milford, contends that he should not be held Khawaja Pharmacy’s closure, an that his Acting Deputy Administrator. accountable for the forged prescriptions brother-in-law had only made one that were filled at Hagura Pharmacy payment to Dr. Abdullah at the time the [FR Doc. 97–8558 Filed 4–3–97; 8:45 am] since he was not actively involved in pharmacy closed. But like Judge Bittner, BILLING CODE 4410±09±M the operation of the pharmacy at that the Acting Deputy Administrator finds time. it unnecessary to assess the impact of Romeo J. Perez, M.D.; Revocation of Like Judge Bittner, the Acting Deputy this finding on the outcome of this Registration Administrator rejects Dr. Abdullah’s proceeding, since 90% of the fraudulent contention. As the owner, he was prescriptions were filed by Hagura On July 31, 1996, the Deputy ultimately responsible for what Pharmacy while, without dispute, it was Assistant Administrator, Office of occurred at his pharmacy regardless of owned by Dr. Abdullah. Diversion Control, Drug Enforcement whether he was involved in its daily Respondent asserts that the alleged Administration (DEA) issued an Order operation or not. It was Dr. Abdullah’s wrongdoing occurred more than ten to Show Cause to Romeo J. Perez, M.D., responsibility to ensure that adequate years ago and therefore the doctrine of of St. Louis, Missouri, notifying him of safeguards were in place to prevent the laches or other principles of equity an opportunity to show cause as to why diversion of controlled substances. should preclude the denial of DEA should not revoke his DEA However, with Dr. Abdullah as the Respondent’s application for Certificate of Registration AP1596014, owner, Hagura Pharmacy dispensed registration. DEA has consistently held and deny any pending applications for thousands of dosage units of highly that while passage of time since the renewal of such registration as a abused Schedule II controlled wrongdoing is not, by itself, dispositive, practitioner pursuant to 21 U.S.C. 823(f) substances pursuant to fraudulent it is a consideration in assessing prescriptions. The Acting Deputy and 824(a)(3), for reason that he is not whether Respondent’s registration Administrator is troubled by Dr. currently authorized to handle would be inconsistent with the public Abdullah’s continued assertions that he controlled substances in the State of interest. See Norman Alpert, M.D., 58 should not be held accountable for the Missouri. The order also notified Dr. FR 67,420 (1993). In Alpert, the then- improper dispensing that occurred at Perez that should no request for a Acting Administrator found significant, Hagura Pharmacy. Dr. Abdullah’s failure hearing be filed within 30 days, his to accept responsibility, does not bode ‘‘Respondent’s recognition of the serious hearing right would be deemed waived. well for Respondent’s future handling of abuse of his privileges as a DEA The DEA received a signed receipt controlled substances. registrant, and his sincere regret for his indicating that the order was received Regarding factors three and four, there actions.’’ Here however, Dr. Abdullah on August 2, 1996. No request for a is no evidence that Respondent or Dr. maintains that he has done nothing hearing or any other reply was received Abdullah had ever been convicted wrong and that he should not be held by the DEA from Dr. Perez or anyone under state or Federal laws relating to accountable for the actions of Hagura purporting to represent him in this controlled substances. However, there is Pharmacy, even though he was its matter. Therefore, the Acting Deputy evidence that Hagura Pharmacy, while owner. Administrator, finding that: (1) Thirty owned by Dr. Abdullah, failed to Judge Bittner concluded that ‘‘[i]t is days have passed since the receipt of the comply with Federal laws relating to clear from Dr. Abdullah’s suggestion Order to Show Cause, and (2) no request controlled substances. Hagura Pharmacy that he should not be held accountable for a hearing having been received, failed to maintain complete and for the wrongdoing of his pharmacy concludes that Dr. Perez is deemed to accurate records of controlled during his absence that he does not have waived his hearing right. After substances in violation of 21 U.S.C. 827 appreciate or accept the responsibilities considering the relevant material from and 21 CFR 1304.21, as evidenced by that accompany owning a DEA the investigative file in this matter, the the accountability audit results. In registrant. In addition, there is no Acting Deputy Administrator now addition, Hagura Pharmacy dispensed persuasive evidence in the record to enters his final order without a hearing controlled substances without a valid indicate that Dr. Abdullah would be a pursuant to 21 CFR 1301.54(e) and prescription in violation of 21 U.S.C. more conscientious owner the second 1301.57. 829 and 21 CFR 1306.04. Dr. Abdullah time around.’’ The Acting Deputy The Acting Deputy Administrator again argues that he should not be held Administrator agrees. Dr. Abdullah has finds that, by order effective August 24, accountable for Hagura Pharmacy’s exhibited a complete disregard for the 1994, the State Board of Healing Arts, failure to comply with Federal laws tremendous responsibilities that State of Missouri (Board) revoked Dr. since he was not an active participant in accompany the issuance of a DEA Perez’ license to practice medicine. The the operation of the pharmacy. registration. Therefore, the Acting Board further ordered that Dr. Perez However, for the reasons discussed in Deputy Administrator concludes that it shall not apply for reinstatement of his conjunction with factor two, the Acting would be inconsistent with the public license for at least two years and one Deputy Administrator rejects this interest to grant Respondent pharmacy a day from the effective date. The Acting argument. DEA registration. Deputy Administrator finds that there is 16194 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices no evidence in the record that Dr. Perez based on the information obtained by ‘‘General Wage Determinations Issued has sought reinstatement of his medical the Department of Labor from its study Under The Davis-Bacon And Related license. By letter dated September 6, of local wage conditions and data made Acts,’’ shall be the minimum paid by 1994, the Missouri Bureau of Narcotics available from other sources. They contractors and subcontractors to and Dangerous Drugs informed Dr. specify the basic hourly wage rates and laborers and mechanics. Perez that his Missouri controlled fringe benefits which are determined to Any person, organization, or substances registration terminated when be prevailing for the described classes of governmental agency having an interest his license to practice medicine was laborers and mechanics employed on in the rates determined as prevailing is revoked, and therefore he is not construction projects of a similar encouraged to submit wage rate and authorized to handle controlled character and in the localities specified fringe benefit information for substances in Missouri. The Acting therein. consideration by the Department. Deputy Administrator concludes, based The determinations in these decisions Further information and self- upon the record before him, that Dr. of prevailing rates and fringe benefits explanatory forms for the purpose of Perez is not currently authorized to have been made in accordance with 29 submitting this data may be obtained by handle controlled substances in CFR Part 1, by authority of the Secretary writing to the U.S. Department of Labor, Missouri. of Labor pursuant to the provisions of Employment Standards Administration, The DEA does not have statutory the Davis-Bacon Act of March 3, 1931, Wage and Hour Division, Division of authority under the Controlled as amended (46 Stat. 1494, as amended, Wage Determinations, 200 Constitution Substances Act to issue or maintain a 40 U.S.C. 276a) and of other Federal Avenue, NW., Room S–3014, registration if the applicant or registrant statutes referred to in 29 CFR Part 1, Washington, DC 20210. is without state authority to handle Appendix, as well as such additional New General Wage Determination controlled substances in the state in statutes as may from time to time be Decisions which he conducts his business. 21 enacted containing provisions for the U.S.C. 802(21), 823(f), and 824(a)(3). payment of wages determined to be The number of the decisions added to This prerequisite has been consistently prevailing by the Secretary of Labor in the Government Printing Office upheld. See Dominick A. Ricci, M.D., 58 accordance with the Davis-Bacon Act. document entitled ‘‘General Wage FR 51,104 (1993); James H. Nickens, The prevailing rates and fringe benefits Determinations Issued Under the Davis- M.D. 57 FR 59,847 (1992); Roy E. determined in these decisions shall, in Bacon and related Acts’’ are listed by Hardman, M.D., 57 FR 49,195 (1992). accordance with the provisions of the Volume and States: Here, it is clear that Dr. Perez is neither foregoing statutes, constitute the Volume III: currently authorized to practice minimum wages payable on Federal and North Carolina medicine nor to dispense controlled federally assisted construction projects NC970053 (April 04, 1997) substances in the State of Missouri. to laborers and mechanics of the Therefore, Dr. Perez is not currently specified classes engaged on contract Volume VI: entitled to a DEA registration. work of the character and in the Utah Accordingly, the Acting Deputy localities described therein. UT970035 (April 04, 1997) Administrator of the Drug Enforcement Good cause is hereby found for not UT970036 (April 04, 1997) Administration, pursuant to the utilizing notice and public comment Modifications to General Wage authority vested in him by 21 U.S.C. 823 procedure thereon prior to the issuance Determination Decisions and 824 and 28 CFR 0.100(b) and 0.104, of these determinations as prescribed in hereby orders that DEA Certificate of 5 U.S.C. 553 and not providing for delay The number of decisions listed in the Registration, AP1596014, previously in the effective date as prescribed in that Government Printing Office document issued to Romeo J. Perez, M.D., be, and section, because the necessity to issue entitled ‘‘General Wage Determinations it hereby is, revoked. The Acting Deputy current construction industry wage Issued Under the Davis-Bacon and Administrator further orders that any determinations frequently and in large Related Acts’’ being modified are listed pending applications for renewal of volume causes procedures to be by Volume and State. Dates of such registration be, and they hereby impractical and contrary to the public publication in the Federal Register are are, denied. This order is effective May interest. in parentheses following the decisions 5, 1997. General wage determination being modified. Dated: March 24, 1997. decisions, and modifications and Volume I: supersedes decisions thereto, contain no James S. Milford, Connecticut expiration dates and are effective from Acting Deputy Administrator. CT970001 (Feb. 14, 1997) their date of notice in the Federal CT970003 (Feb. 14, 1997) [FR Doc. 97–8561 Filed 4–3–97; 8:45 am] Register, or on the date written notice CT970004 (Feb. 14, 1997) BILLING CODE 4410±09±M is received by the agency, whichever is Massachusetts earlier. These decisions are to be used MA970002 (Feb. 14, 1997) in accordance with the provisions of 29 MA970003 (Feb. 14, 1997) DEPARTMENT OF LABOR MA970015 (Feb. 14, 1997) CFR Parts 1 and 5. Accordingly, the MA970020 (Feb. 14, 1997) applicable decision, together with any Employment Standards Maine modifications issued, must be made a ME970005 (Feb. 14, 1997) Administration; Wage and Hour part of every contract for performance of ME970007 (Feb. 14, 1997) Division the described work within the ME970010 (Feb. 14, 1997) geographic area indicated as required by ME970022 (Feb. 14, 1997) Minimum Wages for Federal and ME970032 (Feb. 14, 1997) Federally Assisted Construction; an applicable Federal prevailing wage law and 29 CFR Part 5. The wage rates ME970037 (Feb. 14, 1997) General Wage Determination Decisions New York and fringe benefits, notice of which is NY970005 (Feb. 14, 1997) General wage determination decisions published herein, and which are NY970022 (Feb. 14, 1997) of the Secretary of Labor are issued in contained in the Government Printing NY970072 (Feb. 14, 1997) accordance with applicable law and are Office (GPO) document entitled Rhode Island Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16195

RI970001 (Feb. 14, 1997) IN970016 (Feb. 14, 1997) CA970044 (Feb. 14, 1997) IN970017 (Feb. 14, 1997) CA970045 (Feb. 14, 1997) Volume II: IN970018 (Feb. 14, 1997) CA970046 (Feb. 14, 1997) District of Col IN979920 (Feb. 14, 1997) CA970047 (Feb. 14, 1997) DC970001 (Feb. 14, 1997) IN970021 (Feb. 14, 1997) CA970048 (Feb. 14, 1997) DC970003 (Feb. 14, 1997) IN970059 (Feb. 14, 1997) CA970049 (Feb. 14, 1997) Delaware IN970060 (Feb. 14, 1997) Hawaii DE970001 (Feb. 14, 1997) IN970061 (Feb. 14, 1997) HI970001 (Feb. 14, 1997) DE970002 (Feb. 14, 1997) Michigan Nevada DE970004 (Feb. 14, 1997) MI970062 (Feb. 14, 1997) NV970001 (Feb. 14, 1997) DE970005 (Feb. 14, 1997) MI970065 (Feb. 14, 1997) DE970009 (Feb. 14, 1997) General Wage Determination Maryland Volume V: Publication MD970001 (Feb. 14, 1997) Kansas MD970002 (Feb. 14, 1997) KA970006 (Feb. 14, 1997) General wage determinations issued MD970006 (Feb. 14, 1997) KA970008 (Feb. 14, 1997) under the Davis-Bacon and related Acts, MD970010 (Feb. 14, 1997) KA970010 (Feb. 14, 1997) including those noted above, may be MD970013 (Feb. 14, 1997) KA970012 (Feb. 14, 1997) found in the Government Printing Office MD970021 (Feb. 14, 1997) KA970013 (Feb. 14, 1997) (GPO) document entitled ‘‘General Wage MD970030 (Feb. 14, 1997) KA970015 (Feb. 14, 1997) Determinations Issued Under The Davis- MD970032 (Feb. 14, 1997) KA970016 (Feb. 14, 1997) Bacon and Related Acts.’’ This MD970034 (Feb. 14, 1997) Missouri MD970035 (Feb. 14, 1997) MO970001 (Feb. 14, 1997) publication is available at each of the 50 MD970036 (Feb. 14, 1997) MO970002 (Feb. 14, 1997) Regional Government Depository MD970037 (Feb. 14, 1997) MO970003 (Feb. 14, 1997) Libraries and many of the 1,400 MD970040 (Feb. 14, 1997) MO970004 (Feb. 14, 1997) Government Depository Libraries across MD970042 (Feb. 14, 1997) MO970005 (Feb. 14, 1997) the country. MD970047 (Feb. 14, 1997) MO970008 (Feb. 14, 1997) The general wage determinations MD970048 (Feb. 14, 1997) MO970011 (Feb. 14, 1997) issued under the Davis-Bacon and MD970050 (Feb. 14, 1997) MO970015 (Feb. 14, 1997) related Acts are available electronically MD970053 (Feb. 14, 1997) MO970047 (Feb. 14, 1997) by subscription to the FedWorld MD970056 (Feb. 14, 1997) MO970049 (Feb. 14, 1997) MD970058 (Feb. 14, 1997) MO970050 (Feb. 14, 1997) Bulletin Board System of the National Pennsylvania MO970052 (Feb. 14, 1997) Technical Information Service (NTIS) of PA970005 (Feb. 14, 1997) MO970056 (Feb. 14, 1997) the U.S. Department of Commerce at Virginia MO970060 (Feb. 14, 1997) (703) 487–4630. VA970014 (Feb. 14, 1997) MO970064 (Feb. 14, 1997) Hard-copy subscriptions may be VA970015 (Feb. 14, 1997) MO970065 (Feb. 14, 1997) purchased from: Superintendent of VA970018 (Feb. 14, 1997) MO970070 (Feb. 14, 1997) Documents, U.S. Government Printing VA970023 (Feb. 14, 1997) MO970071 (Feb. 14, 1997) Office, Washington, DC 20402, (202) VA970031 (Feb. 14, 1997) MO970073 (Feb. 14, 1997) VA970035 (Feb. 14, 1997) Nebraska 512–1800. VA970036 (Feb. 14, 1997) NE970009 (Feb. 14, 1997) When ordering hard-copy VA970054 (Feb. 14, 1997) Texas subscription(s), be sure to specify the VA970055 (Feb. 14, 1997) TX970019 (Feb. 14, 1997) State(s) of interest, since subscriptions VA970064 (Feb. 14, 1997) Volume VI: may be ordered for any or all of the VA970068 (Feb. 14, 1997) seven separate volumes arranged by VA970080 (Feb. 14, 1997) Colorado State. Subscriptions include an annual CO970001 (Feb. 14, 1997) VA970085 (Feb. 14, 1997) edition (issued in January or February) VA970088 (Feb. 14, 1997) Utah VA970104 (Feb. 14, 1997) UT970004 (Feb. 14, 1997) which includes all current general wage VA970105 (Feb. 14, 1997) UT970017 (Feb. 14, 1997) determinations for the States covered by VA970107 (Feb. 14, 1997) UT970018 (Feb. 14, 1997) each volume. Throughout the remainder West Virginia Wyoming of the year, regular weekly updates are WV970002 (Feb. 14, 1997) WY970008 (Feb. 14, 1997) distributed to subscribers. WV970003 (Feb. 14, 1997) WY970023 (Feb. 14, 1997) Signed at Washington, DC, this 28th day of Volume III: Volume VII: March 1997. Alabama California Margaret Washington, AL970003 (Feb. 14, 1997) CA970001 (Feb. 14, 1997) Chief, Branch of Construction Wage Florida CA970002 (Feb. 14, 1997) Determinations. CA970004 (Feb. 14, 1997) FL970009 (Feb. 14, 1997) [FR Doc. 97–8337 Filed 4–3–97; 8:45 am] FL970010 (Feb. 14, 1997) CA970028 (Feb. 14, 1997) FL970015 (Feb. 14, 1997) CA970029 (Feb. 14, 1997) BILLING CODE 4510±27±M North Carolina CA970030 (Feb. 14, 1997) NC970047 (Feb. 14, 1997) CA970031 (Feb. 14, 1997) Tennessee CA970032 (Feb. 14, 1997) NATIONAL SCIENCE FOUNDATION TN970001 (Feb. 14, 1997) CA970034 (Feb. 14, 1997) CA970035 (Feb. 14, 1997) Volume IV: CA970036 (Feb. 14, 1997) Advisory Panel for Biomolecular Indiana CA970037 (Feb. 14, 1997) Processes; Notice of Meeting IN970001 (Feb. 14, 1997) CA970038 (Feb. 14, 1997) In accordance with the Federal IN970002 (Feb. 14, 1997) CA970039 (Feb. 14, 1997) IN970003 (Feb. 14, 1997) CA970040 (Feb. 14, 1997) Advisory Committee Act (Pub. L. 92– IN970004 (Feb. 14, 1997) CA970041 (Feb. 14, 1997) 463, as amended), the National Science IN970005 (Feb. 14, 1997) CA970042 (Feb. 14, 1997) Foundation announces the following IN970006 (Feb. 14, 1997) CA970043 (Feb. 14, 1997) meeting. 16196 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Name: Advisory Panel for Biomolecular Place: National Science Foundation, U.S.C. 552b(c), (4) and (6) of the Government Processes—(5138)(Panel A). Stafford Place, 4201 Wilson Boulevard, Room in the Sunshine Act. Date and Time: Wednesday, Thursday, and 970, Arlington, Virginia 22230. Dated: April 1, 1997. Friday, April 23, 24, & 25, 1997, 9:00 a.m.– Contact Person: Dr. Fernanda Ferreira, Linda Allen-Benton, 5:00 p.m. Program Director for Linguistics, National Deputy Director, Division of Human Resource Place: National Science Foundation, 4201 Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230. Telephone: (703) 306– Management, Acting Committee Management Wilson Boulevard, Room 310, Arlington, VA Officer. 22230. 1731. Type of Meeting: Closed. Agenda: To review and evaluate linguistics [FR Doc. 97–8680 Filed 4–3–97; 8:45 am] Contact Person: Dr. Rona Hirschberg, proposals as part of the selection process for BILLING CODE 7555±01±M Program Director and Dr. Susan Porter awards. Ridley, Assistant Program Manager for Type of Meeting: Part-open: April 25, 1997, Metabolic Biochemistry, Room 655, National 9:00 a.m.–12:00 p.m.; Closed session: April Special Emphasis Panel in Design, Science Foundation, 4201 Wilson Boulevard, 23, 1997, 9:00 a.m.–5:00 p.m.; April 24, 1997, Manufacture, and Industrial 9:00 a.m.–5:00 p.m.; April 25, 1997, 1:00 Arlington, Virginia 22230. (703) 306–1441. Innovation; Notice of Meeting p.m.–5:00 p.m. Purpose of Meeting: To provide advice and recommendations concerning proposals Purpose of Meetings: To provide advice In accordance with the Federal submitted to NSF for financial support. and recommendations concerning support for Advisory Committee Act (Pub. L. 92– Agenda: To review and evaluate research research proposals submitted to the National 463, as amended), the National Science proposals submitted to the Metabolic Science Foundation for financial support. Foundation announces the following Biochemistry Program as part of the selection Reason for Closing: The proposals being meeting: reviewed include information of a process for awards. proprietary or confidential nature, including Name: Special Emphasis Panel in Design, Reason for Closing: The proposals being technical information; financial data, such as Manufacture, and Industrial Innovation— reviewed include information of a salaries, and personal information (1194). proprietary or confidential nature, including concerning individuals associated with the Date and Time: April 24, 1997, 8:30 a.m.– technical information; financial data, such as proposals. These matters are exempt under 5 5:00 p.m. salaries and personal information concerning U.S.C. 552b(c)(4) and (6) of the Government Place: Room 530, National Science individuals associated with the proposals. in the Sunshine Act. Foundation, 4201 Wilson Boulevard, These matters are exempt under 5 U.S.C. Dated April 1, 1997. Arlington, VA 22230. 552b(c), (4) and (6) of the Government in the Type of Meeting: Closed. Sunshine Act. Linda Allen-Benton, Contact Person: Dr. George Hazelrigg, Dated: April 1, 1997. Deputy Director, Division of Human Resource Program Director, Design and Integration Management, Acting Committee Management Engineering, Dr. Georgia-Ann Klutke, Linda Allen-Benton, Officer. Program Director, Operations and Deputy Director, Division of Human Resource [FR Doc. 97–8686 Filed 4–3–97; 8:45 am] Productions Systems, Dr. Ming Leu, Program Management, Acting Committee Management BILLING CODE 7555±01±M Director, Manufacturing, Machines, and Officer. Equipment, Dr. Jay Lee, Program Director, [FR Doc. 97–8688 Filed 4–3–97; 8:45 am] Materials Processing and Manufacturing, BILLING CODE 7555±01±M (703) 306–1330, National Science Special Emphasis Panel in Cross Foundation, 4201 Wilson Boulevard, Disciplinary Activities; Notice of Arlington, VA 22230. Meeting Advisory Panel for Cognitive, Purpose of Meeting: To provide advice and recommendations concerning proposals Psychological & Language Sciences; In accordance with the Federal submitted to the NSF for financial support. Notice of Meetings Advisory Committee Act (Pub. L. 92– Agenda: To review and evaluate Grant 463, as amended), the National Science Opportunities for Academic Liaison with In accordance with the Federal Foundation announces the following Industry (GOALI) proposals as part of the Advisory Committee Act (Pub. L. 92– meeting. selection process for awards. Reason for Closing: The proposals being 463, as amended), the National Science Name: Special Emphasis Panel in Cross reviewed include information of a Foundation (NSF) announces the Disciplinary Activities (1193). proprietary or confidential nature, including following two meetings. Date and time: April 22, 1997; 8:30 am to technical information, financial data such as 5:00 pm. Name: Advisory Panel for Cognitive, salaries, and personal information Place: National Science Foundation, 4201 Psychological and Language Sciences concerning individuals associated with the Wilson Boulevard, Arlington, VA 22230, (#1758). proposals. These matters are exempt under 5 Rooms 1120 and 1150. Date & Time: May 14–16, 1997; 9:00 a.m.– U.S.C. 552b(c) (4) and (6) of the Government Contact Person(s): John C. Cherniavsky and 5:00 p.m. in the Sunshine Act. Caroline Wardle, Head and Program Director, Place: National Science Foundation, CISE/OCDA, Room 1160, National Science Dated: April 1, 1997. Stafford Place, 4201 Wilson Boulevard, Room Foundation, 4201 Wilson Boulevard, Linda Allen-Benton, 1235, Arlington, VA 22230. Arlington, VA 22230. Deputy Director, Division of Human Resource Contact Person: Dr. Steven J. Breckler, Type of Meeting: Closed. Program Director for Social Psychology, Management, Acting Committee Management Telephone: (703) 306–1980. Officer. National Science Foundation, 4201 Wilson Purpose of Meeting: To provide advice and [FR Doc. 97–8685 Filed 4–3–97; 8:45 am] Boulevard, Suite 995, Arlington, VA 22230. recommendations concerning proposals Telephone: (703) 306–1731. submitted to NSF for financial support. BILLING CODE 7555±01±M Agenda: To review and evaluate social Agenda: To review and evaluate CISE psychology proposals as part of the selection Educational Innovation proposals as part of process for awards. the selection process for awards. Advisory Panel for Developmental Type of Meeting: Part-open: May 15, 1997, Reason for Closing: The proposals being Mechanisms; Notice of Meeting 1:00 p.m.–2:00 p.m.; Closed session: May 14, reviewed include information of a 1997, 9:00 a.m.–5:00 p.m.; May 15, 1997, 9:00 proprietary or confidential nature, including In Accordance with the Federal a.m.–12:00 p.m. and 2:00 p.m.–5:00 p.m.; technical information; financial data, such as Advisory Committee Act (Pub. L. 92– May 16, 1997, 9:00 a.m.–5:00 p.m. salaries; and personal information 463, as amended), the National Science Date & Time: April 23–25, 1997, 9:00 a.m.– concerning individuals associated with the Foundation announces the following 5:00 p.m. proposals. These matters are exempt under 5 meeting. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16197

Name: Advisory Panel for Developmental Reason for Closing: The proposals being Name: Advisory Panel for Integrative Plant Mechanisms (1141). reviewed include information of a Biology (1160). Date and Time: April 23–25, 1997, 8:30 am proprietary or confidential nature, including Date and Time: April 21–23, 1997, 8:30 am to 5:00 pm. technical information; financial data, such as to 5:00 pm. Place: Room 390, National Science salaries; and personal information Place: Room 380, National Science Foundation, 4201 Wilson Boulevard, concerning individuals associated with the Foundation, 4201 Wilson Boulevard, Arlington, VA. proposals. These matters are exempt under 5 Arlington, Virginia. Type of Meeting: Part-open. U.S.C. 552b(c), (4) and (6) of the Government Type of Meeting: Part-Open. Contact Person: Dr. Judith Plesset and Dr. in the Sunshine Act. Contact Person: Dr. Hans J. Bohnert, Lynn Zimmerman, Program Directors, Dated: April 1, 1997. Program Director, Integrative Plant Biology, Developmental Mechanisms, Room 685, National Science Foundation, 4201 Wilson National Science Foundation, 4201 Wilson Linda Allen-Benton, Boulevard, Arlington, Virginia, 22230. Boulevard, Arlington, Virginia 22230 Deputy Director, Division of Human Resource Telephone: (703) 306–1422. Telephone: (703) 306–1417. Management, Acting Committee Management Minutes: May be obtained from the contact Purpose of Meeting: To provide advice and Officer. person listed above. recommendations concerning proposals [FR Doc. 97–8684 Filed 4–3–97; 8:45 am] Purpose of Meeting: To provide advice and recommendations concerning proposals submitted to NSF for financial support. BILLING CODE 7555±01±M Minutes: May be obtained from the contact submitted to NSF for financial support. persons listed above. Agenda: To review and evaluate Integrative Agenda: Open Session: April 24, 1997; Plant Biology proposals as part of the Special Emphasis Panel for selection process for awards. Open Session: 2:00 p.m. to 2:30 p.m., to discuss goals and Geosciences; Notice of Meeting assessment procedures. Closed Session: April April 22, 1997, 3:00 pm to 4:00 pm—To 23, 1997; 9:00 a.m. to 5:00 p.m.; April 24, discuss research trends and opportunities in In accordance with the Federal Integrative Plant Biology. Closed Session: 1997; 8:30 a.m. to 12:00 p.m. and 1:00 p.m. Advisory Committee Act (Pub. L. 92– to 2:00 p.m. and 2:30 p.m. to 5:00 p.m., April April 21, 1997, 8:30 am to 5:30 pm; April 22, 25, 1997; 8:30 a.m. to 12:00 p.m.; To review 463, as amended), the National Science 1997, 8:30 am to 3:00 pm and 4:00 pm to 5:30 and evaluate Developmental Mechanism Foundation announces the following pm; April 23, 1997, 8:30 am to 2:00 pm. To proposals as part of the selection process for meeting: review and evaluate Integrative Plant Biology proposals as part of the selection process for awards. Name: Special Emphasis Panel for awards. Reason for Closing: The proposals being Geosciences (1756). Reason for Closing: The proposals being reviewed include information of a Date: April 21 & 22, 1997. reviewed include information of a proprietary or confidential nature, including Time: 8:00 a.m. to 6:00 p.m. each day. proprietary or confidential nature, including technical information; financial data, such as Place: Room 770, National Science technical information; financial data, such as salaries; and personal information Foundation, 4201 Wilson Boulevard, salaries; and personal information concerning individuals associated with the Arlington, VA 22230. concerning individuals associated with the proposals. These matters are exempt under 5  Type of Meeting: Closed. proposals. These matters are exempt under 5 U.S.C. 552b , (4) and (6) of the Government Contact Person: Ms. Robin Reichlin, U.S.C. 552b(c), (4) and (6) of the Government in the Sunshine Act. Program Director, Geophysics Program, in the Sunshine Act. Dated: April 1, 1997. Division of Earth Sciences, Room 785, Dated: April 1, 1997. National Science Foundation, Arlington, VA Linda Allen-Benton, Linda Allen-Benton, Deputy Director, Division of Human Resource 22230, (703) 306–1556. Purpose of Meeting: To provide advice and Deputy Director, Division of Human Resource Management, Acting Committee Management Management, Acting Committee Management Officer. recommendations concerning proposals submitted to NSF for financial support. Officer. [FR Doc. 97–8678 Filed 4–3–97; 8:45 am] Agenda: To review and evaluate [FR Doc. 97–8677 Filed 4–3–97; 8:45 am] BILLING CODE 7555±01±M cooperative studies of the earths deep BILLING CODE 7555±01±M interior proposals as part of the selection process for awards. Proposal Review Panel in Earth Reason for Closing: The proposals being Advisory Panel for Neuroscience; Sciences; Notice of Meeting reviewed include information of a Notice of Meeting proprietary or confidential nature, including In accordance with the Federal technical information; financial data, such as In accordance with the Federal Advisory Committee Act (Pub. L. 92– salaries; and personal information Advisory Committee Act (Pub. L. 92– 463, as amended), the National Science concerning individuals associated with 463, as amended), the National Science Foundation announces the following proposals. These matters are exempt under 5 Foundation announces the following meeting. U.S.C. 552b(c), (4) and (6) of the Government meeting: in the Sunshine Act. Name: Proposal Review Panel in Earth Dated: April 1, 1997. Name: Advisory Panel for Neuroscience Sciences (1569). (1158). Date and Time: April 24–25, 1997; 8:30 Linda Allen-Benton, Date and Time: April 21 & 22, 1997; 9:00 a.m. to 5:00 p.m. Deputy Director, Division of Human a.m. to 6:00 p.m. Place: Argonne National Laboratory, Resources Management, Acting Committee Place: Room 340, 4201 Wilson Boulevard, Building 434A, 9700 South Cass Avenue, Management Officer. Arlington, VA. Argonne, IL 60439. [FR Doc. 97–8681 Filed 4–3–97; 8:45 am] Type of Meeting: Part-Open. Type of Meeting: Closed. BILLING CODE 7555±01±M Contact Persons: Dr. Raymon Glantz, Contact Person: Dr. Daniel F. Weill, Program Director, Neuronal and Glial Program Director, Instrumentation & Mechanisms; Division of Integrative Biology Facilities Program, Division of Earth Sciences Advisory Panel for Physiology and and Neuroscience, Room 685, National Room 785, National Science Foundation, Science Foundation, 4201 Wilson Blvd., Arlington, VA 22230, (703) 306–1558. Ethology; Notice of Meeting Arlington, VA 22230; Telephone: (703) 306– Purpose of Meeting: To provide advice and In accordance with the Federal 1423. recommendations concerning proposals Purpose of Meeting: To provide advice and submitted to NSF for financial support. Advisory Committee Act (Pub. L. 92– recommendations concerning proposals Agenda: To review and evaluate 463, as amended), the National Science submitted to NSF for financial support. Instrumentation & Facilities proposals as part Foundation announces the following Minutes: May be obtained from the contact of the selection process for awards. meeting. persons listed above. 16198 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Agenda: Open Session: April 21, 1997; Special Emphasis Panel in Social, Excellence in Teacher Preparation (CETP) 4:00 p.m. to 5:00 p.m., To discuss research Behavioral, and Economic Sciences; panel meeting. trends and opportunities in Neuronal and Notice of Meeting Reason for Closing: The proposals being Glial Mechanisms. Closed Session: April 21, reviewed includes information of a 1997; 9:00 a.m. to 4:00 p.m., 5:00 p.m. to 6:00 In accordance with the Federal proprietary or confidential nature, including p.m.; April 22, 1997, 9:00 a.m. to 6:00 p.m.; Advisory Committee Act (Pub. L. 92– technical information, financial data, such as salaries; and personal information To review and evaluate Neuronal and Glial 463, as amended), the National Science concerning individuals associated with the Mechanisms proposals as part of the Foundation announces the following proposals. These matters are within selection process for awards. meeting: exemptions (4) and (6) of 5 U.S.C. 552b(c), Reason for Closing: The proposals being Name: Special Emphasis Panel in Social, the Government in the Sunshine Act. reviewed include information of a Behavioral, and Economics Sciences (#1766). Dated: April 1, 1997. proprietary or confidential nature, including Date and Time: April 24–25, 1997, 9:00 Linda Allen-Benton, technical information; financial data, such as a.m. to 6:00 p.m. Deputy Director, Division of Human Resource salaries; and personal information Place: Room 340 NSF, 4201 Wilson Management, Acting Committee Management Boulevard, Arlington, VA. concerning individuals associated with the Officer. proposals. These matters are exempt under 5 Type of Meeting: Closed. [FR Doc. 97–8683 Filed 4–3–97; 8:45 am] U.S.C. 552b(c) (4) and (6) of the Government Contact Person: Dr. Keith Crank, Program in the Sunshine Act. Director for Statistics & Probability Program, BILLING CODE 7555±01±M Division of Mathematical Sciences, National Dated: April 1, 1997. Science Foundation, Room 1025, 4201 Linda Allen-Benton, Wilson Boulevard, Arlington, VA. NUCLEAR REGULATORY Telephone: (703) 306–1885. Deputy Director, Division of Human Resource COMMISSION Management, Acting Committee Management Purpose of Meeting: To provide advice and Officer. recommendations concerning the scope of proposals submitted to NSF for financial Agency Information Collection [FR Doc. 97–8679 Filed 4–3–97; 8:45 am] support in Methods and Models for Activities: Submission for OMB BILLING CODE 7555±01±M Integrated Assessment. Review; Comment Request Agenda: To review and evaluate proposal scope and criteria as part of the selection AGENCY: U. S. Nuclear Regulatory Advisory Committee for Polar process for awards. Commission (NRC). Programs; Notice of Meeting Reason for Closing: The information being ACTION: Notice of the OMB review of reviewed includes information of a information collection and solicitation proprietary or confidential nature, including of public comment. In accordance with the Federal technical information; financial data, such as Advisory Committee Act (Pub. L. 92– salaries; and personal information SUMMARY: The NRC has recently 463, as amended), the National Science concerning individuals associated with the submitted to OMB for review the Foundation announces the following proposals. These matters are exempt under 5 following proposal for the collection of meeting. U.S.C. 552b(c), (4) and (6) of the Government information under the provisions of the in the Sunshine Act. Name and Committee Code: Advisory Paperwork Reduction Act of 1995 (44 Dated: April 1, 1997. Committee for Polar Program, (1130). U.S.C. Chapter 35). The NRC hereby Date and Time: April 22, 1997; 8:30 am to Linda Allen-Benton, informs potential respondents that an 5:00 pm; April 23, 1997, 8:30 am to 5:00 pm; Deputy Director, Division of Human Resource agency may not conduct or sponsor, and April 24, 1997, 8:30 am to 12:00 noon. Management, Acting Committee Management that a person is not required to respond Officer. Place: National Science Foundation, 4201 to, a collection of information unless it Wilson Blvd., Room 370, Arlington, VA [FR Doc. 97–8687 Filed 4–3–97; 8:45 am] displays a currently valid OMB control 22230. BILLING CODE 7555±01±M number. Type of Meeting: Open. 1. Type of submission, new, revision, Contact Person: Dr. Jane Dionne, National or extension: Revision. Science Foundation, 4201 Wilson Boulevard, Special Emphasis Panel in 2. The title of the information Arlington, VA 22230. Telephone: (703) 306– Undergraduate Education; Notice of collection: 10 CFR Part 140, ‘‘Financial 1033. Meeting Protection Requirements and Indemnity Minutes: May be obtained from the contact In accordance with the Federal Agreements’’. person listed above. 3. The form number if applicable: Not Purpose of Meeting: Serves to provide Advisory Committee Act (Pub. L. 92– 463, as amended), the National Science applicable. expert advice to the Office of Polar Programs. 4. How often the collection is Agenda: The OPP Advisory Committee Foundation announces the following meeting: required: As necessary in order for NRC will meet to discuss the following agenda to meet its responsibilities called for in topics—integrating research and education, Name: Special Emphasis Panel in Sections 170 and 193 of the Atomic Science and Technology Center plans, U.S. Undergraduate Education (1214). Energy Act of 1954, as amended (the Coast Guard/NSF interactions, NSF merit Date and Time: April 23, 1997 (8:00 a.m. to 5:00 p.m.) Act). review process, USAP External Panel Report, 5. Who will be required or asked to Government Performance and Results Act, Place: Rooms 320, 340 & 360, NSF, 4201 report: Licensees authorized to operate Committee of Visitors development, and Wilson Boulevard, Arlington, VA 22230. International Council of Scientific Unions/ Type of Meeting: Closed. reactor facilities in accordance with 10 Contact Person: Dr. Terry Woodin, Program Polar Research Board (PRB). CFR Part 50 and licensees authorized to Director, Division of Undergraduate construct and operate a uranium Dated: April 1, 1997. Education (DUE), Room 835, National enrichment facility in accordance with Linda Allen-Benton, Science Foundation, 4201 Wilson Blvd., 10 CFR Parts 40 and 70. Deputy Director, Division of Human Resource Arlington, VA 22230, Tel: (703) 306–1666. Purpose of Meeting: To provide advice and 6. An estimate of the number of Management, Acting Committee Management responses: Approximately one each for Officer. recommendations concerning proposals submitted to NSF for financial support. 180 licensees. [FR Doc. 97–8682 Filed 4–3–97; 8:45 am] Agenda: To review and evaluate proposals 7. The estimated number of annual BILLING CODE 7555±01±M submitted to the NSF Collaboratives for respondents: Approximately 180. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16199

8. An estimate of the total number of Agency Information Collection A copy of the submittal may be hours needed annually to complete the Activities: Submission for OMB viewed free of charge at the NRC Public requirement or request: 853. Review; Comment Request Document Room, 2120 L Street, NW 9. An indication of whether Section (Lower Level), Washington, DC. AGENCY: U. S. Nuclear Regulatory Members of the public who are in the 3507(d), Pub. L. 104–13 applies: Not Commission (NRC). applicable. Washington, DC, area can access the ACTION: Notice of the OMB review of submittal via modem on the Public 10. Abstract: 10 CFR Part 140 of the information collection and solicitation Document Room Bulletin Board (NRC’s NRC’s regulations specifies information of public comment. Advance Copy Document Library) NRC required to be submitted by licensees to subsystem at FedWorld, 703–321–3339. SUMMARY: The NRC has recently enable the NRC to assess (a) the Members of the public who are located submitted to OMB for review the financial protection required of outside of the Washington, DC, area can following proposal for the collection of licensees and for the indemnification dial FedWorld, 1–800–303–9672, or use information under the provisions of the and limitation of liability of certain the FedWorld Internet address: Paperwork Reduction Act of 1995 (44 licensees and other persons pursuant to fedworld.gov (Telnet). The document U.S.C. Chapter 35). The NRC hereby Section 170 of the Atomic Energy Act of will be available on the bulletin board informs potential respondents that an 1954, as amended, and (b) the liability for 30 days after the signature date of agency may not conduct or sponsor, and insurance required of uranium this notice. If assistance is needed in that a person is not required to respond accessing the document, please contact enrichment facility licensees pursuant to, a collection of information unless it the FedWorld help desk at 703–487– to Section 193 of the Atomic Energy Act displays a currently valid OMB control 4608. Additional assistance in locating of 1954, amended. number. the document is available from the NRC A copy of the submittal may be 1. Type of submission, new, revision, Public Document Room, nationally at 1– viewed free of charge at the NRC Public or extension: Extension. 800–397–4209, or within the Document Room, 2120 L Street, NW 2. The title of the information collection: 10 CFR Part 62—‘‘Criteria Washington, DC, area at 202 634–3273. (Lower Level), Washington, DC. Comments and questions should be and Procedures for Emergency Access to Members of the public who are in the directed to the OMB reviewer by May 5, Non-Federal and Regional Low-Level Washington, DC, area can access the 1997: Edward Michlovich, Office of Waste Disposal Facilities’’. submittal via modem on the Public Information and Regulatory Affairs 3. The form number if applicable: Not Document Room Bulletin Board (NRC’s (3150–0143), NEOB–10202, Office of applicable. Advanced Copy Document Library) NRC Management and Budget, Washington, subsystem at FedWorld, 703–321–3339. 4. How often the collection is required: Requests are made only when DC 20503. Members of the public who are located Comments can also be submitted by access to a non-federal low-level waste outside of the Washington, DC, area can telephone at (202) 395–3084. dial FedWorld, 1–800–303–9672, or use disposal facility is denied, which results The NRC Clearance Officer is Brenda the FedWorld Internet address: in a threat to public health and safety Jo. Shelton, (301) 415–7233. and/or common defense and security. fedworld.gov (Telnet). The document Dated at Rockville, Maryland, this 26th day will be available on the bulletin board 5. Who will be required or asked to report: Generators of low-level waste of March 1997. for 30 days after the signature date of who are denied access to a non-federal For the Nuclear Regulatory Commission. this notice. If assistance is needed in low-level waste facility. Gerald F. Cranford, accessing the document, please contact 6. An estimate of the number of Designated Senior Official for Information the FedWorld help desk at 703–487– responses: No requests for emergency Resources Management. 4608. Additional assistance in locating access have been received to date. It is [FR Doc. 97–8648 Filed 4–3–97; 8:45 am] the document is available from the NRC estimated that up to one request would BILLING CODE 7590±01±P Public Document Room, nationally at 1– be made every three years. 800–397–4209, or within the 7. The estimated number of annual Washington, DC, area at 202–634–3273. respondents: No requests for emergency [Docket Nos. 50±272 and 50±311] Comments and questions should be access have been received to date. It is Public Service Electric and Gas directed to the OMB reviewer by May 5, estimated that up to one request would Company Salem Nuclear Generating 1997: Edward Michlovich, Office of be made every three years. Station, Units 1 and 2; Notice of Information and Regulatory Affairs 8. An estimate of the total number of Consideration of Issuance of (3150–0039), NEOB–10202, Office of hours needed annually to complete the Amendment to Facility Operating Management and Budget, Washington, requirement or request: 680 hours once License and Opportunity for a Hearing DC 20503. every three years, or 227 annually. 9. An indication of whether Section The U.S. Nuclear Regulatory Comments can also be submitted by 3507(d), Pub. L. 104–13 applies: Not Commission (the Commission) is telephone at (202) 395–3084. applicable. considering issuance of an amendment The NRC Clearance Officer is Brenda 10. Abstract: 10 CFR Part 62 sets out to Facility Operating License No. DPR– Jo. Shelton, (301) 415–7233. the information which will have to be 70 and DPR–75, issued to Public Service Dated at Rockville, Maryland, this 26th day provided to the NRC by any low-level Electric and Gas Company (the licensee) of March 1997. waste generator seeking emergency for operation of the Salem Nuclear access to an operating low-level waste For the Nuclear Regulatory Commission. Generating Station, Units 1 and 2, disposal facility. The information is located in Salem County, New Jersey. Gerald F. Cranford, required to allow NRC to determine if The proposed amendment would Designated Senior Official for Information denial of disposal constitutes a serious revise Technical Specification (TS) Resources Management. and immediate threat to public health 3.4.3, ‘‘Relief Valves,’’ for Salem Unit 1, [FR Doc. 97–8647 Filed 4–3–97; 8:45 am] and safety or common defense and and TS 3.4.5, ‘‘Relief Valves,’’ for Salem BILLING CODE 7590±01±P security. Unit 2, to ensure that the automatic 16200 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices capability of the power operated relief the proceeding; and (3) the possible during the last 10 days of the notice valves (PORVs) to relieve pressure is effect of any order which may be period, it is requested that the petitioner maintained when these valves are entered in the proceeding on the promptly so inform the Commission by isolated by closure of the block valves. petitioner’s interest. The petition should a toll-free telephone call to Western A March 14, 1997, supplement to the also identify the specific aspect(s) of the Union at 1–(800) 248–5100 (in Missouri application proposes additional actions subject matter of the proceeding as to 1–(800) 342–6700). The Western Union to eliminate single failure which petitioner wishes to intervene. operator should be given Datagram vulnerabilities in the PORV circuitry Any person who has filed a petition for Identification Number N1023 and the and upgrade the circuitry to qualify the leave to intervene or who has been following message addressed to John F. PORVs as safety related. admitted as a party may amend the Stolz, Director, Project Directorate I–2: This notice supersedes the previous petition without requesting leave of the petitioner’s name and telephone notice dated February 3, 1997, Board up to 15 days prior to the first published in the Federal Register on prehearing conference scheduled in the number; date petition was mailed; plant February 7, 1997 (62 FR 5861) in its proceeding, but such an amended name; and publication date and page entirety. petition must satisfy the specificity number of this Federal Register notice. Before issuance of the proposed requirements described above. A copy of the petition should also be license amendment, the Commission Not later than 15 days prior to the first sent to the Office of the General will have made findings required by the prehearing conference scheduled in the Counsel, U.S. Nuclear Regulatory Atomic Energy Act of 1954, as amended proceeding, a petitioner shall file a Commission, Washington, DC 20555– (the Act) and the Commission’s supplement to the petition to intervene 0001, and to Mark J. Wetterhahn, regulations. which must include a list of the Esquire, Winston and Strawn, 1400 L By May 5, 1997, the licensee may file contentions which are sought to be Street, NW., Washington, DC 20005– a request for a hearing with respect to litigated in the matter. Each contention 3502, attorney for the licensee. issuance of the amendment to the must consist of a specific statement of Nontimely filings of petitions for subject facility operating license and the issue of law or fact to be raised or leave to intervene, amended petitions, any person whose interest may be controverted. In addition, the petitioner affected by this proceeding and who shall provide a brief explanation of the supplemental petitions and/or requests wishes to participate as a party in the bases of the contention and a concise for hearing will not be entertained proceeding must file a written request statement of the alleged facts or expert absent a determination by the for a hearing and a petition for leave to opinion which support the contention Commission, the presiding officer or the intervene. Requests for a hearing and a and on which the petitioner intends to presiding Atomic Safety and Licensing petition for leave to intervene shall be rely in proving the contention at the Board that the petition and/or request filed in accordance with the hearing. The petitioner must also should be granted based upon a Commission’s ‘‘Rules of Practice for provide references to those specific balancing of the factors specified in 10 Domestic Licensing Proceedings’’ in 10 sources and documents of which the CFR 2.714(a)(1)(i)–(v) and 2.714(d). CFR Part 2. Interested persons should petitioner is aware and on which the If a request for a hearing is received, consult a current copy of 10 CFR 2.714 petitioner intends to rely to establish the Commission’s staff may issue the which is available at the Commission’s those facts or expert opinion. Petitioner amendment after it completes its Public Document Room, the Gelman must provide sufficient information to technical review and prior to the Building, 2120 L Street, NW., show that a genuine dispute exists with completion of any required hearing if it Washington, DC, and at the local public the applicant on a material issue of law document room located at the Salem or fact. Contentions shall be limited to publishes a further notice for public Free Public Library, 112 West matters within the scope of the comment of its proposed finding of no Broadway, Salem, New Jersey. If a amendment under consideration. The significant hazards consideration in request for a hearing or petition for contention must be one which, if accordance with 10 CFR 50.91 and leave to intervene is filed by the above proven, would entitle the petitioner to 50.92. date, the Commission or an Atomic relief. A petitioner who fails to file such For further details with respect to this Safety and Licensing Board, designated a supplement which satisfies these action, see the application for by the Commission or by the Chairman requirements with respect to at least one amendment dated January 31, 1997, as of the Atomic Safety and Licensing contention will not be permitted to supplemented March 14, 1997, which is Board Panel, will rule on the request participate as a party. available for public inspection at the and/or petition; and the Secretary or the Those permitted to intervene become Commission’s Public Document Room, designated Atomic Safety and Licensing parties to the proceeding, subject to any the Gelman Building, 2120 L Street, Board will issue a notice of hearing or limitations in the order granting leave to NW., Washington, DC, and at the local an appropriate order. intervene, and have the opportunity to As required by 10 CFR 2.714, a participate fully in the conduct of the public document room located at the petition for leave to intervene shall set hearing, including the opportunity to Salem Free Public Library, 112 West forth with particularity the interest of present evidence and cross-examine Broadway, Salem, New Jersey. the petitioner in the proceeding, and witnesses. Dated at Rockville, Maryland, this 31st day how that interest may be affected by the A request for a hearing or a petition of March 1997. results of the proceeding. The petition for leave to intervene must be filed with For the Nuclear Regulatory Commission. should specifically explain the reasons the Secretary of the Commission, U.S. John F. Stolz, why intervention should be permitted Nuclear Regulatory Commission, with particular reference to the Washington, DC 20555–0001, Attention: Director, Project Directorate I–2, Division of following factors: (1) The nature of the Docketing and Services Branch, or may Reactor Projects—I/II, Office of Nuclear petitioner’s right under the Act to be be delivered to the Commission’s Public Reactor Regulation. made a party to the proceeding; (2) the Document Room, the Gelman Building, [FR Doc. 97–8649 Filed 4–3–97; 8:45 am] nature and extent of the petitioner’s 2120 L Street, NW., Washington, DC, by BILLING CODE 7590±01±P property, financial, or other interest in the above date. Where petitions are filed Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16201

[Docket No. 50±348] or different kind of accident from any Flint North, 11545 Rockville Pike, accident previously evaluated. Rockville, Maryland, from 7:30 a.m. to Southern Nuclear Operating Company, The reduction in the dose equivalent 4:15 p.m. Federal workdays. Copies of Inc.; Notice of Consideration of iodine limits, both steady-state and written comments received may be Issuance of Amendment to Facility transient, will not create the possibility examined at the NRC Public Document Operating License, Proposed No of a new or different kind of accident Room, the Gelman Building, 2120 L Significant Hazards Consideration from any accident previously evaluated Street, NW., Washington, DC. Determination, and Opportunity for a since no physical changes to the plant The filing of requests for hearing and Hearing are being made. The accidents of petitions for leave to intervene is The U.S. Nuclear Regulatory concern continue to be those that have discussed below. Commission (the Commission) is previously been analyzed. By May 5, 1997 the licensee may file considering issuance of an amendment 3. The proposed license amendment a request for a hearing with respect to to Facility Operating License No. NPF– does not involve a significant reduction issuance of the amendment to the 2 issued to the Southern Nuclear in a margin of safety. subject facility operating license and Operating Company, Inc. (the licensee), The calculated potential radiological any person whose interest may be for operation of the Joseph M. Farley consequences from the main steam line affected by this proceeding and who Nuclear Plant, Unit No. 1, located in break accident remain within the wishes to participate as a party in the Houston County, Alabama. regulatory exposure guidelines. proceeding must file a written request The proposed amendment would Consequently, there is no reduction in for a hearing and a petition for leave to modify Technical Specification 3/4.4.9, any margin of safety. intervene. Requests for a hearing and a ‘‘Specific Activity,’’ and the associated The NRC staff has reviewed the petition for leave to intervene shall be Bases to reduce the limit associated licensee’s analysis and, based on this filed in accordance with the with dose equivalent iodine-131. The review, it appears that the three Commission’s ‘‘Rules of Practice for steady-state dose equivalent iodine-131 standards of 10 CFR 50.92(c) are Domestic Licensing Proceedings’’ in 10 limit would be reduced by 40 percent satisfied. Therefore, the NRC staff CFR Part 2. Interested persons should from .5 [micro]Curie/gram to .3 proposes to determine that the consult a current copy of 10 CFR 2.714 [micro]Curie/gram. amendment request involves no which is available at the Commission’s Before issuance of the proposed significant hazards consideration. Public Document Room, the Gelman license amendment, the Commission The Commission is seeking public Building, 2120 L Street, NW., will have made findings required by the comments on this proposed Washington, DC, and at the local public Atomic Energy Act of 1954, as amended determination. Any comments received document room located at the Houston- (the Act) and the Commission’s within 30 days after the date of Love Memorial Library, 212 W. regulations. publication of this notice will be Burdeshaw Street, Post Office Box 1369, The Commission has made a considered in making any final Dothan, Alabama. If a request for a proposed determination that the determination. hearing or petition for leave to intervene amendment request involves no Normally, the Commission will not is filed by the above date, the significant hazards consideration. Under issue the amendment until the Commission or an Atomic Safety and the Commission’s regulations in 10 CFR expiration of the 30-day notice period. Licensing Board, designated by the 50.92, this means that operation of the However, should circumstances change Commission or by the Chairman of the facility in accordance with the proposed during the notice period such that Atomic Safety and Licensing Board amendment would not (1) Involve a failure to act in a timely way would Panel, will rule on the request and/or significant increase in the probability or result, for example, in derating or petition; and the Secretary or the consequences of an accident previously shutdown of the facility, the designated Atomic Safety and Licensing evaluated; or (2) create the possibility of Commission may issue the license Board will issue a notice of hearing or a new or different kind of accident from amendment before the expiration of the an appropriate order. any accident previously evaluated; or 30-day notice period, provided that its As required by 10 CFR 2.714, a (3) involve a significant reduction in a final determination is that the petition for leave to intervene shall set margin of safety. As required by 10 CFR amendment involves no significant forth with particularity the interest of 50.91(a), the licensee has provided its hazards consideration. The final the petitioner in the proceeding, and analysis of the issue of no significant determination will consider all public how that interest may be affected by the hazards consideration, which is and State comments received. Should results of the proceeding. The petition presented below: the Commission take this action, it will should specifically explain the reasons 1. Operation of Farley Unit 1 in publish in the Federal Register a notice why intervention should be permitted accordance with the proposed license of issuance and provide for opportunity with particular reference to the amendment does not involve a for a hearing after issuance. The following factors: (1) The nature of the significant increase in the probability or Commission expects that the need to petitioner’s right under the Act to be consequences of an accident previously take this action will occur very made party to the proceeding; (2) the evaluated. infrequently. nature and extent of the petitioner’s The reduction in the dose equivalent Written comments may be submitted property, financial, or other interest in iodine limits, both steady-state and by mail to the Chief, Rules Review and the proceeding; and (3) the possible transient, will not increase the Directives Branch, Division of Freedom effect of any order which may be probability of any accident evaluated of Information and Publications entered in the proceeding on the since no physical changes to the plant Services, Office of Administration, U.S. petitioner’s interest. The petition should are being made. The consequences of Nuclear Regulatory Commission, also identify the specific aspect(s) of the any accident previously evaluated will Washington, DC 20555–0001, and subject matter of the proceeding as to not be increased since the activity of the should cite the publication date and which petitioner wishes to intervene. primary coolant is being decreased. page number of this Federal Register Any person who has filed a petition for 2. The proposed license amendment notice. Written comments may also be leave to intervene or who has been [does] not create the possibility of a new delivered to Room 6D22, Two White admitted as a party may amend the 16202 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices petition without requesting leave of the A request for a hearing or a petition [Docket No. 72±16 (50±338, ±339] Board up to 15 days prior to the first for leave to intervene must be filed with prehearing conference scheduled in the the Secretary of the Commission, U.S. Virginia Electric and Power Company, Notice of Issuance of Environmental proceeding, but such an amended Nuclear Regulatory Commission, petition must satisfy the specificity Assessment and Finding of No Washington, DC 20555–0001, Attention: Significant Impact for the Independent requirements described above. Docketing and Services Branch, or may Not later than 15 days prior to the first Spent Fuel Storage Installation at the be delivered to the Commission’s Public North Anna Nuclear Power Station prehearing conference scheduled in the Document Room, the Gelman Building, proceeding, a petitioner shall file a 2120 L Street, NW., Washington, DC, by The U.S. Nuclear Regulatory supplement to the petition to intervene the above date. Where petitions are filed Commission (the Commission) is which must include a list of the during the last 10 days of the notice considering issuance of a materials contentions which are sought to be period, it is requested that the petitioner license under the requirements of Title litigated in the matter. Each contention promptly so inform the Commission by 10 of the Code of Federal Regulations, must consist of a specific statement of a toll-free telephone call to Western Part 72 (10 CFR Part 72), to Virginia the issue of law or fact to be raised or Union at 1-(800) 248–5100 (in Missouri Electric and Power Company (the controverted. In addition, the petitioner applicant), authorizing the construction 1-(800) 342–6700). The Western Union shall provide a brief explanation of the and operation of an independent spent operator should be given Datagram bases of the contention and a concise fuel storage installation (ISFSI) located statement of the alleged facts or expert Identification Number N1023 and the at its North Anna Nuclear Power Station opinion which support the contention following message addressed to Herbert in Louisa County, Virginia. The and on which the petitioner intends to N. Berkow: petitioner’s name and Commission’s Spent Fuel Project Office rely in proving the contention at the telephone number, date petition was in the Office of Nuclear Material Safety hearing. The petitioner must also mailed, plant name, and publication and Safeguards has completed its provide references to those specific date and page number of this Federal environmental review in support of the sources and documents of which the Register notice. A copy of the petition issuance of a materials license. The petitioner is aware and on which the should also be sent to the Office of the ‘‘Environmental Assessment (EA) petitioner intends to rely to establish General Counsel, U.S. Nuclear Related to Construction and Operation those facts or expert opinion. Petitioner Regulatory Commission, Washington, of the North Anna Independent Spent must provide sufficient information to DC 20555–0001, and to M. Stanford Fuel Storage Installation’’ has been show that a genuine dispute exists with Blanton, Esq., Balch and Bingham, Post issued in accordance with 10 CFR Part the applicant on a material issue of law Office Box 306, 1710 Sixth Avenue 51. or fact. Contentions shall be limited to North, Birmingham, Alabama 35201, Summary of Environmental Assessment matters within the scope of the attorney for the licensee. amendment under consideration. The Description of the Proposed Nontimely filings of petitions for contention must be one which, if leave to intervene, amended petitions, Action: The proposed licensing action proven, would entitle the petitioner to would authorize the applicant to relief. A petitioner who fails to file such supplemental petitions and/or requests for hearing will not be entertained construct and operate a dry storage a supplement which satisfies these ISFSI. The ISFSI is to provide additional requirements with respect to at least one absent a determination by the Commission, the presiding officer or the interim storage of spent nuclear fuel contention will not be permitted to generated from the continued operation participate as a party. presiding Atomic Safety and Licensing Board that the petition and/or request of the North Anna Nuclear Power Those permitted to intervene become Station Units 1 and 2. The proposed should be granted based upon a parties to the proceeding, subject to any ISFSI spent fuel cask is designed by balancing of the factors specified in 10 limitations in the order granting leave to Transnuclear, Inc. The spent fuel cask, intervene, and have the opportunity to CFR 2.714(a)(1)(i)-(v) and 2.714(d). referred to as TN–32, is a smooth right- participate fully in the conduct of the For further details with respect to this circular cylinder of multi-wall hearing, including the opportunity to action, see the application for construction that holds a fuel basket present evidence and cross-examine amendment dated March 23, 1997, designed to accommodate 32 witnesses. which is available for public inspection pressurized water reactor (PWR) fuel If a hearing is requested, the at the Commission’s Public Document assemblies. The license for an ISFSI Commission will make a final Room, the Gelman Building, 2120 L under 10 CFR Part 72 is issued for 20 determination on the issue of no Street, NW., Washington, DC, and at the years, but the applicant may apply to significant hazards consideration. The local public document room located at the Commission to renew the license, if final determination will serve to decide the Houston-Love Memorial Library, necessary, prior to its expiration. when the hearing is held. 212 W. Burdeshaw Street, Post Office If the final determination is that the Need for the Proposed Action Box 1369, Dothan, Alabama. amendment request involves no The spent fuel assemblies generated significant hazards consideration, the Dated at Rockville, Maryland, this 31st day from the operation of the North Anna Commission may issue the amendment of March 1997. Nuclear Power Station Units 1 and 2 are and make it immediately effective, For the Nuclear Regulatory Commission. currently stored onsite in a spent fuel notwithstanding the request for a Jacob I. Zimmerman, pool. Under the current refueling hearing. Any hearing held would take Project Manager, Project Directorate II–2, schedule for the North Anna Units 1 place after issuance of the amendment. Division of Reactor Projects—I/II, Office of and 2, the capability to discharge an If the final determination is that the Nuclear Reactor Regulation. entire core (157 assemblies) will be lost amendment request involves a [FR Doc. 97–8650 Filed 4–3–97; 8:45 am] in early 1999, and the spent fuel pool significant hazards consideration, any will be at its capacity by late 2000. hearing held would take place before BILLING CODE 7590±01±P Therefore, additional spent fuel storage the issuance of any amendment. capacity is needed in 1998. Delay in the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16203 availability of this additional storage adverse impacts to the general public for the issuance of a materials license capacity may cause a reduction in the are anticipated. for the North Anna ISFSI. power operation or temporary shutdown For further details related to this Alternatives to the Proposed Action of Units 1 and 2. The applicant’s proposed action, the EA and the proposed action would provide the If a permanent Federal repository application, dated May 9, 1995, as additional capacity required to store were available, the preferred alternative supplemented, are available for public spent fuel that is expected to be would be to ship spent fuel to the inspection, and for copying for a fee, at generated at the North Anna Nuclear repository for disposal. The Department the NRC Public Document Room, Power Station through the end of its of Energy is currently working to Gelman Building, 2120 L Street, NW, currently licensed operating life. develop a repository, as required under Washington, DC 20555 and at the Local the Nuclear Waste Policy Act, but is not Public Document Room for North Anna Environmental Impacts of the Proposed likely to have a licensed repository located at the University of Virginia, Action ready to receive spent fuel before 2010. Alderman Library, Charlottesville, Construction of the proposed ISFSI Although DOE recommended that a Virginia 22903. will affect approximately 4.4 ha (11 Monitored Retrievable Storage (MRS) facility be constructed and operated for Dated at Rockville, Maryland, this 28th day acres) of the 422 ha (1,043 acres) site of March 1997. interim storage, this proposed action has area which is committed to nuclear For the U.S. Nuclear Regulatory power plant development. With good not taken place so far. Given the uncertainties of schedules for a Commission. construction practices, the potential for Charles J. Haughney, fugitive dust, erosion, and noise impacts repository and MRS, these alternatives, therefore, do not meet the near-term Deputy Director, Spent Fuel Project Office, typical of the planned construction Office of Nuclear Material Safety and activities can be controlled to interim storage needs of the applicant. Given these conditions, a number of Safeguards. insignificant levels. The only resources [FR Doc. 97–8646 Filed 4–3–97; 8:45 am] committed irretrievably are the steel, alternatives for the storage of spent fuel BILLING CODE 7590±01±P concrete, and other construction prior to the selection of the dry storage materials in the ISFSI slab and storage ISFSI are discussed in the EA. These alternatives included: (a) expansion of cask. Therefore, no significant Advisory Committee on Reactor construction impacts are anticipated. the existing pool, (b) construction of a new storage pool, (c) increasing capacity Safeguards; Meeting of the ACRS The routine operation of the proposed of the existing pool, (d) spent fuel rod Subcommittee on Materials and ISFSI involves only dry storage of spent consolidation, (e) transshipment to Metallurgy; Notice of Meeting nuclear fuel that is sealed in containers Surry Nuclear Power Station ISFSI, (f) (TN–32 casks); there will be no gaseous The ACRS Subcommittee on Materials reduction in rate of spent fuel or liquid effluents released to the and Metallurgy will hold a meeting on generation by using high burnup fuel or environment. External exposure to April 15–16, 1997, Room T–2B3, 11545 by reduction in operation, and (g) no direct and scattered radiation is the Rockville Pike, Rockville, Maryland. action alternative. As discussed in the primary pathway of radiation exposure The entire meeting will be open to EA, the Commission has concluded to workers and the general public. The public attendance. there are no significant environmental dose to the nearest resident from routine The agenda for the subject meeting impacts associated with the proposed ISFSI operation is estimated to be about shall be as follows: dry storage ISFSI, and other alternatives 10 µSv/yr (1.0 mrem/yr). The combined Tuesday April 15, 1997—1:00 p.m. until were not chosen because of the time dose to the nearest resident from the the conclusion of business required for the design and licensing, its ISFSI and the nuclear power plant Wednesday April 16, 1997—8:30 a.m. high cost, or the storage limitation for operation is about 58 µSv/yr (5.8 mrem/ until the conclusion of business expanding existing pool storage at the yr). These doses are well below the 250 North Anna Nuclear Power Station. The Subcommittee will discuss µSv/yr (25 mrem/yr) limit specified in generic letters regarding steam generator 10 CFR 72.104. These doses are a small Agencies and Persons Contacted tube inspection techniques, effective use fraction of the natural background from Officials from the State of Virginia of ultrasonic testing techniques in terrestrial and cosmic radiation of about inservice inspection programs, µ Bureau of Radiological Health, as well 1,100 Sv/yr (110 mrem/yr) in the State as the Department of Environmental degradation of steam generator of Virginia. Quality, were contacted in preparing internals, and degradation of reactor The dose to an individual at the this assessment. vessel head penetrations. The nearest site boundary from a Subcommittee will also discuss the hypothetical accident has been Finding of No Significant Impact status of issues related to reactor calculated to be 0.49 mSv (0.049 rem) The staff has reviewed the pressure vessel integrity. The purpose of (whole-body) which is well below the environmental impacts of the proposed this meeting is to gather information, 50 mSv (5 rem) criteria set forth in 10 ISFSI relative to the requirements set analyze relevant issues and facts, and to CFR 72.106(b) and by the U.S. forth in 10 CFR Part 51 and prepared an formulate proposed positions and Environmental Protection Agency’s EA. Based on the EA, the staff concludes actions, as appropriate, for deliberation protective action guidelines. that there are no significant radiological by the full Committee. There are no nonradiological impacts or non-radiological impacts associated Oral statements may be presented by resulting from the routine ISFSI with the proposed action and that members of the public with the operation. The operational noise issuance of a license will have no concurrence of the Subcommittee associated with the proposed action will significant impact on the quality of the Chairman; written statements will be result from the transfer of casks from the human environment. Therefore, accepted and made available to the North Anna Nuclear Power Station pursuant to 10 CFR 51.31 and 51.32, a Subcommittee. Electronic recordings protected area to the ISFSI. Noise finding of no significant impact is will be permitted only during those associated with this operation is onsite appropriate and an environmental portions of the meeting that are open to and is expected to be minimal; no impact statement need not be prepared the public, and questions may be asked 16204 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices only by members of the Subcommittee, determination that this regulatory guide public of the decision on the exemption its consultants, and staff. Persons is not a major rule. request. desiring to make oral statements should Comments and suggestions in ADDRESSES: The non-confidential notify the cognizant ACRS staff engineer connection with items for inclusion in portions of the request for an exemption named below five days prior to the guides currently being developed or and the PBGC response to the request meeting, if possible, so that appropriate improvements in all published guides are available for public inspection at the arrangements can be made. are encouraged at any time. Written PBGC Communications and Public During the initial portion of the comments may be submitted to the Affairs Department, Suite 240, 1200 K meeting, the Subcommittee, along with Rules Review and Directives Branch, Street NW., Washington, DC 20005– any of its consultants who may be Division of Freedom of Information and 4026, between the hours of 9 a.m. and present, may exchange preliminary Publications Services, Office of 4 p.m., Monday through Friday. views regarding matters to be Administration, U.S. Nuclear Regulatory FOR FURTHER INFORMATION CONTACT: considered during the balance of the Commission, Washington, DC 20555. Thomas T. Kim, Office of the General meeting. Regulatory guides are available for Counsel, Pension Benefit Guaranty The Subcommittee will then hear inspection at the Commission’s Public Corporation, 1200 K Street NW., presentations by and hold discussions Document Room, 2120 L Street NW., Washington, DC 20005–4026; telephone with representatives of the NRC staff Washington, DC. Single copies of 202–326–4020 ext. 3581 (202–326–4179 regarding this review. regulatory guides may be obtained free for TTY and TDD). These are not toll- Further information regarding topics of charge by writing the Office of free numbers. to be discussed, whether the meeting Administration, Attention: Distribution has been cancelled or rescheduled, the and Services Section, U.S. Nuclear SUPPLEMENTARY INFORMATION: Regulatory Commission, Washington, Chairman’s ruling on requests for the Background opportunity to present oral statements, DC 20555–0001, or by fax at (301)415– and the time allotted therefor can be 2260. Issued guides may also be Section 4204 of the Employee obtained by contacting the cognizant purchased from the National Technical Retirement Income Security Act of 1974, ACRS staff engineer, Mr. Noel F. Dudley Information Service on a standing order as amended by the Multiemployer (telephone 301/415–6888) between 7:30 basis. Details on this service may be Pension Plan Amendments Act of 1980 a.m. and 4:15 p.m. (EST). Persons obtained by writing NTIS, 5285 Port (‘‘ERISA’’ or ‘‘the Act’’), provides that a planning to attend this meeting are Royal Road, Springfield, VA 22161. bona fide arm’s-length sale of assets of urged to contact the above named Regulatory guides are not copyrighted, a contributing employer to an unrelated individual one or two working days and Commission approval is not party will not be considered a prior to the meeting to be advised of any required to reproduce them. withdrawal if three conditions are met. potential changes to the agenda, etc., (5 U.S.C. 552(a)) These conditions, enumerated in section that may have occurred. 4204(a)(1)(A)-(C), are that— Dated at Rockville, Maryland, this 20th day Dated: March 31, 1997. of March 1997. (A) The purchaser has an obligation to contribute to the plan with respect to Sam Duraiswamy, For the Nuclear Regulatory Commission. the operations for substantially the same Chief, Nuclear Reactors Branch. David L. Morrison, number of contributions base units for [FR Doc. 97–8645 Filed 4–3–97; 8:45 am] Director, Office of Nuclear Regulatory which the seller was obligated to BILLING CODE 7590±01±P Research. contribute; [FR Doc. 97–8651 Filed 4–3–97; 8:45 am] (B) The purchaser obtains a bond or BILLING CODE 7590±01±P places an amount in escrow, for a period Regulatory Guide; Issuance, of five plan years after the sale, in an Availability amount equal to the greater of the The Nuclear Regulatory Commission PENSION BENEFIT GUARANTY seller’s average required annual has issued a revision to a guide in its CORPORATION contribution to the plan for the three plan years preceding the year in which Regulatory Guide Series. This series has Exemption From the Bond/Escrow been developed to describe and make the sale occurred or the seller’s required Requirement Relating to the Sale of annual contribution for the plan year available to the public such information Assets by an Employer Who as methods acceptable to the NRC staff preceding the year in which the sale Contributes to a Multiemployer Plan; occurred (the amount of the bond or for implementing specific parts of the Dunham-Bush, Inc. Commission’s regulations, techniques escrow is doubled if the plan is in used by the staff in evaluating specific AGENCY: Pension Benefit Guaranty reorganization in the year in which the problems or postulated accidents, and Corporation. sale occurred); and data needed by the staff in its review of ACTION: Notice of exemption. (C) The contract of sale provides that applications for permits and licenses. if the purchaser withdraws from the Revision 1 of Regulatory Guide 5.15, SUMMARY: The Pension Benefit Guaranty plan within the first five plan years ‘‘Tamper-Indicating Seals for the Corporation has granted a request by beginning after the sale and fails to pay Protection and Control of Special Dunham-Bush, Inc. for an exemption any of its liability to the plan, the seller Nuclear Material,’’ describes features of from the bond/escrow requirement of shall be secondarily liable for the systems and types of security seals that section 4204(a)(1)(B) of the Employee liability it (the seller) would have had are acceptable to the NRC staff for Retirement Income Security Act of 1974, but for section 4204. tamper-safing containers of special as amended, with respect to the Sheet The bond or escrow described above nuclear material. A tamper-indicating Metal Workers’ National Pension Fund. would be paid to the plan if the seal is a device used to detect A notice of the request for an exemption purchaser withdraws from the plan or unauthorized removal of material. from the requirement was published on fails to make any required contributions The NRC has verified with the Office December 20, 1996 (61 FR 67355). The to the plan within the first five plan of Management and Budget the effect of this notice is to advise the years beginning after the sale. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16205

Additionally, section 4204(b)(1) The Decision Issued at Washington, DC, on this 26th day provides that if a sale of assets is of March, 1997. covered by section 4204, the purchaser On December 20, 1996 (61 FR 67355), John Seal, assumes by operation of law the the PBGC published a notice of request Acting Executive Director. from Dunham-Bush, Inc. (the ‘‘Buyer’’) contribution record of the seller for the [FR Doc. 97–8606 Filed 4–3–97; 8:45 am] for an exemption from the bond/escrow plan year in which the sale occurred BILLING CODE 7708±01±P and the preceding four plan years. requirement of section 4204(a)(1)(B) with respect to its January 6, 1995 Section 4204(c) of ERISA authorizes purchase of certain assets of Allagash the Pension Benefit Guaranty Fluid Controls, Inc., which was formerly SECURITES AND EXCHANGE Corporation (the ‘‘PBGC’’) to grant known as Dunham-Bush, Inc. (the COMMISSION individual or class variances or ‘‘Seller’’). No comments were received exemptions from the purchaser’s bond/ Submission for OMB Review; in response to the notice during the Comment Request escrow requirement of section comment period. 4204(a)(1)(B) when warranted. The According to the request, on January Upon Written Request Copies Available legislative history of section 4204 6, 1995, the Buyer acquired certain From: Securities and Exchange indicates a Congressional intent that the assets of the Seller. The Seller was Commission, Office of Filings and sales rules be administered in a manner obligated to contribute to the Sheet Information Services, Washington, DC that assures protection of the plan with Metal Workers’ National Pension Plan 20549 the least practicable intrusion into (the ‘‘Plan’’). The Buyer has assumed Existing Collection: Rule 17a–6, SEC normal business transactions. Senate the Seller’s obligation to contribute to File No. 270–433, OMB Control No. Committee on Labor and Human the Plan at the purchased operations, 3235–new Resources, 96th Cong., 2nd Sess., and continues to make contributions for Notice is hereby given that pursuant S.1076, The Multiemployer Pension substantially the same number of to the Paperwork Reduction Act of 1995 Plan Amendments Act of 1980: contribution base units as the Seller. (44 U.S.C. 3501 et seq.), the Securities Summary and Analysis of Consideration The Seller has agreed to be secondarily and Exchange Commission 16 (Comm. Print, April 1980); 128 Cong. liable for any withdrawal liability it (‘‘Commission’’) has submitted to the Rec. S10117 (July 29, 1980). The would have had with respect to the sold Office of Management and Budget a granting of an exemption or variance operations (if not for section 4204) request for approval of the following from the bond/escrow requirement does should the Buyer withdraw from the rule: not constitute a finding by the PBGC Plan within the five plan years Rule 17a–6 (17 CFR 240.17a–6) that a particular transaction satisfies the following the sale and fail to pay permits national securities exchanges, other requirements of section 4204(a)(1). withdrawal liability. national securities associations, Under the PBGC’s regulation on registered clearing agencies, and the The estimated amount of the variances for sales of assets (29 CFR part Municipal Securities Rulemaking Board unfunded vested benefits allocable to 4204), a request for a variance or waiver (collectively, ‘‘SROs’’) to destroy or the Seller with respect to the operations of the bond/escrow requirement under convert to microfilm or other recording sold is $3,000,000. The amount of the any of the tests established in the media records maintained under Rule bond/escrow required under section regulation (§§ 4204.12–4204.13) is to be 17a–1, if they have filed a record 4204(a)(1)(B) is $545,409.29. made to the plan in question. The PBGC destruction plan with the Commission will consider waiver requests only when The Buyer submitted its financial and the Commission has declared such the request is not based on satisfaction statement as of January 26, 1996. plan effective. of one of the three regulatory tests or According to that statement, the Buyer’s There are 25 SROs: 8 national when the parties assert that the financial net tangible assets are just over $20 securities exchanges, 1 national information necessary to show million, which is in excess of the securities associations, 15 registered satisfaction of one of the regulatory tests unfunded vested benefits allocable to clearing agencies, and the Municipal is privileged or confidential financial the Seller. Securities Rulemaking Board. These information within the meaning of Based on the facts of this case and the respondents file no more than one section 552(b)(4) of the Freedom of representations and statements made in record destruction plan per year, which Information Act. connection with the request for an requires approximately 40 hours for Under § 4204.22 of the regulation, the exemption, the PBGC has determined each respondent. Thus, the total PBGC shall approve a request for a that an exemption from the bond/ compliance burden is 40 hours. The variance or exemption if it determines escrow requirement is warranted, in that approximate cost per hour is $100, that approval of the request is it would more effectively carry out the resulting in a total cost of compliance warranted, in that it— purposes of Title IV of ERISA and for these respondents of $4,000 per year would not significantly increase the risk (40 hours @ $100). (1) Would more effectively or of financial loss to the Plan. Therefore, General comments regarding the equitably carry out the purposes of Title the PBGC hereby grants the request for estimated burden hours should be IV of the Act; and an exemption from the bond/escrow directed to the Desk Officer for the (2) Would not significantly increase requirement. The granting of an Securities and Exchange Commission at the risk of financial loss to the plan. exemption from the bond/escrow the address below. Any comments Section 4204(c) of ERISA and requirement of section 4204(a)(1)(B) concerning the accuracy of the § 4204.22(b) of the regulation require the does not constitute a finding by the estimated average burden hours for PBGC to publish a notice of the PBGC that the transaction satisfies the compliance with Commission rules and pendency of a request for a variance or other requirements of section 4204(a)(1). forms should be directed to Michael E. exemption in the Federal Register, and The determination of whether the Bartell, Associate Executive Director, to provide interested parties with an transaction satisfies such other Office of Information Technology, opportunity to comment on the requirements is a determination to be Securities and Exchange Commission, proposed variance or exemption. made by the Plan sponsor. 450 Fifth Street, N.W., Washington, D.C. 16206 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

20549 and Desk Officer for the 43215, Indiana Michigan Power Colorado 80202, a Delaware corporation Securities and Exchange Commission, Company, One Summit Square, Fort not currently subject to the Act, has Office of Information and Regulatory Wayne, Indiana 46801, Kentucky Power filed an application-declaration under Affairs, Office of Management and Company, 1701 Central Avenue, sections 6(a), 7, 9(a), 10, and 12(c) of the Budget, Room 3208, New Executive Ashland, Kentucky 41101, Kingsport Act and rules 42 and 54 thereunder.2 Office Building, Washington, D.C. Power Company, 422 Broad Street, NCE proposes to implement a 20503. Kingsport, Tennessee 37660, Ohio shareholder rights plan and to enter into Power Company, 339 Cleveland Dated: March 28, 1997. a Rights Agreement (‘‘Agreement’’) with Margaret H. McFarland, Avenue, S.W., Canton, Ohio 44702, and Wheeling Power Company, 51–16th an agent to be named. The Board of Deputy Secretary. Street, Wheeling, West Virginia 26003, Directors of NCE (‘‘Board’’) proposes to [FR Doc. 97–8653 Filed 4–3–97; 8:45 am] have filed a post-effective amendment declare a dividend distribution of one BILLING CODE 8010±01±M under sections 6, 7 and 12(b) of the Act, right (‘‘Right’’) for each outstanding and rule 45 under the Act, in share of common stock, $1.00 par value, [Release No. 35±26698] connection with their previously filed of NCE (‘‘Common Stock’’) to application-declaration under sections shareholders of record at the close of Filings Under the Public Utility Holding 6(a), 7, 9(a), 10, 12(b) and 13(b) of the business on a record date yet to be Company Act of 1935, as Amended Act and rules 45, 90 and 91 under the established (‘‘Record Date’’). Each Right (``Act'') Act. would entitle the registered holder to By orders dated September 13, 1996 purchase from NCE one one-hundredth March 28, 1997. (HCAR No. 26572) (‘‘Initial Order’’) and Notice is hereby given that the of a share of Series A Junior September 27, 1996 (HCAR No. 26583), following filing(s) has/have been made Participating Preferred Stock (‘‘Preferred AEP was authorized to form one or more with the Commission pursuant to Stock’’) at a price to be determined by direct or indirect nonutility subsidiaries provisions of the Act and rules the Board, subject to adjustment (‘‘New Subsidiaries’’) to broker and promulgated thereunder. All interested (‘‘Purchase Price’’). market electric power, natural and persons are referred to the application(s) manufactured gas, emission allowances, Until the earliest to occur of (i) ten and/or declaration(s) for complete coal, oil, refined petroleum products days following the date (‘‘Shares statements of the proposed and natural gas liquids (‘‘Energy Acquisition Date’’) of the public transaction(s) summarized below. The Commodities’’). The Initial Order also announcement that a person or group of application(s) and/or declaration(s) and authorized AEP to guarantee through persons (‘‘Acquiring Person’’) has any amendments thereto is/are available December 31, 2000 up to $50 million of acquired, or obtained the right to for public inspection through the debt and up to $200 million of other acquire, beneficial ownership of Commission’s Office of Public obligations of the New Subsidiaries Common Stock or other voting Reference. (‘‘Guarantee Authority’’). The Initial securities (‘‘Voting Stock’’) that have Interested persons wishing to Order stated that obligations of the New 10% or more of the voting power of the comment or request a hearing on the Subsidiaries (other than debt) might outstanding shares of Voting Stock or application(s) and/or declaration(s) take the form of bid bonds or other should submit their views in writing by (ii) ten days (or such later date as may direct or indirect guarantees of April 21, 1997, to the Secretary, be determined by action of the Board contractual or other obligations. Securities and Exchange Commission, prior to the time any person or group of With the adoption of rule 58,1 the Washington, D.C. 20549, and serve a persons becomes the Acquiring Person) acquisition of securities of or other copy on the relevant applicant(s) and/or following the commencement or interests in Energy-Related Companies declarant(s) at the address(es) specified announcement of an intention to make (as defined in the rule), including the below. Proof of service (by affidavit or, a tender offer or exchange offer, the marketing and brokering of Energy in case of an attorney at law, by consummation of which would result in Commodities, subject to certain certificate) should be filed with the such person acquiring, or obtaining the limitations, is exempt from the request. Any request for hearing shall right to acquire, beneficial ownership of requirement of prior Commission identify specifically the issues of fact or Voting Stock having 10% or more of the approval under the Act. AEP states that law that are disputed. A person who so voting power of the outstanding shares any of the New Subsidiaries may requests will be notified of any hearing, convert to an Energy-Related Company of Voting Stock (the earlier of such dates if ordered, and will receive a copy of so that such New Subsidiary could not being called the ‘‘Distribution Date’’), any notice or order issued in the matter. only broker and market Energy the Rights will be evidenced, with After said date, the application(s) and/ Commodities, but also could offer all respect to any of the Common Stock or declaration(s), as filed or as amended, the other energy-related services certificates outstanding as of the Record may be granted and or permitted to permitted by the rule. Date, by such Common Stock become effective. AEP requests that the Guarantee certificates. Until the Distribution Date American Electric Power Company, et Authority be expanded so that AEP (or earlier redemption or expiration of al. (70–8779) could guarantee the debt and other the Rights), the Rights will be American Electric Power Company, obligations of the New Subsidiaries for Inc., 1 Riverside Plaza, Columbus, Ohio all Energy-Related Company activities. 2 NCE has previously filed an application- declaration under section 9(a)(2) of the Act to 43215, and its subsidiaries, American New Century Energies, Inc. (70–9005) acquire all of the outstanding voting securities of Electric Power Service Corporation, 1 New Century Energies, Inc. (‘‘NCE’’), Public Service Company of Colorado (‘‘PSC’’), Riverside Plaza, Columbus, Ohio 43215, Southwestern Public Service Company (‘‘SPS’’) and 1225 Seventeenth Street, Denver, Appalachian Power Company, 40 Cheyenne Light, Fuel and Power Company (‘‘CLFP’’), each a public utility company. Following Franklin Road, Roanoke, Virginia 24022, 1 HCAR No. 26667 (February 14, 1997), 62 F.R. the consummation of the transactions described in Columbus Southern Power Company, 7900 (February 20, 1997). The rule became effective that application-declaration, NCE will register as a 215 North Front Street, Columbus, Ohio on March 24, 1997. holding company under the Act. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16207 transferable only with the Common years from the date of the event giving make changes which do not adversely Stock, and new Common Stock rise to such adjustment or (ii) the time affect the interests of holders of Rights certificates issued after the Record Date at which cumulative adjustments (excluding the interest of any Acquiring will contain a notation incorporating the require an adjustment of at least 1% in Person); provided, however, that no Agreement by reference. As soon as such Purchase Price. No fractional supplement or amendment may be practicable following the Distribution shares of Preferred Stock will be issued made on or after the Distribution Date Date, separate certificates evidencing and, in lieu thereof, an adjustment in which changes those provisions relating the Rights (‘‘Rights Certificates’’) will be cash will be made based on the market to the principal economic terms of the mailed to holders of record of Common price of the Preferred Stock on the last Rights. Stock as of the close of business on the trading date prior to the date of exercise. The Preferred Stock will rank junior Distribution Date and such separate NCE may redeem the Rights in whole, to all other series of NCE’s preferred Right Certificates alone will evidence but not in part, at a price of $0.001 per stock with respect to payment of the Rights. Right (‘‘Redemption Price’’), payable in dividends and as to distribution of The Rights are not exercisable until cash or stock at any time prior to 5:00 assets in liquidation. Each share of the Distribution Date. The Rights will p.m. on the tenth day following the Preferred Stock will have a quarterly expire at the close of business on the Shares Acquisition Date, subject to dividend rate per share equal to the tenth anniversary of the Record Date, extension for up to an additional 20 greater of $1.00 or 100 times the per unless earlier redeemed or exchanged days by the Board, with the concurrence share amount of any dividend (other by NCE as described below. of a majority of Independent Directors than a dividend payable in shares of In the event that a person becomes an (as hereinafter defined). Under certain Common Stock or a subdivision of the Acquiring Person, each holder of a Right circumstances set forth in the Common Stock) declared from time to will have the right to receive, upon Agreement, the decision to redeem shall time on the Common Stock, subject to exercise, Common Stock (or, in certain require the concurrence of a majority of certain adjustments. The Preferred Stock circumstances, cash, property or other the Independent Directors. An will not be redeemable. In the event of securities of NCE) having a value equal ‘‘Independent Director’’ means any liquidation, the holders of the Preferred to two times the exercise price of the member of the Board who either (a) was Stock will be entitled to receive a Right then in effect. However, all Rights a member on the date of the Agreement, preferred liquidation payment per share that are, or under certain circumstances or (b) is subsequently elected to the of an amount equal to 100 times the were, beneficially owned by any Board (x) if such election was Purchase Price (plus accrued and Acquiring Person will be null and void. conducted in accordance with Article unpaid dividends) or, if greater, an In the event that, at any time V(B)(1) of NCE’s Restated Certificate of amount equal to 100 times the payment following the Shares Acquisition Date, Incorporation, (y) if such person was to be made per share of Common Stock, (i) NCE is acquired in a merger or other nominated pursuant to the method subject to certain adjustments. business combination transaction, or (ii) described in Article V(E) of NCE’s Generally, each share of Preferred Stock 50% or more of NCE’s assets or earning Restated Certificate of Incorporation, or will vote together with the Common power are sold or transferred, each (z) if such person is recommended or Stock and any other series of cumulative holder of a Right (except Rights which approved by a majority of the preferred stock entitled to vote in such previously have been voided as set forth Independent Directors. The term manner and will be entitled to 100 above) shall thereafter have the right to Independent Director shall not include votes, subject to certain adjustments. In receive, upon exercise, common stock of an Acquiring Person or any the event of any merger, consolidation, the acquiring company having a value representative thereof. combination or other transaction in equal to two times the exercise price of Immediately upon the action of the which shares of Common Stock are the Right. Board electing to redeem the Rights, exchanged for or changed into other The Purchase Price payable, and the NCE shall make announcement thereof stock or securities, cash and/or other number of shares of Preferred Stock (or and the only right of the holders of property, each share of Preferred Stock Common Stock or other securities, as Rights will be to receive the Redemption will be entitled to receive 100 times the the case may be) issuable, upon exercise Price. aggregate amount of stock, securities, of the Rights are subject to adjustment At any time after a person becomes an cash and/or other property, into which from time to time to prevent dilution (i) Acquiring Person, the Board (with the or for which each share of Common in the event of a stock dividend on, or concurrence of a majority of the Stock is changed or exchanged, subject a subdivision, combination or Independent Directors) may exchange to certain adjustments. The foregoing reclassification of, the Preferred Stock, the Rights (other than Rights owned by dividend, voting and liquidation rights (ii) upon the grant to holders of the an Acquiring Person, which become of the Preferred Stock are protected Preferred Stock of certain rights or void), in whole or in part, at an against dilution in the event that warrants to subscribe for or purchase exchange ratio of one share of Common additional shares of Common Stock are shares of the Preferred Stock or Stock (or a fraction of a share of issued pursuant to a stock split or stock convertible securities at less than the Preferred Stock having the same market dividend or distribution. Because of the then current market price of the value as one share of Common Stock) nature of the Preferred Stock’s dividend, Preferred Stock or (iii) upon the per Right, subject to adjustment. voting, liquidation and other rights, the distribution to holders of the Preferred Any of the provisions of the value of the one one-hundredth of a Stock of evidences of indebtedness or Agreement may be amended by the share of Preferred Stock purchasable assets (excluding regular periodic cash Board without the consent of the with each Right is intended to dividends or dividends payable in holders of the Rights prior to the approximate the value of one share of Preferred Stock) or of subscription rights Distribution Date. Thereafter, the Common Stock. or warrants (other than those referred to Agreement may be amended by the above). Board (in certain circumstances, with Cinergy Corp., et al. (70–9011) With certain exceptions, no the concurrence of the Independent Cinergy Corp. (‘‘Cinergy’’), a adjustment in the Purchase Price will be Directors) in order to cure any registered holding company, and required until the earlier of (i) three ambiguity, defect or inconsistency, or to Cinergy Investments, Inc. 16208 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

(‘‘Investments’’), its wholly-owned non- Cinergy’s ‘‘aggregate investment,’’ as acquisition by Cinergy of any interest in utility subsidiary (collectively defined, in EWGS and FUCOs any EWG or FUCO. ‘‘Applicants’’), both located at 139 East (approximately $495 million as of For the Commission, by the Division of Fourth Street, Cincinnati, Ohio 45202, January 31, 1997) represents Investment Management, pursuant to have filed an application-declaration approximately 50% of its ‘‘consolidated delegated authority. under sections 6(a), 7, 12(b), 32 and 33 retained earnings,’’ as defined Margaret H. McFarland, of the Act and rules 45, 53, and 54 (approximately $990 million as of Deputy Secretary. thereunder. December 31, 1996). Increasing this [FR Doc. 97–8654 Filed 4–3–97; 8:45 am] Applicants are currently authorized, limitation as Applicants propose would BILLING CODE 8010±01±M under the terms of orders and allow financing of additional supplemental orders issued under File investments in EWGs and FUCOs of Nos. 70–8477 [HCAR Nos. 26159 approximately $495 million based on SOCIAL SECURITY ADMINISTRATION (November 18, 1994) and 26477 Cinergy’s consolidated retained earnings (February 23, 1996)], 70–8521 [HCAR as of December 31, 1996. Agency Information Collection Nos. 26215 (January 11, 1995) and Applicants state that Cinergy is 26488 (March 12, 1996)], and 70–8589 Activities: Proposed Collection committed to making additional Requests [HCAR Nos. 26376 (September 21, 1995) investments in EWGs and FUCOs, and 26486 (March 8, 1996)] primarily because (1) current This notice lists information (collectively, the ‘‘Prior Orders’’), among projections indicate that for at least the collection packages that will require other things, to use the proceeds of the next eight years Cinergy will not need submission to the Office of Management issuance of short term debt and common to make any new equity investment in and Budget (OMB), in compliance with stock to invest, directly or indirectly any of its utility subsidiaries; (2) Pub. L. 104–13 effective October 1, through one or more special purpose acquisitions of EWGs and FUCOs give 1995, The Paperwork Reduction Act of subsidiaries or project parents, in Cinergy the opportunity to continue to 1995. exempt wholesale generators (‘‘EWGs’’) grow through reinvestment of retained 1. Request for Withdrawal of and foreign utility companies earnings in an industry sector that Application—0960–0015. In certain (‘‘FUCOs’’), and to issue guarantees of Cinergy has decades of experience in, situations receiving social security the obligations of such entities, while at the same time diversifying benefits may be to the applicant’s provided that the total of the net overall asset risk; and (3) Cinergy has disadvantage and they wish to withdraw proceeds used for such investments and purposely invested in utility systems in their application. The information guarantees outstanding at any one time foreign countries where deregulation of collected on Form SSA–521 is used by shall not, when added to Cinergy’s and competition in retail and wholesale the Social Security Administration to ‘‘aggregate investment’’ (as defined in electricity markets is more fully process a request for withdrawal of an rule 53(a) under the Act) in all EWGs developed than in the United States in application for benefits. The and FUCOs, exceed 50% of Cinergy’s order to gain experience with respondents are individuals who file a ‘‘consolidated retained earnings’’ (as deregulated markets that will enhance claim and later wish to withdraw it. defined in rule 53(a)). This investment Cinergy’s ability to make its core Number of Respondents: 100,000. limitation is consistent with the domestic utility operations more Frequency of Response: 5 minutes. investment limitation contained in rule Average Burden Per Response: 5 competitive and efficient in the future 53(a)(1). minutes. as the United States moves toward Applicants request the Commission to Estimated Annual Burden: 8,333 deregulation and increased competition. modify this limitation, and exempt them hours. from the requirements of rule 53(a)(1), Applicants also describe comprehensive 2. SSA/DDS Cost-Effectiveness to permit Cinergy to use the net procedures that Cinergy has established Measurement System Data Reporting proceeds of common stock sales and to identify and address risks involved in Form—0960–0384. The information borrowings to acquire, directly or EWG and FUCO investments. collected on Form SSA–1461 is used by indirectly, the securities of, or other Cinergy states that the use of the Social Security Administration interests in, EWGs and FUCOs, and to financing proceeds and guarantees to (SSA) to analyze and evaluate the costs issue guarantees of the obligations of make investments in EWGs and FUCOs incurred by the State Disability such entities (all as authorized by and to the proposed increased level will not Determination Services (DDS) in making in accordance with the terms of the have a substantial adverse impact on the determinations of disability for SSA. Prior Orders) in an aggregate amount financial integrity of the Cinergy system The data is also used in determining that, when added to Cinergy’s direct and or an adverse impact on any utility funding levels. The respondents are the indirect ‘‘aggregate investment,’’ as subsidiary of Cinergy or its customers or State DDS offices. defined, in all EWGs and FUCOs, would on the ability of the affected state Number of Respondents: 52. not at any time exceed 100% of commissions to protect such customers. Frequency of Response: 4 per year. Cinergy’s ‘‘consolidated retained Applicants also state that Cinergy will Average Burden Per Response: 6 earnings,’’ as defined (‘‘100% not seek recovery through higher rates hours. authority’’).3 The current amount of to its utility subsidiaries’ customers in Estimated Annual Burden: 1,248 order to compensate Cinergy for any hours. 3 Applicants request that the 100% authority possible losses that it may sustain on 3. Claim for Amounts Due in the Case sought herein in connection with the Prior Orders investments in EWGs and FUCOs or for of a Deceased Beneficiary—0960–0101. be extended to apply as well to the use of proceeds from the issuance and sale of debt securities by any inadequate returns on such Section 204(d) of the Social Security Act Cinergy pursuant to the authority sought in the investments. In addition, Cinergy will provides that if a beneficiary dies before pending application in file no. 70–8993 and to not cause or permit its utility payment of Social Security title II another application Cinergy expects to file shortly subsidiaries to mortgage, pledge or benefits has been completed, the seeking authority to issue and sell additional securities, including common stock and short-term otherwise encumber or use as collateral amount due will be paid to persons notes, the proceeds of which would be used to any of their properties or assets in meeting specified qualifications. The invest in, among other things, EWGs and FUCOs. connection with any direct or indirect information collected on Form SSA– Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16209

1724 is used by the Social Security Estimated Annual Burden: 75,375 Testing Modifications to the Disability Administration to determine whether an hours. Determination Procedures; Federal individual is entitled to the 7. Application for Disability Insurance Processing Center Testing underpayment. The respondents are Benefits—0960–0060. The information AGENCY: applicants for the underpayment of a collected on Form SSA–16 by the Social Social Security Administration. deceased beneficiary. Security Administration is used to ACTION: Notice of the test site and the Number of Respondents: 300,000. determine an applicant’s entitlement to duration of testing involving Frequency of Response: 1. Social Security disability benefits. The modifications to the disability Average Burden Per Response: 10 respondents are applicants for Social determination procedures. minutes. Security disability benefits. Estimated Annual Burden: 50,000 SUMMARY: The Social Security Number of Respondents: 1,000,000. hours. Administration (SSA) is announcing the 4. Supplement to Claim of Person Frequency of Response: 1. location and the duration of additional Outside the United States—0960–0051. Average Burden Per Response: 20 testing that it will conduct under the The information collected on Form minutes. current rules at 20 CFR §§ 404.906, SSA–21 is used to determine the Estimated Annual Burden: 333,333. 404.943, 416.1406, and 416.1443. Those continuing entitlement to Social 8. Statement for Determining rules authorize the testing of several Security benefits and the proper benefit Continuing Eligibility for Supplemental modifications to the disability amounts of alien beneficiaries living Security Income Payment—0960–0145. determination procedures that we outside the United States. It is also used The information collected on Form normally follow in adjudicating claims to determine whether benefits are SSA–8202 is used by the Social Security for disability insurance benefits under subject to tax withholding. The Administration to determine a title II of the Social Security Act (the respondents are individuals entitled to beneficiary’s continuing eligibility for Act) and claims for supplemental Social Security benefits who are, will and the amount of their SSI payments. security income (SSI) based on be, or have been residing outside the The information collected also assists disability under title XVI of the Act. United States. SSI recipients to obtain food stamps and This notice announces the test site and Number of Respondents: 35,000. is used by agencies administering duration of testing involving a Frequency of Response: 1. Medicaid programs in ascertaining the combination of features of the proposed Average Burden Per Response: 5 legal liability of third parties to pay for redesigned disability process. The minutes. care and services. The respondents are notice also describes additional features Estimated Annual Burden: 2,917 recipients of SSI benefits. that will allow us to test the hours. Number of Respondents: 818,000. effectiveness of processing cases under 5. Statement of Care and Frequency of Response: 1. a combination of the models in a Responsibility for Beneficiary—0960– Average Burden Per Response: 11 Federal processing center. 0109. When an individual requests to minutes. FOR FURTHER INFORMATION CONTACT: act as representative payee for someone Estimated Annual Burden: 149,967 Harry Pippin, Disability Models Team not in their custody, the Social Security hours. Leader, Office of Disability, Disability Administration must determine if this Process Redesign Staff, Social Security individual is the most qualified to serve Written comments and recommendations regarding the Administration, 6401 Security in the beneficiary’s best interests. The Boulevard, Baltimore, Maryland 21235, information collected on Form SSA–788 information collection(s) should be sent within 60 days from the date of this 410–965–9203. is used to corroborate the statements of SUPPLEMENTARY INFORMATION: Current concern made by the representative publication, directly to the SSA Reports Clearance Officer at the following regulations at 20 CFR §§ 404.906, payee applicant and to identify other 404.943, 416.1406, and 416.1443 potential representative payees. The address: Social Security Administration, DCFAM; Attn: Judith T. Hasche; 6401 authorize us to test different respondents are individuals who have modifications to the disability custody of the beneficiaries for whom Security Blvd., 1–A–21 Operations Bldg.; Baltimore, MD 21235. determination procedures. We describe someone else has filed to be the the use of all four features of the testing representative payee. In addition to your comments on the accuracy of the agency’s burden modifications to the disability Number of Respondents: 130,000. determination procedures as the full Frequency of Response: 1. estimate, we are soliciting comments on Average Burden of Response: 10 the need for the information; its process model. Those modifications are: minutes. practical utility; ways to enhance its the use of a single decisionmaker who Estimated Annual Burden: 21,667 quality, utility and clarity; and on ways may make the disability determination hours. to minimize burden on respondents, without requiring the signature of a 6. Statement of Claimant or Other including the use of automated medical consultant; the conducting of a Person—0960–0045. Form SSA–795 is collection techniques or other forms of predecisional interview in which a completed by Social Security or SSI information technology. claimant, for whom SSA does not have applicants when additional information To receive a copy of any of the forms sufficient information to make a fully is needed and there is no standard form or clearance packages, call the SSA favorable determination or the evidence which collects the information. The Reports Clearance Officer on (410) 965– requires an initial determination information is used by the Social 4123 or write to her at the address listed denying the claim, can present Security Administration to process above. additional information to the claims for benefits. The respondents are decisionmaker; the elimination of the Dated: March 31, 1997. applicants for Social Security or SSI reconsideration step in the benefits. Frederick W. Brickenkamp, administrative review process; and the Number of Respondents: 305,500. Forms Management Officer, Social Security use of an adjudication officer who will Frequency of Response: 1. Administration. conduct prehearing procedures and, if Average Burden Per Response: 15 [FR Doc. 97–8564 Filed 4–3–97; 8:45 am] appropriate, will issue a decision minutes. BILLING CODE 4190±29±P wholly favorable to the claimant. 16210 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

We intend to test the full process Testing Modifications to the Disability test this model in eight States. We will model in a Federal processing center. Determination Procedures; Disability select cases for evaluation of these tests The location for this test will be: Social Determination Services Full Process for approximately nine months, and Security Administration, Western Model may continue to have cases processed Program Service Center, 2121 Nevin for another six months. In addition, we Avenue, Richmond, California, 94802. AGENCY: Social Security Administration. may choose to extend the test to obtain We may add other Federal sites later. ACTION: Notice of the additional test additional data. We will publish another If we add other Federal sites, we will sites and the duration of tests involving notice in the Federal Register if we publish another notice in the Federal modifications to the disability extend the duration of the test. For the Register identifying the added sites. The determination procedures. purpose of these tests, the single test in Richmond will involve claims by decisionmaker will be an employee of SUMMARY: The Social Security individuals who wish to file by Administration (SSA) is announcing the the State agency that makes disability telephone. These cases will be referred locations and the duration of additional determinations for us, while the to the Richmond processing center by tests that it will conduct under the adjudication officer will be either a teleservice centers that service residents current rules at §§ 404.906, 404.943, State employee or a Federal employee. of Arizona. 416.1406, and 416.1443. Those rules The sites selected represent a mix of This test will combine the four geographic areas, case loads, and both process modifications mentioned above, authorize the testing of several modifications to the disability Federal and State employees. The plus two features designed to maximize adjudication officer under this model the resources of a Federal processing determination procedures that we normally follow in adjudicating claims will process cases as adjudication center: having a two-person team for disability insurance benefits under officers are doing in those States in complete the application interview by title II of the Social Security Act (the which that feature is being tested telephone; and effectuating, in the Act) and claims for supplemental separately. (Refer to Federal Register, processing center, the payment of security income (SSI) payments based February 1, 1996 (61 FR 3757).) The benefits to claimants who are found on disability under title XVI of the Act. single decisionmaker will process cases disabled. We will begin selecting cases This notice announces the test sites and as single decisionmakers are doing in for processing in this test on or about duration of tests involving a those States in which that feature is April 28, 1997, will continue to select combination of features of the proposed being tested separately (see Federal cases for approximately one year, and redesigned disability process. Register, May 3, 1996 (61 FR 19969)), may continue to have cases processed except that the single decisionmaker in FOR FURTHER INFORMATION CONTACT: for an additional six months. In this combined model will offer a addition, we may choose to extend the Harry Pippin, Disability Models Team predecisional interview to a claimant for test to obtain additional data. We will Leader, Office of Disability, Disability whom a fully favorable determination Process Redesign Staff, Social Security publish another notice in the Federal cannot be made based on the initial Administration, 6401 Security Register if we extend the duration of the information obtained. If a claimant is Boulevard, Baltimore, Maryland 21235, test. The adjudication officers under this dissatisfied with the initial 410–965–9203. model will process cases as they are determination, he or she may appeal doing in those States in which that SUPPLEMENTARY INFORMATION: Current directly to an administrative law judge. feature is being tested separately. (Refer regulations at §§ 404.906, 404.943, The adjudication officer will be the to 20 CFR §§ 404.943 and 416.1443.) 416.1406, and 416.1443 authorize us to claimant’s primary point of contact The single decisionmaker will process test different modifications to the before a hearing is held with an cases as single decisionmakers are doing disability determination procedures. administrative law judge. Tests of the in those States in which that feature is The tests are designed to provide us model will be held at the following being tested separately (see 20 CFR with information so that we can locations: *COM007* §§ 404.906(b)(2) and 416.1406(b)(2)), determine the effectiveness of the • Disability Determination Services, except that the single decisionmaker in models in improving the disability Division of Rehabilitation Services, process. On or about April 7, 1997, we this model also will assist in the claims Department of Social Services, 10065 will begin tests of a full process model interview and will offer a predecisional Harvard Avenue, Denver, CO 80231– that combines four features of the interview to a claimant for whom a fully 5941; proposed redesigned disability process. favorable determination cannot be made • Disability Adjudication Section, These features are: The use of a single based on the initial information Division of Rehabilitation, Clark decisionmaker who may make the obtained. If a claimant is dissatisfied Harrison Building, 330 W. Ponce De disability determination without with the initial determination, he or she Leon Avenue, Decatur, GA 30030; requiring the signature of a medical • may appeal directly to an administrative Office of Disability Determinations, consultant; the conducting of a law judge. The adjudication officer will New York State Department of Social predecisional interview in which a be the claimant’s primary point of Services, 99 Washington Avenue, Room claimant, for whom SSA does not have contact before a hearing is held with an 1239, Albany, NY 12260; sufficient information to make a fully • administrative law judge. Claims Office of Disability Determinations, favorable determination or the evidence authorizers will participate in the New York State Department of Social requires an initial determination telephone claims interview and will Services, 300 Cadman Plaza West, 13th denying the claim, can present effectuate payment to claimants who are Floor, Brooklyn, NY 11201–2701; additional information to the • found disabled. Office of Disability Determinations, decisionmaker; the elimination of the New York State Department of Social Dated: March 28, 1997. reconsideration step in the Services, Ellicott Square Building, Room Carolyn W. Colvin, administrative review process; and the 664, 295 Main Street, Buffalo, NY Deputy Commissioner for Programs and use of an adjudication officer who will 14203–2412; Policy. conduct prehearing procedures and, if • Bureau of Disability Determination, [FR Doc. 97–8711 Filed 4–3–97; 8:45 am] appropriate, issue a decision wholly Office for Collections and BILLING CODE 4190±29±P favorable to the claimant. We plan to Compensation, Room 220—Central Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16211

Operations, 1171 South Cameron Street, we have projected non-fuel costs based Connecticut under § 158.23 of part 158 Harrisburg, PA 17104–2594; on the year ended December 31, 1996 of the Federal Aviation Regulations. • Disability Determination Division, data, and have determined fuel prices FOR FURTHER INFORMATION CONTACT: South Carolina Vocational on the basis of the latest available Priscilla A. Scott, PFC Program Rehabilitation Department, 1709 Mobile experienced monthly fuel cost levels as Manager, Federal Aviation Avenue, West Columbia, SC 29170; reported to the Department. Administration, Airports Division, 12 • Disability Determination Section, By Order 97–3–45 fares may be New England Executive Park, Division of Rehabilitation Services, increased by the following adjustment Burlington, Massachusetts 01803, (617) Department of Human Services, Citizens factors over the October 1979 level: 238–7614. The application may be Plaza Building, 400 Deaderick Street, Atlantic—1.4871 Nashville, TN 37248–1000; reviewed in person at 16 New England Latin America—1.4755 Executive Park, Burlington, • Disability Determination Services Pacific—1.6093 Massachusetts. for SSA, Office of Rehabilitation, Utah For further information contact: Keith State Office of Education, 555 E. 300 A. Shangraw (202) 366–2439. SUPPLEMENTARY INFORMATION: The FAA South, Salt Lake City, UT 84102; and proposes to rule and invites public By the Department of Transportation. • Disability Determination Bureau, comment on the application to impose Division of Health, Department of Date: March 31, 1997. the revenue from a Passenger Facility Health and Family Services, 722 Charles A. Hunnicutt, Charge (PFC) at Bradley International Williamson Street, Madison, WI 53703. Assistant Secretary for Aviation and Airport under the provisions of the All cases processed under the full International Affairs. Aviation Safety and Capacity Expansion process model in the State of [FR Doc. 97–8568 Filed 4–3–97; 8:45 am] Act of 1990 (Title IX of the Omnibus Pennsylvania will be adjudicated at the BILLING CODE 4910±62±P Budget Reconciliation Act of 1990) initial level by single decisionmakers at (Pub. L. 101–508) and part 158 of the the Harrisburg site mentioned above. Federal Aviation Regulations (14 CFR However, appeals of these cases will be Federal Aviation Administration part 158). processed by adjudication officers at On March 12, 1997, the FAA one of two locations. One location is the Notice of Intent To Rule on Application determined that the application to Harrisburg site. The other site is: To Impose the Revenue From a impose the revenue from a PFC • Bureau of Disability Determination, Passenger Facility Charge (PFC) at submitted by the State of Connecticut Office for Collections and Bradley International Airport, Windsor was substantially complete within the Compensation, 264 Highland Park Locks, CT requirements of § 158.25 part 158 of the Boulevard, Wilkes-Barre, PA 18702. AGENCY: Federal Aviation Federal Aviation Regulations. The FAA Not all cases received in the test sites Administration (FAA), DOT. listed above will be handled under the will approve or disapprove the ACTION: Notice of intent to rule on test procedures. However, if a claim is application, in whole or in part, no later application. selected to be handled as part of the test, than June 30, 1997. the claim will be processed under the SUMMARY: The FAA proposes to rule and The following is a brief overview of procedures established under the final invites public comment on the the impose application. rules cited above. application to impose the revenue from PFC Project #: 97–06–I–00–BDL. Dated: March 28, 1997. a Passenger Facility Charge at Bradley Level of the proposed PFC: $3.00. International Airport under the Carolyn W. Colvin, Proposed Charge effective date: provisions of the Aviation Safety and Deputy Commissioner for Programs and September 1, 1997. Policy. Capacity Expansion Act of 1990 (Title Estimated charge expiration date: [FR Doc. 97–8712 Filed 4–3–97; 8:45 am] IX of the Omnibus Budget April 1, 1999. BILLING CODE 4190±29±P Reconciliation Act of 1990) (Pub. L. 101–508) and Part 158 of the Federal Estimated total net PFC revenue: Aviation Regulations (14 CFR part 158). $12,602,000 DEPARTMENT OF TRANSPORTATION DATES: Comments must be received on Brief description of projects: or before May 5, 1997. [Docket 37554] Construction of New Fire Station ADDRESSES: Comments on this Construction of Glycol Collection Notice of Order Adjusting the Standard application may be mailed or delivered Facility Foreign Fare Level Index in triplicate to the FAA at the following address: Federal Aviation Class or classes of air carriers which Section 41509(e) of Title 49 of the Administration, Airport Division, 12 the public agency has requested not be United States Code requires that the New England Executive Park, required to collect PFCs: On demand Air Department, as successor to the Civil Burlington, Massachusetts 01803. Taxi/Commercial Operators (ATCO). Aeronautics Board, establish a Standard In addition, one copy of any Foreign Fare Level (SFFL) by adjusting comments submitted to the FAA must Any person may inspect the the SFFL base periodically by be mailed or delivered to Mr. Robert application in person at the FAA office percentage changes in actual operating Juliano, A.A.E., Bureau Chief, listed above under FOR FURTHER costs per available seat-mile (ASM). Connecticut Department of INFORMATION CONTACT. Order 80–2–69 established the first Transportation, Bureau of Aviation and In addition, any person may, upon interim SFFL, and Order 97–02–06 Ports at the following address: 2800 request, inspect the application, notice established the currently effective two- Berlin Turnpike, P.O. Box 317546, and other documents germane to the month SFFL applicable through March Newington, CT. 06131–7546. application in person at the Connecticut 31, 1997. Air carriers and foreign air carriers Department of Transportation Building, In establishing the SFFL for the two- may submit copies of written comments 2800 Berlin Turnpike, Newington, month period beginning April 1, 1997, previously provided the State of Connecticut 06131–7546. 16212 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Issued in Burlington, Massachusetts on Reconciliation Act of 1990) (Pub. L. as well as a joint session of the two March 26, 1997. 101–508) and part 158 of the Federal Committees, will be held at the Bradley A. Davis, Aviation Regulations (14 CFR part 158). Department of Transportation, Room Assistant Manager, Airports Division, New On March 20, 1997, the FAA 6332–36, 400 Seventh Street, SW., England Region. determined that the application to Washington, DC 20590. [FR Doc. 97–8616 Filed 4–3–97; 8:45 am] impose and use the revenue from a PFC On May 6, 1997, at 9:30 a.m., the BILLING CODE 4910±13±M submitted by the Sonoma County TPSSC will meet. Agenda items include: Airport was substantially complete discussion of the National Association within the requirements of § 158.25 of of Pipeline Safety Representatives— Notice of Intent to Rule on Application part 158. The FAA will approve or Industry Petition for changes to 49 CFR impose and use the revenue from a disapprove the application, in whole or Part 192; Update on Gas Gathering Passenger Facility Charge (PFC) at in part, no later than July 3, 1997. The Lines; Office of Pipeline Safety Sonoma County Airport, Santa Rosa, following is a brief overview of the formation of a Liquid Distribution CA impose and use application number 97– Company Risk Assessment Quality 03–C–00–STS: Team (RAQT) with the National AGENCY: Federal Aviation Level of proposed PFC: $3.00. Association of Regulatory Utility Administration (FAA), DOT. Charge effective date: October 1, 1997. Commissioners; Liquefied Natural Gas ACTION: Notice of intent to rule on Estimated charge expiration date: Regulatory Updates; and Excess Flow application. April 1, 2000. Valve Performance Standards and Total estimated PFC revenue: Customer Notification: Final Rule. SUMMARY: The FAA proposes to rule and $336,932. On May 7, 1997, at 1:30 p.m., the invites public comment on the Brief description of impose and use TPSSC will be joined by members of the application to impose and use the projects: Fire Protection Clothing, THLPSSC for a joint session which will revenue from a PFC at Sonoma County Security Screening Building, Land include: Airport under the provisions of the Acquisition for Approach Protection 1. Panel on One Call Legislation Aviation Safety and Capacity Expansion Special Assessment, Airfield Pavement Act of 1990 (Title IX of the Omnibus 2. Report on the Damage Prevention Vacuum Sweeper, Land Acquisition for Quality Action Team Budget Reconciliation Act of 1990) Approach Protection, Taxiway (Pub. L. 101–508) and part 158 of the 3. Metrication Construction, Ramp Fire Protection, and 4. General Regulatory Update Federal Aviation Regulations (14 CFR Airfield Perimeter Fence. 5. Risk Management Demonstration part 158). Class or classes of air carriers which Program: Framework, Standard and DATES: Comments must be received on the public agency has requested not be Performance Measures or before May 5, 1997. required to collect PFCs: None. 6. Risk Management Communications ADDRESSES: Comments on this Any person may inspect the Framework and Orientation Program application in person at the FAA office application may be mailed or delivered On May 7, 1997, from 9:30 a.m. to listed above under ‘‘FOR FURTHER in triplicate to the FAA at the following 12:00 noon, the joint TPSSC-THLPSSC INFORMATION CONTACT’’ and at the address: Federal Aviation session will include: FAA Regional Airports Division located Administration, Airports Division, 1. Briefing on Strategic Goals 15000 Aviation Blvd., Lawndale, CA at: Federal Aviation Administration, Airports Division, 15000 Aviation Blvd., 2. OPS Rulemakings Update 90261, or San Francisco Airports 3. National Pipeline Mapping Project District Office, 831 Mitten Road, Room Lawndale, CA 90261. In addition, any person may, upon request, inspect the and Development of Data Standards 210, Burlingame, CA 94010–1303. In 4. Non-Destructive Evaluation Project addition, one copy of any comments application, notice and other documents germane to the application in person at 5. Offshore Update submitted to the FAA must be mailed or 6. Operator Qualification Negotiated the Sonoma County Airport. delivered to Mr. David E. Andrews, Rulemaking Director of Aviation, Sonoma County Issued in Hawthorne, California, on March At 1:30 p.m., the THLPSSC will meet. 24, 1997. Airport, at the following address: 2200 Agenda items include: Unusually Airport Blvd., Santa Rosa, CA 95403. Robert C. Bloom, Sensitive Areas; Breakout Tanks and Air carriers and foreign air carriers may Acting Manager, Airports Division, Western- Tank Standards; Lines Operating below submit copies of written comments Pacific Region. 20% of SMYS; Update on Oil Pollution previously provided to the Sonoma [FR Doc. 97–8617 Filed 4–3–97; 8:45 am] Act of 1990; Leak Detection and County Airport under § 158.23 of part BILLING CODE 4910±13±M Emergency Flow Restriction Devices; 158. and Risk-Based Alternative to Pressure FOR FURTHER INFORMATION CONTACT: Testing of Hazardous Liquid Pipelines. Marlys Vandervelde, Airports Program Research and Special Programs Each meeting will be open to the Specialist, Airports District Office, 831 Administration (RSPA) public. Members of the public may Mitten Road, Room 210, Burlingame, present oral statements on the topics. CA 94010–1303, Telephone: (415) 876– Meetings of Pipeline Safety Advisory Committees Due to the limited time available, each 2806. The application may be reviewed person who wants to make an oral in person at this same location. Pursuant to section 10(a)(2) of the statement must notify Peggy Thompson, SUPPLEMENTARY INFORMATION: The FAA Federal Advisory Committee Act (Pub. Room 2335, Department of proposes to rule and invites public L. 92–463, 5 U.S.C. App. 1) notice is Transportation Building, 400 Seventh comment on the application to impose hereby given of the following meetings Street, SW., Washington, DC 20590, and use the revenue from a PFC at of the Technical Pipeline Safety telephone (202) 366–4595, not later than Sonoma County Airport under the Standards Committee (TPSSC) and the April 30, 1997, on the topics to be provisions of the Aviation Safety and Technical Hazardous Liquid Pipeline addressed and the time requested to Capacity Expansion Act of 1990 (Title Safety Standards Committee address each topic. The presiding officer IX of the Omnibus Budget (THLPSSC). Each Committee meeting, may deny any request to present an oral Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16213 statement and may limit the time of any New York Avenue, NW., Washington, Office of the Comptroller of the oral presentation. Members of the public DC 20005–3934. Currency may present written statements to the FOR FURTHER INFORMATION CONTACT: [Docket No. 97±07] Committee before or after any meeting. Joseph H. Dettmar, (202) 565–1609. Issued in Washington, DC on April 1, 1997. (TDD for the hearing impaired: (202) Operating Subsidiary Notice Richard B. Felder, 565–1695.) AGENCY: Office of the Comptroller of the Associate Administrator for Pipeline Safety. SUPPLEMENTARY INFORMATION: Currency, Treasury. [FR Doc. 97–8699 Filed 4–3–97; 8:45 am] Additional information is contained in ACTION: Notice and request for comment BILLING CODE 4910±60±U the Board’s decision. To purchase a on an operating subsidiary. copy of the full decision, write to, call, or pick up in person from: DC News & SUMMARY: The Office of the Comptroller DEPARTMENT OF TRANSPORTATION Data, Inc., 1925 K Street, NW., Suite of the Currency (OCC) requests 210, Washington, DC 20006. Telephone: comment concerning an application Surface Transportation Board (202) 289–4357. (Assistance for the filed by NationsBank, National [STB Docket No. AB±3 (Sub±No. 140X) and hearing impaired is available through Association, Charlotte, North Carolina, STB Docket No. AB±486 (Sub-No. 1X)] TDD services (202) 565–1695.) to engage in limited real estate development activities in connection Missouri Pacific Railroad CompanyÐ Decided: April 1, 1997. with bank premises through an Abandonment ExemptionÐin Cloud By the Board, Chairman Morgan and Vice operating subsidiary of the bank. Chairman Owen. and Jewell Counties, KS and Kyle DATES: Comments should be submitted Railroad CompanyÐDiscontinuance Vernon A. Williams, on or before May 5, 1997. ExemptionÐin Cloud and Jewell Secretary. ADDRESSES: Written comments Counties, KS [FR Doc. 97–8776 Filed 4–3–97; 8:45 am] regarding the application should be sent BILLING CODE 4915±00±P AGENCY: Surface Transportation Board. to the Office of the Comptroller of the Currency, Communications Division, ACTION: Notice of exemptions. 250 E Street, SW, Third Floor, SUMMARY: The Board under 49 U.S.C. Washington, DC 20219, Attn: Docket DEPARTMENT OF THE TREASURY 10502 exempts from the prior approval No. 97–07. In addition, comments may requirements of 49 U.S.C. 10903 the be sent by facsimile transmission to fax Federal Law Enforcement Training number (202) 874–5274 or by internet abandonment by Missouri Pacific Center Railroad Company, and the mail to [email protected]. discontinuance of service by Kyle AGENCY: Advisory Committee to the A copy of the application will be Railroad Company, of the 33.4-mile Burr National Center for State, Local, and Oak Branch line located between available for inspection and copying at International Law Enforcement the OCC’s Public Reference Room, 250 milepost 496.3 at Jamestown and Training. milepost 529.7 (end of line) at Burr Oak, E Street, SW, Washington, DC 20219, in Cloud and Jewell Counties, KS, ACTION: Notice of meeting. through the OCC’s Information Line at subject to labor protective conditions (202) 479–0141, or through the OCC’s and an environmental condition. SUMMARY: The agenda for this meeting web site at HTTP:// WWW.OCC.TREAS.GOV. Appointments DATES: Provided no formal expression of includes remarks by Charles Rinkevich, for inspection of comments or the intent to file an offer of financial Director of the Federal Law Enforcement application can be made by calling (202) assistance (OFA) has been received, this Training Center (FLETC); Elizabeth 874–5043. exemption will be effective on May 4, Bresee and Laurie Robinson, Committee 1997. Formal expressions of intent to Co-chairs; and presentations regarding FOR FURTHER INFORMATION CONTACT: file an OFA 1 under 49 CFR the Small Town and Rural Training William B. Glidden, Assistant Director, 1152.27(c)(2) and requests for interim Series (STAR); Export Training Sites Bank Activities and Structure Division, trail use/rail banking under 49 CFR System; Fellowship Program; RCMP (202) 874–5300, or Robert Sihler, Senior 1152.29 must be filed by April 14, 1997; Faculty Exchange Program, and Bank Structure Analyst, Bank petitions to stay must be filed by April Leadership Program. Organization and Structure, (202) 874– 5060. 21, 1997; requests for a public use DATES: April 10, 1997. condition under 49 CFR 1152.28 must SUPPLEMENTARY INFORMATION: A national be filed by April 24, 1997; and petitions ADDRESSES: Federal Law Enforcement bank may establish or acquire an to reopen must be filed by April 29, Training Center, Glynco, Georgia. operating subsidiary to conduct, or may conduct in an existing operating 1997. FOR FURTHER INFORMATION CONTACT: subsidiary, activities that are part of or ADDRESSES: Send pleadings referring to Hobart M. Henson, Director, National incidental to the business of banking, as STB Docket Nos. AB–3 (Sub-No. 140X) Center for State, Local, and International determined by the OCC pursuant to 12 and AB–486 (Sub-No. 1X) to: (1) Office Law Enforcement Training, Federal Law U.S.C. 24 (Seventh), and other activities of the Secretary, Case Control Unit, Enforcement Training Center, Glynco, permissible for national banks or their Surface Transportation Board, 1925 K Georgia 31524, 1–800–743–5382. Street, N.W., Washington, DC 20423– subsidiaries under other statutory Dated: March 27, 1997. 0001, and (2) Joseph D. Anthofer, Union authority. Section 5.34(d) of 12 CFR part Pacific Railroad Company, 1416 Dodge Steve Kernes, 5 authorizes the OCC to permit a Street (#830), Omaha, NE 68179–0001 Acting Director, National Center for State, national bank to conduct an activity and Fritz R. Kahn, Suite 750 West, 1100 Local, and International Law Enforcement through its operating subsidiary that is Training. different from that permissible for the 1 See Exempt. of Rail Abandonment—Offers of [FR Doc. 97–8628 Filed 4–3–97; 8:45 am] parent national bank, subject to the Finan. Assist., 4 I.C.C.2d 164 (1987). BILLING CODE 4810±32±M additional requirements specified in 12 16214 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

CFR 5.34(f). For activities not previously parent national bank. In publishing SUPPLEMENTARY INFORMATION: A national approved by the OCC, the OCC provides notice of the application, the OCC does bank may establish or acquire an public notice and opportunity for not take a position on issues raised by operating subsidiary to conduct, or may comment on the application by the proposal. Notice is published solely conduct in an existing operating publishing notice of the application in to seek the views of interested persons subsidiary, activities that are part of or the Federal Register. on the issues presented and does not incidental to the business of banking, as NationsBank, National Association, represent a determination by the OCC determined by the OCC pursuant to 12 Charlotte, North Carolina, has applied to that the proposal meets, or is likely to U.S.C. 24(Seventh), and other activities the OCC pursuant to 12 CFR 5.34(f) to meet, the criteria outlined above. permissible for national banks or their establish an operating subsidiary. Interested parties are invited to subsidiaries under other statutory NationsBank’s application generally comment on any aspect of the authority. Section 5.34(d) of 12 CFR part describes the activities in which the application. 5 authorizes the OCC to permit a operating subsidiary will engage as Dated: March 31, 1997. national bank to conduct an activity follows: through its operating subsidiary that is Eugene A. Ludwig, The subsidiary will engage in the different from that permissible for the development of real estate in locations Comptroller of the Currency. parent national bank, subject to the that the bank already occupies through [FR Doc. 97–8572 Filed 4–3–97; 8:45 am] additional requirements specified in 12 the maintenance of bank premises, in BILLING CODE 4810±33±P CFR 5.34(f). For activities not previously order to gain increased flexibility in approved by the OCC, the OCC provides enhancing its premises locations by public notice and opportunity for making them economically more [Docket No. 97±06] comment on the application by vibrant. The subsidiary will be subject publishing notice of the application in to the safeguards specified in 12 CFR Operating Subsidiary Notice the Federal Register. 5.34(f). The bank further states that such flexibility will better enable it to AGENCY: Office of the Comptroller of the NationsBank, National Association, contribute to the communities in which Currency, Treasury. Charlotte, North Carolina, has applied to it operates as well as to make a safer, ACTION: Notice and request for comment the OCC pursuant to 12 CFR 5.34(f) to more pleasant work environment for on an operating subsidiary. establish an operating subsidiary. employees and customers. The bank is NationsBank’s application generally currently considering sponsoring the SUMMARY: The Office of the Comptroller describes the activities in which the development of a building to be located of the Currency (OCC) requests operating subsidiary will engage as in Charlotte which would house comment concerning an application follows: approximately 45 residential filed by NationsBank, National The subsidiary will engage in real condominium units. Most of the land on Association, Charlotte, North Carolina, estate lease financing transactions on a which the apartment building will be to engage in real estate lease financing nationwide basis, subject to the constructed has been owned for over 25 through an operating subsidiary of the safeguards specified in 12 CFR 5.34(f) years by the bank and was the site of a bank. and certain limitations designed to minimize the risk to the subsidiary and bank branch. NationsBank is now in the DATES: Comments should be submitted the bank. In particular, the transactions process of constructing an office on or before May 5, 1997. building on the site to be used as bank will be on a ‘‘nonoperating’’ basis and ADDRESSES: Written comments premises. The value of the office for an initial term of at least 90 days. regarding the application should be sent building and land is estimated to be $56 The leases will be ‘‘full payout’’ leases to the Office of the Comptroller of the million, and the cost of constructing the designed to yield a return that will Currency, Communications Division, residential building is estimated to be compensate the subsidiary for not less 250 E Street, SW., Third Floor, $13 million. Thus, the bank states that than its full investment in the real Washington, DC 20219, Attn: Docket the residential building will be ancillary property plus the estimated total cost of No. 97–06. In addition, comments may to its office building, and that both financing the property over the term of buildings will form an integrated mixed- be sent by facsimile transmission to fax the lease from rental payments, use development with shared parking. number (202) 874–5274 or by internet estimated tax benefits, and the Future projects are expected to be mail to estimated residual value of the property limited in number and in all cases will [email protected]. at the expiration of the initial term. For be confined to areas adjacent to or near A copy of the application will be purposes of determining whether a bank premises. These projects may available for inspection and copying at given lease is a full payout lease, the include the construction of an office the OCC’s Public Reference Room, 250 estimated residual value of the property building, retail space or a residential E Street, SW., Washington, DC 20219, will not exceed 25 percent of the building. In order to ensure that the through the OCC’s Information Line at acquisition cost of the property to the subsidiary’s activities remain consistent (202) 479–0141, or through the OCC’s subsidiary. The subsidiary will acquire with the parameters described above, web site at HTTP:// real property only in connection with a NationsBank states that it will submit a WWW.OCC.TREAS.GOV. Appointments proposed leasing transaction. Thus, it detailed description of each future for inspection of comments or the will not acquire real property in project to the OCC for prior approval. application can be made by calling (202) anticipation of leasing the property at a The OCC reviews operating subsidiary 874–5043. later date. If upon termination or applications to determine whether the FOR FURTHER INFORMATION CONTACT: expiration of the lease the lessee does proposed activities are legally William B. Glidden, Assistant Director, not acquire the real property, the permissible for an operating subsidiary Bank Activities and Structure Division, subsidiary either will enter into a new and to ensure that the proposal is (202) 874–5300, or Robert Sihler, Senior lease agreement with the lessee or with consistent with safe and sound banking Bank Structure Analyst, Bank a third party or will reclassify the practices and OCC policy and does not Organization and Structure, (202) 874– property as OREO and dispose of the endanger the safety or soundness of the 5060. property in accordance with OCC OREO Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16215 guidelines. NationsBank states that in Service, room 5571, 1111 Constitution Approved: March 27, 1997. its opinion when the real estate lease Avenue NW., Washington, DC 20224. Garrick R. Shear, financing transactions are conducted as SUPPLEMENTARY INFORMATION: IRS Reports Clearance Officer. described they will be the functional [FR Doc. 97–8693 Filed 4–3–97; 8:45 am] Title: Certain Gambling Winnings. equivalent of mortgage loans made by BILLING CODE 4830±01±U the subsidiary. OMB Number: 1545–0238. The OCC reviews operating subsidiary Form Number: W–2G. Abstract: Internal Revenue Code applications to determine whether the Proposed Collection; Comment sections 6041, 3402(q), and 3406 require proposed activities are legally Request for Form 1040EZ permissible for an operating subsidiary payers of certain gambling winnings to and to ensure that the proposal is withhold tax and to report the winnings AGENCY: Internal Revenue Service (IRS), consistent with safe and sound banking to the IRS. IRS uses the information to Treasury. verify compliance with the reporting practices and OCC policy and does not ACTION: Notice and request for rules and to verify that the winnings are endanger the safety or soundness of the comments. properly reported on the recipient’s tax parent national bank. In publishing return. SUMMARY: The Department of the notice of the application, the OCC does Current Actions: There are no changes not take a position on issues raised by Treasury, as part of its continuing effort being made to the form at this time. to reduce paperwork and respondent the proposal. Notice is published solely Type of Review: Extension of a to seek the views of interested persons burden, invites the general public and currently approved collection. other Federal agencies to take this on the issues presented and does not Affected Public: Businesses or other opportunity to comment on proposed represent a determination by the OCC for-profit organizations, state or local and/or continuing information that the proposal meets, or is likely to governments, and non-profit collections, as required by the meet, the criteria outlined above. institutions. Interested parties are invited to Estimated Number of Respondents: Paperwork Reduction Act of 1995, comment on any aspect of the 6,400. Public Law 104–13 (44 U.S.C. application. Estimated Time Per Respondent: 8 hr. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Form Dated: March 31, 1997. 49 min. Estimated Total Annual Burden 1040EZ, Income Tax Return for Single Eugene A. Ludwig, Hours: 564,200. and Joint Filers With No Dependents. Comptroller of the Currency. The following paragraph applies to all DATES: Written comments should be [FR Doc. 97–8573 Filed 4–3–97; 8:45 am] of the collections of information covered received on or before June 3, 1997 to be BILLING CODE 4810±33±P by this notice: assured of consideration. An agency may not conduct or ADDRESSES: Direct all written comments sponsor, and a person is not required to Internal Revenue Service to Garrick R. Shear, Internal Revenue respond to, a collection of information Service, room 5571, 1111 Constitution unless the collection of information Avenue NW., Washington, DC 20224. Proposed Collection; Comment displays a valid OMB control number. Request for Form W±2G Books or records relating to a collection FOR FURTHER INFORMATION CONTACT: Requests for additional information or AGENCY: of information must be retained as long Internal Revenue Service (IRS), copies of the form and instructions Treasury. as their contents may become material in the administration of any internal should be directed to Martha R. Brinson, ACTION: Notice and request for (202) 622–3869, Internal Revenue comments. revenue law. Generally, tax returns and tax return information are confidential, Service, room 5571, 1111 Constitution SUMMARY: The Department of the as required by 26 U.S.C. 6103. Avenue NW., Washington, DC 20224. Treasury, as part of its continuing effort Request for Comments SUPPLEMENTARY INFORMATION: to reduce paperwork and respondent Title: Income Tax Return for Single burden, invites the general public and Comments submitted in response to and Joint Filers With No Dependents. other Federal agencies to take this this notice will be summarized and/or OMB Number: 1545–0675. opportunity to comment on proposed included in the request for OMB Form Number: 1040EZ. and/or continuing information approval. All comments will become a Abstract: This form is used by certain collections, as required by the matter of public record. Comments are individuals to report their income Paperwork Reduction Act of 1995, invited on: (a) Whether the collection of subject to income tax and to figure their Public Law 104–13 (44 U.S.C. information is necessary for the proper correct tax liability. The data is also 3506(c)(2)(A)). Currently, the IRS is performance of the functions of the used to verify that the items reported on soliciting comments concerning Form agency, including whether the the form are correct and are also for W–2G, Certain Gambling Winnings. information shall have practical utility; (b) the accuracy of the agency’s estimate general statistical use. DATES: Written comments should be of the burden of the collection of Current Actions: There are no changes received on or before June 3, 1997 to be information; (c) ways to enhance the being made to the form at this time. assured of consideration. quality, utility, and clarity of the Type of Review: Extension of a ADDRESSES: Direct all written comments information to be collected; (d) ways to currently approved collection. to Garrick R. Shear, Internal Revenue minimize the burden of the collection of Affected Public: Individuals or Service, room 5571, 1111 Constitution information on respondents, including households. Avenue NW., Washington, DC 20224. through the use of automated collection Estimated Number of Respondents: FOR FURTHER INFORMATION CONTACT: techniques or other forms of information 15,705,603. Requests for additional information or technology; and (e) estimates of capital Estimated Time Per Respondent: 2 hr. copies of the form and instructions or start-up costs and costs of operation, 4 min. should be directed to Martha R. Brinson, maintenance, and purchase of services Estimated Total Annual Burden (202) 622–3869, Internal Revenue to provide information. Hours: 32,452,166. 16216 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

The following paragraph applies to all Completed by All Applicants for information is necessary for the proper of the collections of information covered Permanent Residence in the United performance of the functions of the by this notice: States. agency, including whether the An agency may not conduct or DATES: Written comments should be information shall have practical utility; sponsor, and a person is not required to received on or before June 3, 1997, to be (b) the accuracy of the agency’s estimate respond to, a collection of information assured of consideration. of the burden of the collection of unless the collection of information ADDRESSES: Direct all written comments information; (c) ways to enhance the displays a valid OMB control number. to Garrick R. Shear, Internal Revenue quality, utility, and clarity of the Books or records relating to a collection Service, room 5571, 1111 Constitution information to be collected; (d) ways to of information must be retained as long Avenue NW., Washington, DC 20224. minimize the burden of the collection of as their contents may become material information on respondents, including FOR FURTHER INFORMATION CONTACT: in the administration of any internal through the use of automated collection Requests for additional information or revenue law. Generally, tax returns and techniques or other forms of information copies of the information collection tax return information are confidential, technology; and (e) estimates of capital should be directed to Carol Savage, as required by 26 U.S.C. 6103. or start-up costs and costs of operation, (202) 622–3945, Internal Revenue maintenance, and purchase of services Request for Comments Service, room 5569, 1111 Constitution to provide information. Comments submitted in response to Avenue NW., Washington, DC 20224. this notice will be summarized and/or Approved: April 1, 1997. SUPPLEMENTARY INFORMATION: included in the request for OMB Garrick R. Shear, approval. All comments will become a Title: Additional Questions to be IRS Reports Clearance Officer. matter of public record. Completed by All Applicants for [FR Doc. 97–8695 Filed 4–3–97; 8:45 am] Comments are invited on: (a) Whether Permanent Residence in the United BILLING CODE 4830±01±U the collection of information is States. necessary for the proper performance of OMB Number: 1545–1065. the functions of the agency, including Form Number: Form 9003. Nonconventional Source Fuel Credit; whether the information shall have Abstract: Internal Revenue Code Publication of Inflation Adjustment practical utility; (b) the accuracy of the section 6039E requires that applicants Factor, Nonconventional Source Fuel agency’s estimate of the burden of the for permanent residence in the United Credit, and Reference Price for collection of information; (c) ways to States must give information regarding Calendar Year 1996 enhance the quality, utility, and clarity their last three years tax history with of the information to be collected; (d) their applications or face a possible AGENCY: Internal Revenue Service (IRS), ways to minimize the burden of the $500 penalty. Form 9003 is used for this Treasury. purpose. collection of information on ACTION: Publication of inflation Current Actions: There are no changes respondents, including through the use adjustment factor, nonconventional being made to the form at this time. of automated collection techniques or source fuel credit, and reference price Type of Review: Extension of a other forms of information technology; for calendar year 1996 as required by currently approved collection. and (e) estimates of capital or start-up section 29 of the Internal Revenue Code Affected Public: Individuals or costs and costs of operation, (26 U.S.C. section 29). maintenance, and purchase of services households. Estimated Number of Respondents: to provide information. SUMMARY: 933,000. The inflation adjustment Approved: March 27, 1997. Estimated Time Per Respondent: 5 factor, nonconventional source fuel Garrick R. Shear, minutes. credit, and reference price are used in IRS Reports Clearance Officer. Estimated Total Annual Burden determining the tax credit allowable on [FR Doc. 97–8694 Filed 4–3–97; 8:45 am] Hours: 77,750. the production of fuel from BILLING CODE 4830±01±U The following paragraph applies to all nonconventional sources under section of the collections of information covered 29. by this notice: DATES: The 1996 inflation adjustment Proposed Collection; Comment An agency may not conduct or factor, nonconventional source fuel Request for Form 9003 sponsor, and a person is not required to credit, and reference price apply to AGENCY: Internal Revenue Service (IRS), respond to, a collection of information qualified fuels sold during calendar year Treasury. unless the collection of information 1996. ACTION: Notice and request for displays a valid OMB control number. Inflation Factor: The inflation comments. Books or records relating to a collection adjustment factor for calendar year 1996 of information must be retained as long is 1.9837. SUMMARY: The Department of the as their contents may become material Treasury, as part of its continuing effort in the administration of any internal Credit: The nonconventional source to reduce paperwork and respondent revenue law. Generally, tax returns and fuel credit for calendar year 1996 is burden, invites the general public and tax return information are confidential, $5.95 per barrel-of-oil equivalent of other Federal agencies to take this as required by 26 U.S.C. 6103. qualified fuels. opportunity to comment on proposed Price: The reference price for calendar and/or continuing information Request for Comments year 1996 is $18.46. Because this collections, as required by the Comments submitted in response to reference price does not exceed $23.50 Paperwork Reduction Act of 1995, this notice will be summarized and/or multiplied by the inflation adjustment Public Law 104–13 (44 U.S.C. included in the request for OMB factor, the phaseout of credit provided 3506(c)(2)(A)). Currently, the IRS is approval. All comments will become a for in section 29(b)(1) does not occur for soliciting comments concerning Form matter of public record. Comments are any qualified fuel sold in calendar year 9003, Additional Questions to be invited on: (a) Whether the collection of 1996. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16217

FOR FURTHER INFORMATION CONTACT: Monday, April 7, 1997, beginning at Office of Thrift Supervision 8:30 a.m. For the inflation factor and credit— [AC±6; OTS Nos. H±2838 and 2999] Thomas Thompson, CP:R:R:AR:E, The purpose of the meeting is to Internal Revenue Service, 1111 discuss topics and questions which may Rocky Ford Federal Savings and Loan Constitution Ave., NW., Washington, be recommended for inclusion on future Association, Rocky Ford, Colorado; DC 20224, Telephone Number (202) Joint Board examinations in actuarial Approval of Conversion Application 874–0585 (not a toll-free number). mathematics and methodology referred to in Title 29 U.S. Code, Section 1242 Notice is hereby given that on March For the reference price—David 27, 1997, the Director, Corporate (a)(1)(B). McMunn, CC:DOM:P&SI:6, Internal Activities, Office of Thrift Supervision, Revenue Service, 1111 Constitution We have determined as required by or her designee, acting pursuant to Ave., NW., Washington, DC 20224, section 10(d) of the Federal Advisory delegated authority, approved the Telephone Number (202) 622–3110 (not Committee Act (Pub. L. 92–463), that application of Rocky Ford Federal a toll-free number). the subject of the meeting falls with the Savings and Loan Association, Rocky Daniel J. Wiles, exception to the open meeting Ford, Colorado, to convert to the stock Acting Associate Chief Counsel (Domestic). requirement set forth in Title 5 U.S. form of organization. Copies of the [FR Doc. 97–8696 Filed 4–3–97; 8:45 am] Code, section 552(c)(9)(B), and that the application are available for inspection BILLING CODE 4830±01±U public interest requires that such at the Dissemination Branch, Office of meeting be closed to public Thrift Supervision, 1700 G Street, NW., participation. Washington, DC 20552, and the Joint Board for the Enrollment of Midwest Regional Office, Office of Actuaries; Advisory Committee on Dated: March 27, 1997. Thrift Supervision, 122 W. John Actuarial Examinations; Meeting Robert I. Brauer, Carpenter Freeway, Suite 600, Irving, Advisory Committee Management Officer, Texas 75039–2010. Notice is hereby given that the Joint Board for the Enrollment of Actuaries. Dated: April 1, 1997. Advisory Committee on Actuarial [FR Doc. 97–8697 Filed 4–3–97; 8:45 am] By the Office of Thrift Supervision. Examinations will meet in the BILLING CODE 4830±01±U Conference Room of William M. Mercer, Nadine Y. Washington, Incorporated, 30th Floor, Conference Corporate Secretary. Room 30C, 1166 Avenue of the [FR Doc. 97–8629 Filed 4–3–97; 8:45 am] Americas, New York, New York, on BILLING CODE 6720±01±M 16218

Corrections Federal Register Vol. 62, No. 65

Friday, April 4, 1997

This section of the FEDERAL REGISTER DEPARTMENT OF JUSTICE Tuesday, March 18, 1997, make the contains editorial corrections of previously following correction: published Presidential, Rule, Proposed Rule, Drug Enforcement Administration and Notice documents. These corrections are On page 12846, in the second column, prepared by the Office of the Federal [Docket No. 96±36] in the 13th line from the bottom, Register. Agency prepared corrections are ‘‘47,063’’ should read ‘‘46,063’’. Yu±To Hsu, M.D., Denial of Application issued as signed documents and appear in BILLING CODE 1505-01-D the appropriate document categories Correction elsewhere in the issue. In notice document 97–6793, OFFICE OF PERSONNEL beginning on page 12840 in the issue of MANAGEMENT Tuesday, March 18, 1997, make the DEPARTMENT OF AGRICULTURE following corrections: 5 CFR Part 591 1. On page 12840, in the third Animal and Plant Health Inspection column, in the second full paragraph, in Service the first line, ‘According’’’ should read RIN 3206±AH07 ‘‘Accordingly’’. 7 CFR Parts 300 and 319 2. On page 12841, in the first column, Cost-of-Living Allowances (Nonforeign in the second full paragraph, in the Areas) [Docket No. 96±046±1] tenth line, ‘‘38’’ should read ‘‘28’’. Correction 3. On page 12841, in the second Importation of Fruits and Vegetables column, in the second full paragraph, in In rule document 97–7380, beginning the tenth line, ‘‘fiend’’ should read Correction on page 14188, in the issue of Tuesday, ‘‘friend’’ March 25, 1997, make the following In proposed rule document 97–7455, BILLING CODE 1505-01-D correction: beginning on page 14037, in the issue of On page 14188, in the second column, Tuesday, March 25, 1997, make the DEPARTMENT OF JUSTICE in the Implementation of rate changes following correction: paragraph, in the fifth line, ‘‘[Insert date On page 14039, in the first column, in Drug Enforcement Administration of publication in the Federal Register]’’ Garlic From Romania, in the first [Docket No. 95±36] should read ‘‘March 25, 1997’’. paragraph, in the third garlic treatment, BILLING CODE 1505-01-D in the first line, ‘‘40 g/m3 (2 lbs/1000 Donald P. Tecca, M.D. Continuation of ft3)’’ should read ‘‘40 g/m3 (2 1/2 lbs/ Registration With Restrictions 1000 ft3)’’. Correction BILLING CODE 1505-01-D In notice document 97–6795, beginning on page 12842 in the issue of federal register April 4,1997 Friday Rule and PilotSchoolCertificationRules;Final Pilot, FlightInstructor,Ground 14 CFRParts1,61,141,and143 Federal AviationAdministration Transportation Department of Part II 16219 16220 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

DEPARTMENT OF TRANSPORTATION certificates and holders of special requirement in 14 CFR part 121. Since purpose pilot authorizations. In the covered operations in part 121 have Federal Aviation Administration addition, these amendments extend the been changed, the operations in part 61 compliance date for these pilots to meet that are subject to an age limitation have 14 CFR Parts 1, 61, 141, and 143 these provisions. These amendments are been similarly changed. These are, in [Docket No. 25910; Amendment Nos. 1±47, discussed fully in the preamble of 14 essence, technical amendments. The 61±102, 141±8, 143±6] CFR 61.3 and 61.77. Because these FAA does not believe that these issues were set forth in previous amendments will cause undue RIN 2120±AE71 rulemaking actions and interested hardship. Pilot, Flight Instructor, Ground persons commented on these issues, For these reasons, notice and public Instructor, and Pilot School these amendments are being adopted comment procedures are impracticable, Certification Rules without prior notice and prior public unnecessary, and contrary to the public comment. However, the Regulatory interest. As a result, the FAA, for good AGENCY: Federal Aviation Policies and Procedures of the cause, finds that ‘‘notice and public Administration, DOT. Department of Transportation (DOT) (44 procedures thereon’’ are unnecessary ACTION: Final rule; request for FR 1134; February 26, 1979) provide within the meaning of 5 U.S.C. 553(b)(B) comments. that, to the maximum extent possible, of the Administrative Procedure Act. operating administrations for the DOT Individuals will have an opportunity to SUMMARY: This rule revises the Federal should provide an opportunity for submit comments concerning these Aviation Regulations (FAR) that public comment on regulations issued amendments by June 3, 1997. prescribe the certification, training, and without prior notice. experience requirements for pilots, Accordingly, interested persons are Availability of Final Rule flight instructors, and ground invited to participate in this rulemaking Any person may obtain a copy of this instructors, and the certification by submitting such written data, views, rule by submitting a request to the FAA, requirements for pilot schools approved or arguments as they may desire Office of Rulemaking, Attention: ARM– by the Federal Aviation Administration regarding the FAA expanding the 1, 800 Independence Avenue, SW., (FAA). This rule updates these applicability of the ‘‘Age 60 Rule’’ in 14 Washington, DC 20591, or by calling requirements to enhance the ability of CFR part 61 to include 10–30 seat (202) 267–9680. Requests should be pilots to meet the evolving demands of aircraft. Comments may be delivered or identified by the amendment number or the National Airspace System (NAS) mailed, in triplicate, to the FAA, Office docket number. and operate safely and effectively in this of the Chief Counsel, Attn: Rules Docket Using a modem and suitable environment. (AGC–200), Docket No. 25910, 800 communications software, an electronic DATES: This rule is effective August 4, Independence Avenue SW., Room 915G, copy of this document may be 1997. Comments must be submitted on Washington, DC 20591. Comments downloaded from the FAA regulations or before June 3, 1997. submitted to this rule must be marked: section of the FedWorld electronic ADDRESSES: Comments on the proposals Docket No. 25910. Comments also may bulletin board service (telephone: 703– may be delivered or mailed in triplicate be sent electronically to the following 321–3339), the Federal Register’s to: Federal Aviation Administration, Internet address: 9-nprm- electronic bulletin board service Office of the Chief Counsel, Attention: [email protected]. Comments may be (telephone: 202–512–1661) or the FAA’s Rules Docket (AGC–10), Docket No. examined in Room 915G between 8:30 Aviation Rulemaking Advisory 25910, 800 Independence Avenue, SW., a.m. and 5:00 p.m. on weekdays, except Committee Bulletin Board service Washington, DC 20591. All comments Federal holidays. (telephone: 202–267–5948). must be marked ‘‘Docket No. 25910.’’ All comments received, as well as a Internet users may reach the FAA’s Comments may be examined in the report summarizing each substantive web page at http://www.faa.gov, or the Rules Docket, Room 915G, weekdays public contact with FAA personnel on Federal Register’s web page at http:// l between 8:30 a.m. and 5 p.m., except on this rulemaking, will be filed in the www.access.gpo.gov/su docs for Federal holidays. public docket. The docket is available access to recently published rulemaking for public inspection before and after FOR FURTHER INFORMATION CONTACT: John documents. the comment closing date. This Lynch, Certification Branch, AFS–840, Outline of Final Rule amendment may be changed in light of General Aviation and Commercial the comments received on this final I. General Aviation Policy Statement Division, Flight Standards Service, rule. II. Background FAA, 800 Independence Avenue, SW., Commenters who want the FAA to III. Proposed Rule and General Description of Comments Washington, DC 20591; telephone (202) acknowledge receipt of comments 267–3844. IV. Discussion of Major Issues submitted on this rule must submit a A. The exercise of recreational pilot SUPPLEMENTARY INFORMATION: preaddressed, stamped postcard with certificate privileges those comments on which the following Comments Invited 1. Medical requirements for recreational statement is made: ‘‘Comments to pilots and holders of higher pilot This final rule contains amendments Docket No. 25910.’’ The postcard will be certificates exercising the privileges of a that were not proposed in Notice of date-stamped by the FAA and will be recreational pilot certificate Proposed Rulemaking (NPRM) No. 95– returned to the commenter. 2. Elimination of the 50-nautical mile 11 which was published in the Federal limitation for recreational pilots Register on August 11, 1995 (60 FR Good Cause for Immediate Adoption B. Recent flight experience 41160). The amendments extend the The FAA finds that notice and public 1. Takeoffs and landings 2. Recent instrument experience applicability of the ‘‘Age 60 Rule’’ (14 comment on the above amendments are C. Lighter-than-air flight instructor CFR 121.383(c) for operational unnecessary. As stated in the preamble certificate requirements, and § 61.77 for to Notice No. 95–11, the changes to the D. New instrument ratings certification requirements) to 10–30 seat age 60 requirements in part 61 were 1. Single-engine and multiengine ratings aircraft, for holders of U.S. pilot intended to be similar to the age 60 2. Airship Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16221

3. Powered-lift II. Background 3. A requirement for an applicant to E. Requirements for instrument ratings complete a training curricula and F. New aircraft category and class ratings This rule is based on the proposals contained in Notice of Proposed receive a flight instructor endorsement 1. Powered-lift prior to qualifying in an airplane that 2. Glider class ratings Rulemaking (NPRM) No. 95–11, ‘‘Pilot, G. English language requirements Flight Instructor, Ground Instructor, and requires a type rating; H. Areas of operation Pilot School Certification Rules,’’ which 4. A provision to permit pilots to V. Section by Section Analysis was published in the Federal Register complete a phase of an FAA-sponsored pilot proficiency program (WINGS I. General Aviation Policy Statement (60 FR 41160) on August 11, 1995. Since September of 1987, the FAA has program) in lieu of a biennial flight On September 8, 1993, the FAA been conducting a regulatory review of review (BFR); Administrator issued a general aviation parts 61, 141, and 143. These 5. A requirement for pilot applicants policy statement in which he recognized regulations pertain to certification and to receive ground training on stall that the general aviation industry is a training requirements for pilots, flight awareness, spin entry, spins, and spin critically important part of the nation’s instructors, and ground instructors, and recovery techniques; economy and the national the certification and operation of pilot 6. A requirement for pilot applicants transportation system. The schools that are approved by the FAA. to receive flight training on flight at Administrator stated the following: This regulatory review was initiated in slow airspeeds with realistic General aviation plays a crucial role in response to advancements in aviation distractions and the recognition of, and flight training for all segments of aviation and technology, training, and changes in the recovery from, stalls; provides unique personal and recreational NAS that have occurred since the last 7. A requirement for flight instructor opportunities. It makes vital contributions to major revisions to these regulations in applicants to receive actual spin activities ranging from business aviation, to the early 1970’s. The FAA has received training; agricultural operations, to warbird 8. A requirement for flight instructor preservation, to glider and balloon flights. numerous petitions for exemption and Accordingly, it is the policy of the FAA to letters from the public suggesting applicants to perform a spin foster and promote general aviation while changes to the current regulations. At demonstration on retests when the continuing to improve its safety record. the time the NPRM was issued, there reason for the previous failure was due These goals are neither contradictory nor had been 41 amendments and to deficiencies of knowledge or skill separable. They are best achieved by approximately 3,616 exemption actions relating to stall awareness, spin entry, cooperating with the aviation community to to parts 61 and 141. Recommendations spins, or spin recovery techniques; define mutual concerns and joint efforts to and comments from the National 9. A provision that FAA inspectors accomplish objectives. We will strive to and designated pilot examiners may achieve the goals through voluntary Transportation Safety Board (NTSB), the compliance and methods designed to reduce public, and the FAA also have accept an instructor endorsement in lieu the regulatory burden on general aviation. demonstrated the need for the of a spin demonstration on a practical test for the flight instructor certificate; The FAA’s general aviation programs regulatory review. A major goal of the 10. A requirement in part 141 that a will focus on: review has been to identify differences chief or assistant chief flight instructor 1. Safety—To protect recent gains and between the rules and the level of be available by telephone, radio, or aim for a new threshold. training demanded of pilots in today’s 2. FAA Services—To provide the aviation environment. other electronic means only during the general aviation community with In support of this regulatory review, time that instruction is given for an responsive, customer-driven the FAA completed an historical review approved course of training; certification, air traffic, and other of parts 61, 141, and 143 in January 11. A provision in part 141 to permit services. 1988. During this review, the FAA the initial designation of assistant chief 3. Product Innovation and received comments from pilot schools flight instructors who possess half the Competitiveness—To ensure the and college and university aviation experience requirements of chief flight technological advancement of general departments operating under parts 61 instructors; aviation. and 141. Three major areas were 12. A provision to eliminate the 100- 4. System Access and Capacity—To identified during the review: issues of hour currency requirements in part 141 maximize general aviation’s ability to immediate concern recommended by for obtaining initial designation as a operate in the NAS. the NTSB and public comments; the chief flight instructor; and 5. Affordability—To promote requirements for aircraft operations in 13. A provision to eliminate the 25- economic and efficient general aviation today’s environment; and the mile distance restriction for establishing operations, expand participation, and requirements for pilots in the year 2010 satellite bases in part 141. stimulate industry growth. and beyond. Accordingly, the regulatory This final rule reflects the results of Accordingly, this rulemaking project review was divided into three phases Phase 2 of the regulatory review. Phase is designed to meet these general corresponding to these needs. The final 2 addressed issues affecting parts 1, 61, aviation goals and to provide economic rule, based on Phase 1 of this review (56 141, and 143. Prior to publishing this relief from unnecessary, burdensome FR 11308; March 15, 1991), contained rule, the FAA issued a notice of meeting regulations. Throughout this process, the following: (54 FR 22732; May 25, 1989) that the FAA has been in a partnership with 1. A requirement to obtain training announced four public meetings and the general aviation community in and a flight instructor endorsement to outlined the general topics to be developing and revising the rules in 14 serve as pilot in command of a tailwheel considered for this final rule. The four CFR parts 61, 141, and 143 to ensure airplane; public meetings were held before the aviation safety, and yet delete 2. A requirement to obtain training drafting of this rule and were held in unnecessary, burdensome rules. The and a flight instructor endorsement to Washington, DC (September 12–13, FAA is committed to developing rules serve as pilot in command of a 1989); Chicago, Illinois (September 19– that are fair and reasonable, and yet pressurized airplane capable of high 20, 1989); Los Angeles, California promote a high level of pilot training altitude flight above 25,000 mean sea (October 3–4, 1989); and Orlando, and qualification. level (MSL); Florida (October 16–17, 1989). 16222 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Phase 2 also involved a Pilot and petition, the EAA requested the Aircraft Flight Simulator Use in Pilot Flight Instructor Job Task Analysis following: Training, Testing, and Checking at (JTA), completed on March 31, 1989, 1. Eliminating the requirement that a Training Centers; Final Rule which consolidated the results of a recreational pilot hold at least a third- On July 2, 1996, the FAA issued study on areas of pilot knowledge, class medical certificate; Amendment Nos. 1–45, 61–100, 91–251, skills, abilities, and attitudes required in 121–259, 125–27, 135–63, 141–7, 142, today’s aviation environment. The JTA 2. Requiring a recreational pilot to self-certify that he or she has no known and SFAR 58–2, ‘‘Aircraft Flight provided the framework for this phase Simulator Use in Pilot Training, Testing, of the regulatory review and information medical deficiency that would make and Checking at Training Centers; Final for use in training programs and him or her unable to fly; Rule’’ (61 FR 34508–34568), practical test standards. Most of the JTA 3. Eliminating the 50-nautical mile subsequently referred to as Amendment consisted of data, based on experts’ limitation for those recreational pilots No. 61–100. Those provisions of opinions, used to quantify the relative who obtain additional training; Amendment No. 61–100 that revised importance of knowledge, skills, part 61 and Amendment No. 141–7 that abilities, and attitudes. The JTA also 4. Permitting a pilot with a higher revised part 141 have been included in included a panel that discussed current certificate or rating who no longer has this rule. In addition, some of the and future pilot training needs and a medical certificate, but who self- provisions of Amendment Nos. 61–100 whose objective was to project pilot certifies that he or she is physically fit training needs 3 to 10 years into the to fly, to exercise the privileges of a and 141–7 have been modified to future. The panel discussed changing recreational pilot certificate, subject to conform with changes adopted in this final rule and to correct several mistakes technology, airline pilot requirements, the limitations of the recreational pilot and omissions that were contained in airspace, training, instructors, and certificate; and Amendment Nos. 61–100 and 141–7. aviation economics. A copy of the JTA 5. Eliminating the recreational pilot is available for examination in Docket Amendment No. 61–100 redesignated certificate limitations for cross-country, No. 25627. §§ 61.2, 61.3, and 61.5 as §§ 61.3, 61.5, On February 9 and 10, 1993, the FAA night flight, and flight into airspace and 61.6, respectively. In addition, that conducted information-gathering requiring communication with air traffic amendment added a new section, § 61.2, meetings with a number of aviation control for those pilots with higher Definition of terms. In this final rule, organizations and schools on the certificates and ratings who no longer § 61.1 includes both the applicability comments received in Docket No. have medical certificates, but who self- provisions and the definitions of terms 25627. These meetings concerned issues evaluate that they are physically fit to currently found in § 61.1 and § 61.2. raised during the earlier public meetings fly. Accordingly, §§ 61.2, 61.3, 61.5, and the preamble discussion of those sections in and the information received during the The comment period for the EAA this final rule reflect the structure of JTA. The invitees were selected as a petition closed on March 4, 1994. Over part 61 prior to the adoption of result of their organizations’ and 1,000 comments were received, and the schools’ past involvement in this Amendment No. 61–100 and the majority of commenters voiced organization of part 61 proposed in regulatory review. The following overwhelming support for the petition. organizations and schools attended Notice No. 95–11. Some commenters, including the Civil these meetings: General Aviation and Aviation Medical Association (CAMA), III. The Proposed Rule and General Manufacturing Association (GAMA), Description of Comments National Air Transport Association opposed the EAA petition. CAMA (NATA), Jeppesen-Sanderson, National expressed concern with the impact on In Notice No. 95–11, the FAA Association of Flight Instructors (NAFI), public health and welfare of the proposed a major revision to the Balloon Federation of America (BFA), elimination of medical standards for training and certification requirements Farrington Aircraft, Aircraft Owners and pilots who exercise the privileges of a applicable to pilots, flight instructors, Pilots Association (AOPA), AOPA recreational pilot certificate. One ground instructors, and those pilot Safety Foundation, Experimental specific concern of those commenters schools approved by the FAA. The Aircraft Association (EAA), Helicopter who opposed the EAA petition was the intent of the proposal was to make the Association International (HAI), Soaring carrying of passengers by a pilot who regulations more compatible with the Society of America (SSA), Embry Riddle does not hold a medical certificate. The current operating environment and the Aeronautical University (ERAU), Parks FAA has reviewed all comments evolving demands of the NAS. The College of St. Louis, and American received in response to EAA’s petition proposals included measures to update Flyers. This rule incorporates many of in developing this rulemaking action. training, certification, and recency of the concepts developed through the The vast majority of commenters experience requirements, and a number public meetings, the JTA, and the public responding to this petition were of the proposals were intended to comments received in Docket Nos. individual members of the aviation promote and encourage increased pilot 25627 and 25910. Additional community and many were members of training activities. amendments to ensure that Title 14, the EAA. The major proposals in the NPRM Code of Federal Regulations, conforms included: (1) Clarification and In this final rule, the FAA is adopting with the provisions of this final rule standardization of terminology; (2) will be the subject of a rulemaking one very significant change requested by establishment of a new powered-lift action in the immediate future. the EAA: elimination of the 50-nautical- category for pilot certification; (3) mile limitation for those recreational separation of class ratings for Experimental Aircraft Association pilots who obtain additional training. nonpowered and powered gliders; (4) a (EAA) Petition For reasons discussed in section IV,A of new flight instructor certificate in the On January 3, 1994, the FAA this preamble, the FAA has decided not lighter-than-air category; (5) creation of published, without comment or to adopt those other elements of the separate instrument ratings for single- endorsement, a petition for rulemaking EAA proposal that were proposed in engine and multiengine airplanes, submitted by EAA (59 FR 31). In their Notice No. 95–11. airships, and powered-lifts; (6) revisions Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16223 to the recency of experience International Deaf Pilots Association numbering system and length of some of requirements, particularly related to (IDPA), National Air Transportation the sections. The FAA also considered recent takeoffs and landings, and Association (NATA), National this issue in drafting the final rule. instrument currency; (7) revisions to the Association of Flight Instructors (NAFI), Several commenters also object to the recreational pilot certification and National Business Aircraft Association, length of the proposal, stating that it is authorization requirements, including Inc. (NBAA), National Fraternal Society difficult to properly digest and respond the elimination of the 50-mile limit on of the Deaf (NFSD), Paralyzed Veterans to the large volume of material. flights; (8) human factors training of America (PV), Seaplane Pilots AOPA comments that Notice No. 95– requirements for all certificates and Association (SPA), the Soaring Society 11 is extremely complex and ratings; (9) replacement of flight of America (SSA), and United States unmanageable from a public comment proficiency requirements for training Ultralight Association, Inc. (USUA). perspective. From a review of the and certification with more general Comments also were received from comments submitted to the docket, approved areas of operation; (10) public officials, including the Governor AOPA concludes that the general revision of the minimum training times of Nebraska and the Mayor of Omaha. aviation community has not been made for the aeronautical experience Most respondents address specific fully aware of the significant impact of requirements to permit training to a issues rather than the NPRM overall. the proposals, and the association does standard; (11) placement of ground However, of the approximately 5,400 not believe that it is possible for the instructor requirements in part 61 rather comments on the NPRM, about 130 FAA to adequately respond to all of the than in part 143; (12) requirement for express general support for the public’s comments without reissuing ground instructor certificates to be proposed rulemaking, and more than another NPRM on part 61. According to based on aircraft category; (13) 220 express general opposition to the AOPA, the public’s misconceptions are establishment of a practical test for NPRM. Many of the commenters, the result of the incomplete nature of ground instructor applicants; (14) particularly those who support the the NPRM’s preamble. AOPA states that revision of the certification and test proposals to eliminate the medical many of the changes were not addressed courses in part 141 to accommodate all certification requirement for in the preamble or were labeled as aircraft categories and new technology; recreational pilots as well as elimination editorial and format changes. The (15) establishment of a check instructor of the 50-mile flight limitation on association contends that some of the position for student and instructor recreational pilots, urge immediate editorial changes will have the greatest checks and tests at pilot schools completion of the recreational pilot impact on pilots. AOPA also states that operated under part 141; (16) deletion of provisions of the rulemaking. Others attempts to codify existing policy have exceptions that permit pilots to be state that the proposal would promote often created significant restrictions not certificated without meeting English the growth of aviation. currently found in the regulations and, However, some commenters who language fluency requirements; (17) in some instances, do not reflect current express general opposition to Notice No. revision of medical certificate FAA policy. AOPA believes that a more 95–11 state that it is too voluminous requirements to permit applicants for all efficient approach would be to address and complex. One commenter states certificates and ratings to hold a third- issues in smaller, more manageable that while he originally supported class medical certificate rather than the sections that would afford the public a Notice No. 95–11 based on the proposed medical certificate required to exercise better opportunity to provide complete liberalization of requirements related to and meaningful comments. According the privileges of the certificate; and (18) recreational pilot certification, a to AOPA, the proposal imposes elimination of the requirement for subsequent detailed reading of what he burdensome new requirements on recreational pilots to hold any medical termed ‘‘numerous new restrictions’’ in general aviation in excess of any certificate. the rest of Notice No. 95–11 changed his benefits it might provide. The In response to Notice No. 95–11, the mind. Other comments in opposition to association recommends that the FAA FAA has received over 5,400 comments Notice No. 95–11 state that the proposal identify which changes received from the public. The majority of those would create burdensome and onerous widespread public support and separate responding were pilots. Commenters new regulations and restrict the growth them for expeditious publication as a also included associations representing or threaten the continuation of certain final rule. air carriers, general aviation, and aviation activities. One commenter EAA states that Notice No. 95–11 universities, including the following criticizes the proposal for ‘‘granting the contains many additional rules that organizations: Aerospace Medical FAA Administrator more power.’’ Some increase the complexity and cost of Association (AsMA), Aero Sports commenters state that no safety data has learning to fly and maintaining Connection (ASC), Air Line Pilots been presented in support of the new currency. EAA is particularly concerned Association (ALPA), Air Transport requirements. One of the most that the proposal will burden flight Association of America (ATA), Aircraft controversial areas, for example, was the instructors. The association also Owners and Pilots Association (AOPA), proposal to create a flight instructor comments that the rules appear to be American Diabetes Association (ADA), certificate for the lighter-than-air changed in an effort to make Auxiliary-powered Sailplane category. enforcement easier. Association (ASA), Balloon Federation About 40 commenters express mixed In its comment, GAMA strongly of America (BFA), Civil Air Patrol reaction, including proposing their own supports the FAA’s efforts to review (CAP), Civil Aviation Medical variations on some of the FAA-proposed parts 61 and 141. GAMA states that Association (CAMA), Deaf Counseling amendments. One hundred and fourteen many of the proposals will maintain or Advocacy and Referral Agency commenters suggest technical, increase the margin of safety while (DCARA), Department of Veterans/ grammatical, and typographical benefiting students and the training Veterans Benefits Administration (VA), corrections, which the FAA has industry as a whole. The association Experimental Aircraft Association considered in revising the proposed rule recommends that, because Notice No. (EAA), General Aviation Manufacturers language. Some commenters state that 95–11 is extremely complex, the FAA Association (GAMA), Helicopter the structure of the rule language is expedite a final rule incorporating the Association International (HAI), difficult to follow because of the less complex and controversial issues, 16224 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations such as the elimination of the third- IV. Discussion of Major Issues AOPA states that it supports this class medical certificate requirement for departure from previous FAA policy as A. The Exercise of Recreational Pilot being ‘‘beneficial to the economic well- recreational pilots and the pilot training Certificate Privileges requirements for operating newly being of general aviation by providing a certificated aircraft. GAMA feels that the 1. Medical Requirements for potential stimulus for new flight activity more complex or controversial issues Recreational Pilots and Holders of and training’’ and ‘‘that removing the should be addressed in a subsequent Higher Pilot Certificates Exercising the requirement for the medical certificate final rulemaking. Privileges of a Recreational Pilot from the regulations will not have a Certificate significant impact on general aviation NBAA believes that this proposal is a safety.’’ comprehensive measure to modernize Summary of proposal/issue: In Notice Individual commenters who favor the pilot, flight instructor, ground No. 95–11, the FAA proposed to allow proposal state that medical self- instructor, and pilot school certification the following persons to operate aircraft evaluation would eliminate the rules. The association adds that this without a medical certificate: pilots who paperwork and expense of medical proposal is a valid effort to promote hold recreational pilot certificates, examinations. Commenters argue that general aviation, improve safety, and student pilots operating within the overall there is a small number of reduce costs to aviation consumers, and limitations of a recreational pilot aviation accidents related to medical provide for large improvements in certificate, and those higher-rated pilots causes. Many of these commenters cite aviation training. (private, commercial, and airline the accident experience of balloon and transport pilot) who elect to exercise glider pilot operations and note that no NATA comments that, although it only recreational pilot privileges. In lieu medical certification is required for generally is pleased with Notice No. 95– of the requirement to hold a medical these operations. 11, it strongly supports maintaining the certificate, each pilot would be allowed The commenters who oppose distinct difference between parts 61 and to evaluate his or her own medical allowing pilots to exercise the privileges 141 schools. The association disagrees condition and determine if he or she is of a recreational pilot without a medical with the elimination of some of these fit to fly. This proposed approach of certificate cite general safety concerns as differences and believes the economic relying on the judgment of an individual the basis for their disapproval. viability of part 141 schools is pilot regarding his or her fitness Specifically, opposing the proposal are dependent on maintaining this represented a departure from past FAA the Aerospace Medical Association distinction. policy for powered aircraft. The FAA (ASMA), Air Line Pilots Association SSA states that the proposed changes has required that pilots, except for (ALPA), Civil Aviation Medical answer many past comments and, for glider and balloon pilots, hold medical Association (CAMA), and Helicopter certificates to ensure the safety of pilots, Association International (HAI). the most part, benefit safety. However, The medical associations raised SSA feels that certain sections of Notice passengers, and people and property on the ground. various concerns. CAMA indicates that No. 95–11 do not comply with the there are a number of medical problems This proposed change to FAA policy FAA’s goal of reducing regulatory that cannot be recognized by an set forth in Notice No. 95–11 was made burdens, nor do they demonstrate the individual who evaluates himself or after consideration of a petition for FAA’s faith that the soaring community herself and that are incompatible with rulemaking from the Experimental will voluntarily improve its safety safe flight. CAMA also states that record. According to SSA, some of the Aircraft Association (EAA), and ‘‘[s]ome individuals can be expected to proposals will have a detrimental effect comments received in response to that deny to themselves the seriousness of petition. The EAA petitioned the FAA on the cost of learning to fly sailplanes, their medical problems.’’ CAMA to eliminate medical requirements for without enhancing safety. believes medically related accidents pilots exercising the privileges of a inevitably would follow the adoption of HAI states that its comments are recreational pilot certificate (59 FR 31; based on a compilation of member this proposal, but they also January 5, 1994). acknowledge that medically caused comments and consultations with other General Comments: In Notice No. 95– accidents are rare. CAMA also states its general aviation associations. HAI chose 11, the FAA asked a number of concern that the proposal is not in the not to comment on part 1, in the belief questions that were designed to elicit long term interests of any pilot because that the FAA will reference changes to comment on whether self-evaluation ‘‘[m]inor problems will be detected on the affected rule and make appropriate should be permitted for the pilots the FAA medical examination and changes to definitions in part 1. discussed. With respect to the general managed before they become major The public comments received on concept of self-evaluation, the majority problems. For example, early specific proposals and the FAA’s of individual commenters voice support hypertension will be apparent and can response to these comments are for eliminating the medical requirement be treated promptly.’’ addressed in sections IV and V. Each for recreational pilots and holders of a ASMA argues that although all pilots discussion includes a summary of the higher pilot certificate exercising the exercise a degree of self-evaluation issue, a summary of the public privileges of a recreational pilot before every flight, ‘‘the experience of comments, the FAA response, and certificate. Supporting this proposal are practicing aviation medical examiners is disposition of the issue for purposes of the Aircraft Owners and Pilots that private or recreational pilots are Association (AOPA), Experimental the final rule. All comments were most often the ones who proceed to fly Aircraft Association (EAA), American reviewed and considered during FAA with existing medical problems.’’ Diabetes Association (ADA), Aero HAI states its opposition to the deliberations regarding the rule and are Sports Connection (ASC), General proposal arguing that ‘‘[t]he medical is available for public examination in Aviation Manufacturers Association a necessary evil in aviation’’ and that ‘‘if Docket No. 25910. (GAMA), National Association of Flight you want to fly, get a medical.’’ Several Instructors (NAFI), and Soaring Society individual commenters also disagree of America (SSA). with the proposal. One commenter Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16225 expresses disagreement with the disqualifying. CAMA states that further known medical deficiencies to have his proposal indicating that self-evaluation study should be done before adopting or her pilot certificate stamped with a would allow pilots to lie about their the proposal. statement that the pilot certificate is not health and endanger their passengers Failure of a Medical Exam. Most valid unless accompanied by a current and people in the areas they overfly. commenters state that pilots who have medical certificate. ALPA and AsMA Another commenter states that he failed a medical examination by the support such a stamping requirement. prefers the current third-class medical FAA should not necessarily be FAA Response: The FAA carefully certificate requirements and does not prevented from claiming that they have considered all comments pertaining to see how the FAA will be able to enforce no known medical deficiencies that the proposal that pilots who hold the proposed self-evaluation without would make operating an aircraft recreational pilot certificates, student any standard in the rule. This same unsafe. In addition, a majority of pilots operating within the limitations commenter states that the balloon and commenters state that any pilot who has of a recreational pilot certificate, and glider accident records cited by had a medical certificate revoked or those higher-rated pilots who elect to supporters of the proposal are not suspended, or who has held a special exercise only recreational pilot indicative of the larger group of general issuance of a medical certificate should privileges be permitted to operate an aviation pilots. not automatically be prohibited from aircraft without holding a medical claiming that that pilot has no known certificate. Although the FAA Comments to Specific Questions medical deficiencies that would make acknowledges that most of the Safety Data. In Notice No. 95–11, the operating an aircraft unsafe. AOPA does comments favored eliminating the third- FAA asked a number of questions state, however, ‘‘that it has some class medical certificate requirement for regarding medical self-evaluation. The concern that the publicity surrounding such pilots, few of these comments FAA requested data on any safety or the self-evaluation proposal may have contained supporting data or analysis. other public interest concerns that may built an unintended expectation in the Safety is the FAA’s overriding arise from the recreational pilot self- pilot community that anyone will be regulatory concern, and before such a evaluation proposal. No such data were able to fly under the proposed rule,’’ significant change can be adopted, the submitted. and that AOPA ‘‘would encourage any FAA must ensure that the level of safety Need for Medical Standards. A pilot who has been denied a medical will not be degraded. majority of commenters (including certificate or who holds a special The comments of the medical AOPA and EAA) state that they issuance certificate to consult a associations, AsMA and CAMA, raised generally oppose the FAA having physician.’’ serious safety concerns regarding the specific medical standards for self- ALPA and AsMA support prohibiting limitations of self-evaluation. evaluation arguing that a list of any pilot from claiming that he or she Furthermore, in reviewing the disqualifying conditions would be has no known medical deficiencies if comments, the FAA noted that there is tantamount to creation of a new kind of that pilot has failed a medical controversy regarding alternative medical certificate. EAA states that examination by the FAA, had a medical methods of implementing and enforcing ‘‘specific standards are inappropriate (in certificate revoked or suspended, or self-evaluation in lieu of medical fact, contradictory) for self-certification’’ holds or has held a special issuance of certification. The FAA has determined and that they ‘‘are not necessary for a medical certificate. that additional scrutiny of the proposal safety and therefore would only Disclosure to Passengers. Most is needed to ensure that it would raise institute additional unnecessary commenters (including AOPA and EAA) or maintain the current level of safety; regulation.’’ AOPA states that ‘‘[it] is state that the FAA should not require therefore, the FAA has withdrawn the deeply opposed to any regulated pilots to disclose to their passengers that proposed change from the final rule. restrictions on medical self-certification they do not hold a medical certificate The FAA intends to conduct additional for recreational pilots’’ arguing that but that they have evaluated themselves study on this proposal and may issue a ‘‘[d]oing so, will only create what is in as medically fit to fly. separate rulemaking action in the future. effect, yet another class of medical Medical History or Records. Most certificate, defeating any benefits that commenters (including AOPA and EAA) 2. Elimination of the 50-Nautical Mile could be derived from this proposal.’’ also argue that these pilots should not Limitation for Recreational Pilots Some individual commenters who be obligated to provide the FAA with Summary of proposal/issue: In Notice oppose listing disqualifying conditions their medical history or records upon No. 95–11, the FAA proposed to permit for pilot self-evaluation state that they request as part of a specific investigation a recreational pilot to operate an aircraft believe the limitations of the or randomly as part of a compliance in cross-country flight more than 50 recreational pilot certificate restrict the program, nor should they be required to nautical miles from that pilot’s base of pilot to less stressful types of operations undergo medical testing when any training if the pilot receives ground and that pose minimal risks to other persons uncertainty exists as to whether or not flight training and the equivalent to that and property. Numerous commenters they have any medical problems. required for the exercise of cross- state that self-evaluation, with no listing Surrender of Pilot Certificates. In country flight privileges by a private of conditions or constraints, has worked addressing the issue of whether a pilot pilot and receives the appropriate flight well for glider and balloon pilots for with known medical deficiencies instructor endorsements. This change many years. They argue that the same should be required to surrender his or was intended to increase the utility of self-evaluation process should be her pilot certificate to the FAA, nearly the recreational certificate and to adopted for recreational pilots. all of the commenters oppose the promote general aviation. A few commenters state that only mandatory surrender of a pilot Comments: More than 2,000 certain medical conditions should be certificate, in such a case. AsMA, comments addressed the proposal. disqualifying. ALPA and AsMA support however, supports mandatory surrender Virtually all commenters (over 99 a list of disqualifying medical of pilot certificates. In addition, the vast percent) favor the proposed change. conditions. Of these commenters, majority of the commenters (including EAA and NAFI support eliminating however, there was no consensus on AOPA and EAA) state that the FAA the 50-mile flight limit because it will what medical conditions should be should not require a pilot who has help attract and retain recreational 16226 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations pilots. These commenters also believe traffic pattern at the recommended suggests modifying § 61.57 to reflect this the proposal will improve safety. AOPA traffic pattern altitude for the airport. practice. also supports the proposal and states Comments: More than 170 comments Generally, individual commenters that a valuable benefit will be given to address the takeoff and landing aspect express opinions similar to those of the recreational pilots without of recency of experience. Approximately associations. Several individual compromising safety. ASC supports 65 percent of the comments oppose the commenters state that the proposed removing the mileage limitation with an proposal. requirements are not applicable to endorsement from a CFI. Other Most of the opposition concerns the balloon operations, and therefore the commenters state that this limitation proposal to require all landings to be current rule should be retained. They has been a main factor in discouraging conducted to a full stop and to involve cite operations in an airport traffic interest among prospective pilots from flight in the traffic pattern and at the pattern, for example, and one earning the recreational pilot certificate, recommended traffic pattern altitude for commenter asks what ‘‘full stop’’ means and that the proposal would revitalize the airport. in relation to balloons. AOPA expresses opposition to the sport aviation with no adverse impact FAA Response: After consideration of requirement for full-stop landings. The on safety. the comments, the FAA has decided to commenter does not believe that the GAMA opposes lifting the 50-mile withdraw the proposed requirement that FAA has presented any evidence that flight limit. It believes that the proposal landings involve flight in the traffic full-stop landings are safer than touch- fails to provide an adequate amount of pattern and at the recommended traffic and-go landings. According to AOPA, training for the recreational pilot to pattern altitude for the airport. In competently and safely exercise the the proposal will cause a significant increase in airport congestion and addition, the FAA will not go forward privileges of the certificate. GAMA with the requirement for full-stop states that safety is a critical factor, and, pollution, in training time spent on the ground, and in the overall costs of landings because, as indicated by the coupled with the reduction in solo flight commenters, there is no cost time, the provision could prove maintaining proficiency. The commenter also states that there is no justification for the measure, and it will dangerous. According to GAMA, there result in increased congestion at should be no increase in recreational safety evidence to support the requirement that the landings be airports. However, the FAA is retaining pilot privileges, and instead the FAA the current full-stop requirements for should encourage advanced training. performed in the traffic pattern from the recommended pattern altitude. AOPA tailwheel aircraft, as well as for night One of the few individual commenters landings. who objects to the proposal states that comments that rotorcraft rarely fly a the recreational pilot certificate was complete traffic pattern, because to do 2. Recent Instrument Experience so would create a hazardous mix of intended for people who want to fly dissimilar aircraft. According to the Summary of proposal/issues: The airplanes ‘‘for the fun of it,’’ but if they commenter, the proposal also would FAA proposed to revise the instrument want private pilot privileges, they lead to decreased efficiency for glider recency of experience requirements of should obtain the training necessary for operations and emergency procedures § 61.57 by eliminating the requirement the private pilot certificate. for 6 hours of flight in actual or FAA Response: The FAA notes the training. NBAA comments that the requirement simulated instrument conditions every 6 overwhelming support of the for full-stop landings eliminates the months. For aircraft other than gliders, commenters for this specific proposal. efficient touch-and-go maneuver the proposal required that a pilot, GAMA’s concerns that recreational without justification, while adding to within the preceding 6 calendar months, pilots will lack the necessary skill due airport congestion and aircraft perform and log at least six instrument to the revised aeronautical experience operators’ costs. NBAA also objects to approaches; holding procedures; requirements have been considered. the language of proposed § 61.57(a)(iii), intercepting and tracking of very high However, the FAA has determined that because it can be interpreted as frequency omnirange (VOR) radials and an acceptable level of safety will be requiring ‘‘a circuit in the traffic nondirectional beacon (NDB) bearings; maintained because recreational pilots pattern.’’ The commenter states that recovery from unusual flight attitudes; will receive additional training most pilots combine currency landings and flight by reference to instruments. equivalent to that of a private pilot, and with other flight operations rather than The preamble to the NPRM stated that other recreational pilot restrictions will full circuits in the traffic pattern, and these maneuvers and procedures would continue to apply. The rule change will the proposal might require dispatching not be required to be performed in benefit general aviation by stimulating aircraft and crews specifically for actual or simulated instrument flight interest in recreational flying, currency takeoffs and landings, thereby conditions. encouraging recreational pilots to seek adding time and expense. Comments: More than 385 comments additional certificates and ratings, and HAI expresses opposition to proposed were received on this issue. The promoting additional pilot training. The § 61.57(a)(1)(iii) requiring that all comments reflect widely disparate proposal is therefore adopted in the takeoffs and landings be conducted in opinions. More than 200 comments final rule. the traffic pattern at the recommended express clear opposition to the proposal. B. Recent Flight Experience traffic pattern altitude. The commenter Nearly as many comments take issue states that helicopters do not always fly with parts of the proposal, and propose 1. Takeoffs and Landings to or from airports, or operate in the variations to it. Approximately 60 Summary of proposal/issue: The FAA traffic pattern if at an airport. HAI comments agree with the proposal. proposed to revise the recency of suggests modifying the proposed rule to Some commenters indicate that they experience requirements in § 61.57. The require each takeoff and landing to be believe the proposal would make it proposed revisions in Notice No. 95–11 separated by an en route phase of flight. more difficult and costly to remain included requiring all landings, not just SSA states that, at some gliderports, current for operations under IFR. One night landings, to be conducted to a full the currency landings are performed on commenter, however, says he believes stop. The proposal also required that a nonactive runway to avoid conflicts the proposal will permit pilots who do these landings involve flight in the with the normal traffic patterns. SSA not fly as frequently to stay current and Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16227 continue to have access to the IFR an acceptable minimum for proficiency. reference to specific navigation systems. system. With regard to holding procedures, the The FAA maintains that requiring GAMA supports the elimination of association has no strong objection to completion of specific training tasks, the minimum hour requirement for the proposal but questions the need for such as intercepting and tracking instrument currency. GAMA, however, such a requirement. AOPA states there courses and holding procedures, believes that a minimum of 50 percent is no current safety problem in this area provides a safety benefit by improving of the time spent performing maneuvers and, except for airline pilots, holding operational currency and the should be in actual or simulated procedures are rarely encountered. Also, proficiency of pilots. For this reason, the instrument flight conditions, or in an according to AOPA, it is not appropriate final rule includes the requirement for approved flight simulator or flight to specify the types of navigational aids holding procedures. The proposed training device. that should be used for instrument requirement for six approaches also is In its comment, ALPA expresses currency because of the transition to incorporated into the final rule. concern regarding several aspects of the newer technologies such as GPS. AOPA The FAA has decided to retain the proposed instrument currency also points out that many aircraft are not current requirement that the tasks to requirements. According to ALPA, the equipped with an ADF receiver. The meet recent instrument experience requirement for the use of NDBs may commenter objects to the requirement requirements be performed and logged not be practical because NDBs are being for unusual attitudes currency for the under actual or simulated instrument removed from service. The commenter same reasons expressed by NAFI. Like conditions. This requirement can be met also believes that there should be an ALPA and GAMA, AOPA believes that in an aircraft of the appropriate option to allow operations using the the instrument currency procedures category, in an approved flight global positioning system (GPS). should be performed in either actual or simulator, or a flight training device that Although ALPA agrees with the need for simulated conditions. The commenter is representative of the aircraft category. unusual attitude training, the states that if the FAA does not intend to As proposed in the NPRM, the final commenter states that there needs to be require flight in actual or simulated rule will not include a minimum hour FAA guidance on practice methods and conditions, § 61.57(c)(2) should be requirement to meet instrument procedures. ALPA also contends that clarified to prevent varying currency. The elimination of this recency of experience maneuvers interpretations of the rule. AOPA also requirement will provide pilots should be performed in either strongly supports the use of simulators economic relief by permitting currency instrument or simulated instrument and flight training devices, including requirements to be completed in less conditions. some PC-based simulators, for currency time. NAFI opposes specifying the use of and proficiency. Other proposed changes to § 61.57 are any particular equipment, such as VORs Like many of the other commenters, discussed in the section-by-section and NDBs, for instrument currency and HAI objects to the requirement for analysis of § 61.57. suggests the requirement should simply recovery from unusual attitudes. The C. Lighter-Than-Air Flight Instructor be for ‘‘navigation by reference to commenter also states that commercial Certificate instruments.’’ It is NAFI’s position that or corporate pilots will not be able to unusual attitude training is appropriate maintain currency in the normal course Summary of proposal/issue: The FAA for flight reviews, not currency of flight because of the proposals. HAI proposed to amend § 61.5 to establish requirements, and should not be supports eliminating the 6 hours of new flight instructor ratings for lighter- performed without a safety pilot. instrument time for currency, but than-air category aircraft. Section 61.3 NATA opposes several aspects of proposes deleting holding procedures included a provision to permit holders § 61.57. The commenter contends that and unusual altitude currency, and of a commercial certificate with an unusual attitude maneuvers belong in changing the requirement to track VORs airship or free balloon class rating to instrument training and BFR radials and NDB bearings to conduct training in the appropriate requirements, not in instrument ‘‘intercepting and tracking electronic aircraft for 2 years after issuance of the currency requirements. NATA also navigation aids.’’ final rule; the 2-year conversion process believes that the requirement that VORs Comments from individual was contained in proposed § 61.201. and NDBs be used for several tasks is commenters, for the most part, agree Proposed § 61.187 required that a too restrictive. NATA recommends that with the positions advanced by the person who trains an applicant for a the tasks be performed ‘‘with the associations. lighter-than-air flight instructor available navigational technology.’’ FAA Response: After consideration of certificate meet requirements NATA, however, supports requiring six the comments, the FAA has decided to comparable to flight instructor approaches rather than the 6 hours for withdraw the requirement for recovery applicants training in other aircraft currency. from unusual attitudes. The FAA agrees categories. The proposal was partly a In its comments, NBAA recommends with commenters who point out that result of input received from balloon that the number of approaches for practicing these maneuvers would operators and organizations in public currency purposes should be left at 6 require a safety pilot and increase the meetings held during the regulatory rather than 12, as noted in the preamble cost of maintaining instrument review in 1989, and from public to the NPRM. NBAA also contends that proficiency with only questionable comments filed in the docket during references to VORs and NDBs should be safety benefits. this regulatory review and prior to the deleted because these navigational aids In addition, the FAA has determined issuance of Notice No. 95–11. are rapidly becoming obsolete. In that the requirement for intercepting Comments: More than 880 comments addition, the commenter opposes and tracking VOR radials and NDB were submitted on this issue, the unusual attitude training. bearings should be modified. The final majority regarding the proposed AOPA comments that the elimination rule requires pilots to intercept and requirement’s effect on balloon flight of the 6 hours of required instrument track ‘‘courses through the use of training rather than airship flight time will benefit general aviation navigation systems.’’ As noted by the training. Many of those commenters economically. The commenter also finds commenters, advances in air navigation oppose the proposal. (One commenter the requirement for six approaches to be technology support deleting the includes a petition opposing the 16228 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations proposal and signed by over 400 Individual commenters contend that (balloon) level, and requiring persons.) Commenters identify few commercial balloon pilots will seek commercial pilots who instruct to use a themselves as individual pilots and the instructor certificate, partly because written syllabus and maintain records of representatives of businesses involved few areas of the country have enough the training. in ballooning, including manufacturers students to justify the expense of Representatives of Balloon Excelsior, and providers of balloon flights and obtaining and keeping the certificate a balloon flight school and repair training. current. They state that one of the In general, many of these commenters methods of flight instructor certificate station, state that the proposal would contend that the current system of renewal is particularly unrealistic in result in better-trained, safer, balloon commercial balloon pilots providing ballooning: the provision in proposed pilots and would encourage the growth flight instruction works well, and that § 61.197(b)(1) to show a record of of ballooning. They state that most because of the small numbers of training for at least five students in 24 balloon flight instruction under part 61 balloons, pilots, and days with months, at least 80 percent of whom is ‘‘casual’’ and accomplished without a acceptable weather for balloon flight, passed the practical test on the first curriculum or proper documentation, ballooning should be treated differently attempt. Several commenters indicate often during paid passenger sightseeing than other aircraft categories. Some that one student per year per flights with inadequate attention given commenters ask what specific quality- commercial-pilot instructor is more to the student. These commenters state of-instruction issues the FAA meant to typical. One commenter also states that that while many instructors do a fine address with the proposal. The flight instructor refresher courses for job, many do not, and send their commenters contend that ballooning has balloonists would be cost prohibitive students to take practical tests an outstanding safety record, and that and impractical because there would be unprepared. According to these creation of the new flight instructor so few balloon instructors. commenters, one result of the proposal certificate would make training harder The commenters believe that the lack would be better performance on to obtain, for both initial pilot of flight instructors would result in biennial flight reviews, and that renewal certification and for flight reviews. fewer instructors familiar with local requirements could be met through The BFA strongly opposes the flying conditions. They believe that the proposal, stating that the proposal lack of flight instructors also would flight instructor refresher clinics, which would ‘‘lead to severe economic, safety, force potential students and pilots are not cost prohibitive. One commenter and time burdens to all balloon pilots, requiring flight reviews to travel long states that he supports the proposal to the point where it will cause a distances to find flight instructors. even though a scarcity of qualified significant decline in our sport.’’ The Commenters also state that the low pilots would initially hurt his balloon BFA’s comment states that there is no number of suitable flying days would operation. He believes that the proposal current safety problem to justify the make the instructor hour requirements would benefit the industry in the long proposal, and that consistent use of the hard to meet. Commenters generally run by increasing professionalism and Practical Test Standards by designated contend that the proposal would have a improving safety. Another commenter examiners has ensured that balloon devastating impact on the industry by who supports the proposal, with instructors obtain necessary skills. The reducing the availability of instruction, reservations, recommends reducing the BFA states that the safest learning overall flight activity, balloon sales, and number of students an instructor would scenario is for student pilots to train in revenue related to locally-sponsored have to endorse for renewal of the the area where they will do most of their balloon events. The Governor of instructor certificate from five to two, flying, so that they can learn local Nebraska, who opposes the proposal, every 24 months, but with a passing rate weather and terrain conditions. This states that the ‘‘imposed hardship may of 100 percent. will not be feasible if prospective pilots, eliminate the sport of balloon flying in except those who live in the few major Nebraska.’’ The Mayor of Omaha also FAA Response: The FAA has decided urban centers where there is a large opposes the proposal because ‘‘there is to withdraw the proposed flight amount of balloon activity, are forced to no evidence that the current system is instructor certificate in the lighter-than- obtain training from nonlocal training not working.’’ The Nebraska Department air category. After further review of the facilities. The BFA also states that of Aeronautics also opposes the proposal, the FAA has concluded that students in such circumstances proposal. operational requirements and accident/ probably would lose the benefit of more Some commenters state that the FAA incident data do not establish a frequent training sessions. had previously made and rejected this sufficient safety justification for the SSA and NAFI also oppose the proposal, and that no further economic increased regulatory and economic proposal. SSA comments that there has or safety studies were made to justify burden. Section 61.133 of the final rule been no demonstrated safety proposing the flight instructor provides that a person with a degradation under the current system, requirement again. Another commenter commercial pilot certificate with a and NAFI states that the FAA has failed suggested, as an alternative to creating lighter-than-air category rating may: (1) to provide supporting evidence of a a flight instructor certificate, that Give flight and ground training in an need for the change. SSA points out that instruction be given only by commercial airship or balloon for the issuance of a the BFA provides training material and balloon pilots with at least 200 hours certificate or rating; (2) give an self-polices in a manner similar to the flight time and who fly at least 50 hours endorsement on a pilot certificate for an United States Hang Gliding Association per year. Another commenter with a (USHGA). similar suggestion added that the airship or balloon; (3) endorse a student AOPA objects to proposed § 61.7, commercial pilots could be required to pilot certificate or logbook for solo which addresses obsolete certificates pass the advanced ground instructor operating privileges in an airship or and ratings, because it would effectively written (knowledge) test. Other balloon; and (4) act as pilot in command invalidate all balloon certificates issued commenter-suggested alternatives of an airship under IFR or in weather before 1973. AOPA maintains that all included increasing the flight hour conditions less than the minimum certificated airmen should be able to requirements for certification, prescribed for VFR flight. retain the privileges they currently hold. particularly at the commercial pilot Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16229

D. New Instrument Ratings comply with the proposed certificate October 4, 1984, was omitted from the exchange procedures. NATA contends proposed rule. It is AOPA’s position 1. Single-Engine and Multiengine that the current system is safe and that the only pilots who should not Ratings efficient, and states that the proposal receive automatic conversion to the new Summary of the proposal/issue: The would place an undue financial burden certificate are those who currently have FAA proposed to amend § 61.5 to on those who wish to obtain the new a limitation on their certificates that establish additional instrument ratings ratings. NATA estimates the cost of the states that operations are restricted to for single-engine and multiengine new multiengine rating at $1,250 for ‘‘Airplane Multiengine VFR only.’’ airplanes. For airplanes, currently only training (10 hours at $125/hour), and AOPA also contends that the conversion one instrument rating exists. $300 for the practical test and provisions favor instructors who teach Additionally, the FAA also proposed to designated examiner. NATA states that full-time at flight schools, and that the establish single-engine and multiengine the current system, in which instrument provisions will result in a majority of instrument ratings for flight instructors. proficiency is demonstrated during a multiengine airplane instructors losing The FAA requested public comment on multiengine instructor check ride, is their instruction privileges. According its proposed conversion process for sufficient. NATA also contends that any to AOPA, very few multiengine current holders of airplane instrument conversion of current flight instructor instructors actually provide instrument ratings to the new system. certificates and ratings should award instruction in multiengine airplanes, Comments: Approximately 200 any pilot holding a CFII and MEI and, therefore, they would be unable to comments oppose the new instrument certificate the new certificates upon meet the requirement of 20 hours of ratings for single-engine and implementation of the new regulations. such instruction. AOPA further notes multiengine airplanes. Approximately AOPA also objects to the proposal. that a vast number of CFIIs have never 20 commenters favor the proposal. The association believes that the current endorsed a student for an instrument Approximately 160 comments are in system, which requires an applicant for airplane practical test, and would also opposition to the single-engine and a multiengine airplane class rating or be unable to meet the conversion multiengine airplane instrument ratings multiengine airplane instructor rating to requirement for both the single-engine for flight instructors. demonstrate instrument or instrument and multiengine CFII privileges. AOPA ALPA supports the proposed instruction competency during the recommends that all current CFII-MEI instrument ratings for single-engine and practical examination, is sufficient. instructors should be ‘‘grandfathered’’ multiengine aircraft. ALPA finds the AOPA comments that it appears from under the new system. proposal particularly important in light the NTSB investigation of the 1981 Individual commenters who oppose of the removal of the minimum-hour multiengine accident cited by the FAA the proposal in Notice No. 95–11 to requirement for an instrument rating. in the NPRM that the pilot became create separate instrument ratings for The association contends that it would disoriented in instrument single-engine and multiengine airplanes be inappropriate for very low time pilots meteorological conditions (IMC). AOPA contend that the number of engines to have their single-engine instrument believes that the accident had little to issue and the instrument procedures rating also apply to multiengine do with the adequacy of the pilot’s issue are independent, and that airplanes. training in instrument procedures for instrument procedures, including GAMA supports class-specific multiengine aircraft. AOPA maintains engine-out approaches, normally are instrument instructor ratings for single- that the FAA should not make drastic part of the multiengine practical test. engine and multiengine airplanes. policy changes based on a single event. These commenters contend that GAMA asks why the FAA does not According to AOPA, the proposal will instrument procedures do not simply prohibit instrument instructors be very costly for the pilot community essentially change from a single-engine who do not hold a multiengine and would discourage pursuit of the to a multiengine airplane. Some instructor rating from giving instrument multiengine instrument rating. AOPA commenters state that the proposal does instruction in multiengine aircraft. also states that if the FAA’s intent in the not seem justified by the NTSB’s According to GAMA, this could be proposed regulation is to close an recommendation, which was followed accomplished by adding a limitation on apparent loophole that permits a CFII when the FAA instituted a policy to the CFI’s certificate that states who is not an MEI to give instrument require that multiengine airplane rating ‘‘instrument instruction privileges are instruction in a multiengine airplane, candidates demonstrate proficiency in limited to single-engine aircraft.’’ then the regulation should state this instrument procedures or receive a GAMA believes that flight instructors rather than requiring the new ‘‘VFR only’’ limitation with their holding multiengine instrument certificates. multiengine rating. instructor ratings should be able to In its comment, AOPA also expressed One commenter who favors the two provide instrument training in single- concern about inconsistencies in the new instrument ratings states that the engine aircraft. The commenter states preamble to the NPRM and the actual system would make instrument flying that all pilots possessing both language in the provisions for safer and instrument operations in a multiengine and instrument instructor conversion of existing instructor multiengine airplane ‘‘easier.’’ Echoing ratings on the effective date of the rule certificates. AOPA notes that the AOPA’s comments, one individual should be ‘‘grandfathered’’ and issued preamble indicates that a person may commenter notes that instrument an instrument multiengine airplane exchange his or her existing instrument instructors who routinely instruct in rating without further examination or certificate for the new instrument multiengine airplanes typically do not testing. airplane multiengine rating if one of endorse students for instrument rating EAA, NAFI, and NATA oppose the three conditions is met. AOPA states practical tests. Such instruction is one proposal. EAA states that there is no that the third condition, which provides of the conditions proposed for safety justification for the change and for the ‘‘grandfathering’’ of a person converting a current airplane instrument that it will cause additional training and who held an airplane multiengine class flight instructor certificate to the new expense. NAFI expresses concern about rating and had satisfactorily completed system. However, the commenter states current instrument pilots and the practical test for an instrument that such instructors may teach instrument instructors who do not rating in a single-engine airplane before advanced courses for instrument- and 16230 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations airline transport pilot (ATP)-rated equipped airships, and to help foster 110 favor the proposal, and the rest are pilots. Another commenter states that growth of this small segment of the either in opposition or suggest an the proposed system of conversion to aviation industry. alternative. Approximately 120 the new flight instructor airplane single- Comments: NAFI and AOPA oppose comments specifically address the 50- engine and multiengine ratings would the proposed requirement for an hour cross-country experience place an unwarranted economic burden instrument rating to instruct in an requirement, with 75 of those upon relatively new, part-time, or airship. The commenters state that there supporting the proposal and the rest independent flight instructors. One is no problem with existing training, either in opposition or suggesting an commenter states that the FAA did not which is conducted almost entirely in alternative. The commenters’ reasoning provide supporting safety data in the VFR conditions. AOPA also comments on the two proposals follow essentially NPRM indicating that multiengine that such a requirement would increase the same lines. Those who favor instrument instruction has been training costs with no increase in safety. eliminating the requirements consider inadequate, and a number of Individual commenters echoed the them arbitrary and unnecessary commenters assert that there would be association’s position on this issue. One obstacles for pilots who seek the no safety benefit from the proposal. individual commenter supports the instrument rating, which can make them Consistent with AOPA’s position, proposal because it may foster the safer pilots. Those who favor individual commenters state that they growth of the United States airship maintaining the requirements state that believe many flight instructors currently industry. exposure to different operating providing multiengine airplane FAA Response: The FAA has decided environments is important for instrument instruction would not not to establish an instrument rating for ‘‘seasoning’’ pilots so they are better qualify under the proposal. One airships, because operational prepared for flight under IFR. commenter also notes that multiengine requirements and accident/incident data GAMA supports eliminating the 125- examiners may not qualify under the do not establish a sufficient safety hour total time requirement for an proposal either. One commenter justification for the increased regulatory instrument rating. GAMA comments suggests changing proposed and economic burden. that a disproportionate number of § 61.201(h)(2)(i) to include time 3. Powered-Lift general aviation accidents occur when providing instrument competency VFR pilots encounter IFR weather checks in multiengine airplanes, while Summary of proposal/issue: The FAA conditions, and allowing pilots to begin a number of commenters request a more proposed to amend § 61.5 to establish an instrument training sooner will liberal ‘‘grandfather’’ clause. additional instrument rating for positively impact safety. GAMA also Another individual commenter powered-lifts, with a corresponding supports eliminating the 50-hour cross- expresses concern that the proposal instructor rating. country requirement for similar reasons. would require an additional practical Comments: Some commenters oppose AOPA echoes GAMA’s comments and test in a multiengine airplane the instrument rating requirements for states that encouraging such training is (apparently referring to separate powered-lifts. However, most probably the single greatest step in practical tests for the multiengine rating commenters objected in general to the decades toward reducing the general and the multiengine instrument rating). additional powered-lift category of aviation accident rate. He states that the current policy (of aircraft. FAA Response: The FAA has requiring demonstration of instrument FAA Response: As discussed in determined that eliminating the 125- proficiency on the multiengine practical section IV,E of this preamble, the FAA hour total time requirement removes test) is sufficient. is confident that powered-lifts will be burdensome regulations that add cost FAA Response: The FAA is persuaded useful in civilian operations in the without demonstrated need, parallels by the public comments regarding the future, and a separate instrument rating ICAO standards and recommended unintended negative effects that would will be required, which is incorporated practices, and will encourage more result from the creation of multiengine into the rule. pilots to receive instrument training at and single-engine instrument and an earlier stage in their career. This instrument instructor ratings. Current E. Requirements for Instrument Ratings proposal is adopted in the final rule. accident/incident data show that there Summary of proposal/issue: The FAA After further review, the FAA has are no safety problems resulting from proposed numerous revisions to § 61.65, decided to retain the 50 hours of cross- the existing rules. Therefore, the FAA the most significant of which was country pilot-in-command time required finds that there is insufficient safety revising the eligibility criteria for for the instrument rating. The FAA justification for the increased regulatory applicants for the instrument rating to deems that this change is necessary in and economic burden, and has parallel standards set by the order to comply with minimum eliminated the proposal from the final International Civil Aviation requirements under Annex 1 to the rule. Organization (ICAO). The proposal eliminated the requirement for a Convention on International Civil 2. Airship minimum of 125 hours of total flight Aviation and for U.S. pilot certificates Summary of proposal/issue: The FAA time, including 50 hours of pilot-in- with an instrument rating to be also proposed to amend § 61.5 to command cross-country time. This recognized internationally. establish an instrument rating for proposed change to § 61.65, comments F. New Aircraft Category and Class airships. The FAA noted that smaller, received regarding the proposal, and the Ratings foreign’ built airships are operated in FAA response are discussed here as one the United States, and it was hoped that major issue. Other changes to § 61.65 are 1. Powered-Lift industry growth would be accompanied discussed in the section-by-section Summary of the proposal/issue: The by the need for more airship pilots. A discussion. FAA proposed to add a powered-lift separate airship instrument rating was Comments: Approximately 150 category for the private pilot through intended to remove an obstacle from the comments address the proposed ATP certificates, as well as for the flight certification of commercial airship elimination of the minimum 125-hour instructor certificate. Minimum pilots desiring to fly smaller, non-IFR- requirement. Of these, approximately experience requirements for the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16231 powered-lift ratings were developed requirements for persons seeking class rating if they have completed a based on the current minimum certification to pilot powered-lifts. current flight review. experience requirements for airplane ASA’s comment opposes the 2. Glider Class Ratings ratings. separation of the glider category into Comments: Approximately 65 Summary of the proposal/issue: The powered and nonpowered-glider comments addressed the establishment FAA proposed to establish class ratings classes. The commenter states that of the powered-lift category. Of these for powered gliders and nonpowered auxiliary-powered sailplanes are, for all comments, over 40 oppose the proposal gliders within the glider category for the practical purposes, nonpowered gliders, and more than 20 express support, private pilot through commercial pilot except for the ability to self-launch. while the rest either do not express a certificates, as well as the flight ASA suggests changes to the proposed clear opinion or offer other suggestions. instructor certificate. regulations that would meet the goals of Both NAFI and EAA oppose the Comments: Approximately 85 the NPRM, with respect to gliders, proposal. NAFI states that there is comments are in opposition to the new without requiring the creation of insufficient information available for the glider class ratings and approximately separate classes within the glider aviation industry to properly evaluate 40 are in favor. Another 20 comments category. ASA recommends that training the establishment of powered-lift do not express a clear opinion on the requirements for gliders be consolidated requirements, and recommends deleting question or suggest alternative under a single glider category with all references to powered-lifts from the proposals. However, many of these 20 subheadings listing additional training proposed regulations. EAA indicates its comments appear to favor the concept of for powered sailplanes. ASA proposes support for NAFI’s comments. the two class ratings, but contend that that AC No. 61–69, which addresses AOPA also questions the need for a glider pilots who have nonpowered powered sailplanes, should be referred separate airman certificate category for glider experience as well as an airplane to in the regulation specifying the areas powered-lifts. They believe that the pilot certificate should be considered of operation for glider category ratings. implementation of the new category is qualified for the powered glider rating. Pilots seeking to obtain a powered- premature, if not entirely unnecessary, glider rating should first be required to because there are no viable aircraft of One commenter states that glider flight instructors who performed their complete the training required for a this type on the market today. AOPA nonpowered glider rating. ASA states that the skills necessary to fly this practical test in a nonpowered glider should not be required to demonstrate proposes expanded definitions of ‘‘flight type of aircraft would duplicate those of time’’ and ‘‘flight training’’ that take 20 hours of instruction experience in the nearly 1,200 ATPs who are already gliders into account. that class to convert their flight certificated in both airplanes and ASA also comments that pilots and rotorcraft. AOPA suggests that the instructor certificates as proposed in flight instructors with glider category proposal be amended to require future § 61.201. ratings, including those currently powered-lift airmen to possess ratings in A number of the proposal’s supporters experienced in auxiliary-powered both airplanes and helicopters, and submitted signed form letters. The sailplanes, should retain their ratings specifically type rate these individuals letters recommend dividing the glider and should not be required to take an when and if powered-lifts reach the category into nonpowered glider and additional practical test. ASA also states market. According to AOPA, this powered-glider classes, and call for the that the proposed conversion approach would eliminate a myriad of incorporation of the powered glider requirements for glider flight instructors testing, licensing, and certification flight and test requirements of Advisory do not consider the fact that much requirements that will likely remain Circular (AC) No. 61–94 into the advanced glider instruction takes place dormant for many years. AOPA regulation. The form letter proposes a entirely in single-seat gliders, with the recommends withdrawing all sections different conversion system from instructor in one glider and a student in the proposed rule relating to current certificates to the new following the instructor in another powered-lift aircraft until it becomes certificates than what was proposed in glider. ASA believes a statement evident that such aircraft will find §§ 61.5 and 61.201. The letter authorizing such training as flight applications in the civil marketplace. recommends that flight instructors be instruction is necessary. FAA Response: The FAA has permitted to add the powered-glider SSA opposes the division of the glider determined that a new powered-lift class rating to their certificates after category into two classes because the category should be established. Industry completing 20 hours of flight time in a flight characteristics of gliders, whether is currently developing powered-lifts, powered glider and completing training powered or nonpowered, are essentially and current pilot certification standards and testing in accordance with AC No. the same. SSA acknowledges that do not adequately reflect the 61–94; or by holding a flight instructor powered gliders may require knowledge certification requirements for powered- airplane single-engine land rating and levels similar to those of powered lifts. Current certification standards logging 20 hours in a powered glider. aircraft, but believes that there are were not drafted with the intent of The same letter recommends that similarities between all aircraft, and that certificating powered-lift pilots. The holders of private or commercial glider these similarities are addressed in the FAA recognizes the importance of pilot certificates be permitted to receive knowledge and flight tests. SSA is anticipating further developments in the powered glider rating if they have concerned that the FAA does not aviation technology. Therefore, the FAA logged either a minimum of 25 hours, recognize the efforts expended by contends that these new regulations are including at least 10 flights in a instructors and flight schools to ensure necessary to respond to future needs of powered glider during the preceding 24 pilots are adequately trained in these aviation. The proposal is adopted in the months, have a current flight review, areas. SSA notes that the existence of final rule and modified to include and have a logbook entry showing AC No. 61–94, which, the commenter provisions permitting the use of completion of training in accordance states, has been instrumental in approved powered-lift flight simulators with AC No. 61–94. The form letter also achieving safe operation of auxiliary- and approved powered-lift flight recommends that holders of glider pilot powered sailplanes. SSA contends that training devices to satisfy certain certificates be able to convert to the new there are only 200 licensed powered training and aeronautical experience certificate with a nonpowered glider sailplanes in the United States, and that 16232 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations there is an inadequate distribution of paragraph (k) to § 61.31, which provides qualified pilots with speech and hearing two-place powered sailplanes to training and endorsement requirements impairments, and are likely to be in respond to the NPRM’s requirements. for operating gliders. violation of the Americans with SSA states that it ‘‘seems beyond the Disabilities Act of 1990. G. English Language Requirements scope of lessening the burden of HAI also expresses a concern that regulatory reform to establish a class Summary of the proposal/issue: The someone who is speech or hearing rating for such a minimal size group FAA proposed to delete exceptions to impaired would not meet the who has not shown a propensity to requirements for applicants to be able to requirements to read, write, speak, and denigrate safety.’’ SSA suggests that read, speak, write, and understand the understand the English language. The pilots should be required to acquire a English language at all certificate levels commenter also objects to proposed ‘‘certificate with a glider category,’’ and ratings, as well as in the case of § 61.83, because many foreign students obtain a logbook endorsement for each certificates issued on the basis of foreign who train in the U.S. do not become launch method demonstrated, and pilot licenses under § 61.75. The FAA more fluent until later in their training, follow a syllabus to reach certification. also proposed to delete references to the and would therefore be eliminated from EAA supports SSA’s comments to the ability to write in English and to speak eligibility under the proposed change. proposed class ratings for powered and without accent or impediment that HAI recommends retaining the language nonpowered gliders and believes there would interfere with two-way radio of the existing rule. is no safety justification to support the communication at the ATP certificate Individual commenters also express proposal. EAA specifically objects to the level in § 61.151. concern about the proposal’s effect on proposed powered glider rating for Comments: ALPA and NAFI support speech and hearing impaired private pilots as set forth in the proposed English language individuals. Other commenters who did § 61.109(b)(5), and recommends requirements. NAFI believes the not address the implications for speech incorporating a power glider potential for communications error will and hearing impaired individuals endorsement rather than adding a decrease under the proposal. support the proposal, stating that it rating. IDPA states that, while it would would improve communications and NAFI and AOPA also object to the support a proposal to standardize the safety. One commenter feels that the establishment of separate glider class English language fluency requirements, FAA should not eliminate the rule ratings. According to these commenters, it cannot support the proposed change language requiring ATP applicants to an endorsement specifying ‘‘self- because it would discriminate against speak English without accent or powered launch’’ privileges would be individuals who are deaf, hard of impediment and disagrees with the sufficient. NAFI also states that the FAA hearing, or otherwise speech impaired. FAA’s statement that the rule language has failed to provide evidence justifying IDPA opposes eliminating the provision is superfluous in light of the proposed the proposal on safety grounds. The that allows special limitations to be changes to the rule. commenters contend that if the proposal placed on pilot certificates restricting FAA Response: The FAA agrees that is adopted, all present glider pilots operations in airspace where the English there was an unintended effect in the should automatically receive a new language is required. IDPA suggests that proposed rule change that would certificate with both powered and the proposal be modified to allow the prevent deaf pilots, and pilots with nonpowered glider privileges. NAFI also retention of the special limitation other medical conditions that have a states that an individual who holds a provisions for Americans fluent in the command of the English language, from glider rating and an airplane category English language who are deaf, hard of meeting the eligibility requirements for rating should be able to obtain a hearing, or speech impaired. a pilot certificate. The FAA has powered glider rating without a further The NSFD states that it supports the determined, however, for safety showing of proficiency. opinions expressed by IDPA. The concerns, that operations in the NAS do Some of the individual commenters DCARA joins in these concerns and require a basic command of the English who oppose the proposal state that AC states that there is no reason to restrict language. Therefore, as proposed, the No. 61–94 addresses the issue of flight deaf and speech-impaired pilots from FAA is removing the exceptions that instructors endorsing pilots to fly flying in airspace where permit pilots to be certificated without powered gliders. One commenter states communications are not necessary. a basic command of the English that most glider instructors are also PVA opposes the effect of the language. The FAA has added a rated in powered aircraft, and that the proposed changes to the English provision to the eligibility requirements proposed system would make it more language requirements on individuals for pilot certification to permit difficult to find an appropriate with hearing or speech impairments, individuals who have a command of the instructor. and states that the changes would make English language, but who may not be FAA Response: After reviewing the these individuals ineligible for pilot able to meet the proposed requirements comments, the FAA has decided not to certification under §§ 61.96, 61.103, or due to a medical condition, to have create separate class ratings for 61.123 on the basis of their disability. limitations placed on their pilot nonpowered and powered gliders. PVA urges the FAA to ensure that the certificates that would continue to Instead, the FAA has decided to accept eligibility requirements do not permit them to exercise the privileges of the alternative suggested by industry arbitrarily discriminate on the basis of a their certificate. that would establish training and disability. endorsement requirements for specific In its comment, AOPA states that it H. Areas of Operation glider operations in lieu of placing supports the position of IDPA. AOPA Summary of the proposal/issue: In limitations on pilot certificates as is states that qualifying language that Notice No. 95–11, the FAA proposed currently required. This change will made special provision for hearing and general areas of operation to be reduce the regulatory burden on the speech impaired individuals has been addressed in training and on practical public, as well as the administrative inappropriately deleted from tests, for all pilot and instructor burden for the FAA, while providing a §§ 61.103(b) and 61.213(a)(2). AOPA certification. This was a departure from level of safety equivalent to the current further comments that §§ 61.83(c), specifying the required maneuvers and regulations. The FAA has added 61.96(b), and 61.123(b) also single out procedures in the FAR. The specific Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16233 tasks to be performed would be balloons with airborne heaters, but training centers, and part 141 pilot contained in the practical test standards suggest variations on use of the schools. (PTS), based on the areas of operation terminology. One commenter, for Section 61.1(b) listed in the regulations. example, suggests using ‘‘gas balloon’’ Comments: Approximately 65 and ‘‘hot air balloon;’’ another, however, In Notice No. 95–11, the FAA comments address the proposal to use suggests ‘‘balloon’’ and ‘‘balloon with proposed to create a new section, 61.1a, generalized areas of operation in the airborne heater.’’ to clarify 15 terms used throughout part regulations, and a large majority FAA Response: After reviewing the 61 as follows: aeronautical experience; opposed the proposal. Commenters comments, the FAA has decided to airman certificate; authorized ground object that the FAA could revise modify the language defining ‘‘balloon’’ instructor; authorized flight instructor; requirements for certificates and ratings to state ‘‘a lighter-than-air aircraft that is cross-country time; examiner; flight without issuing an NPRM and soliciting not engine driven, and that sustains training; ground training; instrument public comments. One commenter states flight through the use of either gas approach; instrument training; that this change would not be in buoyancy or an airborne heater.’’ In knowledge test; pilot time; practical test; compliance with the Administrative addition, the FAA has modified the supervised pilot-in-command time; and Procedures Act. One commenter definition of ‘‘pilot in command’’ in training time. For ease of reference, questions the proposed terminology and proposed paragraph (b)(4), withdrawing proposed § 61.1a and the definition of states that while the proposal refers to the reference to ‘‘actual flight terms contained in current § 61.2 as performing areas of operation, pilots conditions.’’ A number of commenters adopted in Amendment No. 61–100, actually perform tasks within areas of oppose the use of this language in the ‘‘Aircraft Flight Simulator Use in Pilot operation, which the commenter states proposed rule. Their comments are Training, Testing, and Checking at should clearly be referred to in the addressed in the discussion of § 61.1. Training Centers,’’ have been regulation as those specified in part 61. The definition of flight time was incorporated into § 61.1. SSA supports the FAA’s decision for adopted as proposed except for a Comments: Approximately 200 the FAR to refer to those areas of modification that replaced the term comments were received in response to operation and tasks that coincide with ‘‘nonpowered glider’’ in the proposed the clarification of terms. SSA the PTS. SSA believes that this change definition with ‘‘glider without self- comments that part 1 is the appropriate will eliminate the confusion between launch capability.’’ The FAA also place to define terms, instead of § 61.1a. the PTS and the FAR. However, SSA determined that the definition of One commenter, who was in general expresses a concern that this proposed ‘‘powered-lift’’ should be added to this agreement with the proposed change will only result in the section because the new powered-lift clarification of terms section, requests promulgation of more tasks for each area category is adopted in the final rule. that the FAA define ‘‘training’’ for of operation. According to SSA, the cost The proposal is adopted with the purposes of logbook entries. Another of learning to fly has significantly changes discussed and with other minor requests that ‘‘compensation or hire’’ be increased because the amount of editorial and formatting changes. defined in § 61.1(a). Another commenter required training has changed over the requests that the FAA define the term Discussion of Specific Proposals years, and the commenter does not ‘‘route’’ as used in proposed believe that these increased The FAA proposes to change the title § 61.129(a)(4)(ii). Other comments requirements have resulted in a of part 61 to ‘‘Certification: Pilots, Flight specifically address the proposed terms significant decrease in accidents. Instructors, and Ground Instructors,’’ and definitions. FAA Response: The FAA is adopting because part 143 has been eliminated AOPA opposes the exclusion of this proposal in order to be more and the rules governing the certification student pilot certificates from the responsive to advances in training and of ground instructors have been moved definition of airman certificates because technology, and to accident and to part 61. these certificates are subject to most of the part 61 provisions for airman incident trends. While the FAA Special Federal Aviation Regulations recognizes the commenters’ concerns, certification. the FAA finds that they are unfounded. SFAR No. 58 Advanced Qualification SSA supports the adoption of the term Changing the hour requirements for Program ‘‘supervised pilot in command’’ because it will help eliminate the confusion certification in the future would need to The final rule retains the reference to surrounding ‘‘solo flight’’ and reinforces be conducted using a formal rulemaking SFAR No. 58. process with its associated notice and the principle that the CFI supervises all comment procedures. When revising the SFAR No. 73 Robinson R–22/R–44 solo flights by students. GAMA supports PTS, the FAA’s Flight Standard Service Training and Experience Requirements allowing student pilots to log pilot-in- actively seeks comments from the The final rule retains the provisions of command time under certain public, and continuously accepts SFAR No. 73. conditions, but it finds the definition of comments requesting changes for future ‘‘supervised pilot in command’’ vague Subpart A—General PTS revisions. and open to varying interpretations. Section 61.1 Applicability and AOPA urges the FAA to withdraw the V. Section By Section Analysis definitions. entire concept of ‘‘supervised pilot in Part 1—Definitions and Abbreviations command’’ and retain the current Section 61.1(a) definitions of dual and solo instruction Section 1.1 General definitions. Section 61.1 is revised by adding the time. Although the commenter supports The FAA proposed revising the provision in paragraph (a)(2) for pilot clarifying the policy with respect to definitions of balloon, flight time, and authorization, as well as deleting the permitting student pilots to log solo pilot in command. reference to § 61.71 and inserting a time as pilot-in-command time toward Comments: Individual commenters reference to ‘‘courses approved by the future certificates and ratings, AOPA agree with the FAA’s concept of Administrator under other parts of this believes that there are numerous distinguishing between the chapter’’ to incorporate training conflicts between the application of this requirements for gas balloons and programs under SFAR No. 58, proposed new term and many sections in part 61. 16234 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

According to the commenter, the term appropriate training and flight time for Six other individual commenters creates confusion as to what truly is an airman certificate, rating, flight oppose the proposed definition of ‘‘solo’’ time. AOPA also states that the review, or recency of flight experience. ‘‘authorized flight instructor.’’ Some of proposed definition raises liability Comments: Although pilot time in a the commenters state there is no reason concerns for instructors because of the flight simulator or flight training device to change from the commonly used term use of the term ‘‘supervised’’ for flights is addressed in certain definitions such ‘‘certified (certificated) flight instructor’’ when an instructor does not truly as ‘‘aeronautical experience,’’ one (CFI) to ‘‘authorized flight instructor,’’ supervise a student or pilot. The commenter points out that there is no or ‘‘AFI.’’ One commenter adds that the commenter notes there is no provision specific definition to provide for ‘‘marginal clarification’’ intended by the in proposed § 61.51 for logging training conducted in a simulator. new term does not warrant the supervised pilot-in-command time. FAA Response: The intent of the confusion likely to result among NAFI opposes the wording of the section is to ensure more consistent use students as well as the need to revise definition of ‘‘supervised pilot in of terms throughout part 61. The FAA books, videos, and other training command.’’ NAFI states that, except for finds that the commenter’s statement is materials. aircraft type certificated for more than outside the scope of Notice No. 95–11, FAA Response: The FAA has removed one crewmember, ‘‘a flight instructor and that the definition of ‘‘aeronautical the definitions of ‘‘authorized flight should not be on board an aircraft when experience’’ clarifies the rule and instructor’’ and ‘‘authorized ground a student is conducting a supervised should be adopted as proposed. instructor’’ and replaced them with a pilot-in-command flight.’’ NATA states new term, ‘‘authorized instructor,’’ that it supports permitting student Section 61.1(b)(2) Authorized instructor. which encompasses commercial lighter- pilots to log pilot-in-command time but The FAA proposed definitions for than-air pilots and ATP certificate that proposed § 61.51 provides ‘‘authorized flight instructor’’ and holders who may also provide training. adequately for this. NATA recommends ‘‘authorized ground instructor’’ in Additionally, the FAA has modified the retaining the term ‘‘solo’’ to eliminate §§ 61.1a (c) and (d). definition to include persons providing any confusion associated with the new Comments: ATA expresses concern training under part 142. With respect to term. NATA also states that the regarding the use of the term the commenters’ fear that the term proposed term does not clearly indicate ‘‘authorized flight instructor’’ in ‘‘certificated flight instructor’’ will no whether an instructor is permitted to be proposed § 61.1a(d). ATA notes the use longer be valid due to the change, the FAA stresses that flight and ground on board an aircraft. NATA also states of the term ‘‘authorized instructor’’ in that the term does not appear to be instructors are still certificated under § 61.157(f) and states that the term was applicable to advanced training. part 61, and therefore will remain not intended by the FAA to mean the HAI comments that the proposed term certificated instructors. leads to confusion in other areas of the holder of a flight instructor certificate. regulations and recommends retaining Rather, ATA states that the FAA meant Section 61.1(b)(3) Cross-country time. the term ‘‘solo.’’ The commenter asks that the term ‘‘authorized instructor’’ In Notice No. 95–11, cross-country whether pilot-in-command time counts could also include an instructor time was defined for three separate as supervised pilot-in-command time. qualified under the air carrier circumstances: (1) For persons who hold FAA Response: In response to the regulations of part 121. a private, commercial, or airline cited comments, the FAA acknowledges AOPA strongly opposes the proposed transport certificate; (2) for persons that certain definitions would not change from the term ‘‘certificated flight applying for a private or commercial clarify part 61. Therefore, the FAA has instructor’’ to ‘‘authorized flight pilot certificate or instrument rating; decided to not include the definitions instructor.’’ AOPA notes that references and (3) for military pilots. for ‘‘airman certificate,’’ ‘‘authorized are made to CFIs in thousands of Comments: NAFI indicates approval ground instructor,’’ ‘‘authorized flight publications, videos, books, and for the clarification of this term. HAI instructor,’’ and ‘‘supervised pilot in government manuals. The commenter recommends removing the requirement command’’ in the final rule. The FAA also is concerned that the proposed for cross-country flight time to require agrees that the definition of ‘‘airman terminology could have a deleterious landing by changing proposed certificate’’ conflicts with the U.S. Code effect on the liability exposure of flight § 61.1a(e)(1)(ii) ‘‘landing point’’ to and the FAR, and should be deleted. instructors. In addition, AOPA ‘‘destination.’’ HAI’s justification for the The FAA has removed the definitions comments that it appears that the FAA modification is that many CFIs, CFIIs, for ‘‘authorized flight instructor’’ and is relinquishing its role as the sole and aerial photographers may fly long ‘‘authorized ground instructor’’ and certificator of airmen, and that FAA distances without landing at any point replaced them with a single definition counsel is attempting to circumvent the other than their point of departure. The for ‘‘authorized instructor’’ as explained established procedures for certificate commenter states that its proposed in the analysis of § 61.1(b)(2) below. The enforcement actions since there are no change will permit these pilots to log concept of supervised pilot in command formal legal procedures in place for the cross-country time. The commenter also was created only to permit the logging removal of an authorization. The points out that the proposed 50-nautical of student solo time as pilot-in- commenter believes that this could mile requirement for all cross-country command time under § 61.51. The compromise a flight instructor in any flights is inconsistent with the 25- proposed definition created difficulty in certificate or civil action. The nautical mile cross-country flight determining when supervision was commenter contends that no requirement for pilots seeking occurring, and has been removed. justification is presented for this certification in helicopters. proposed change. AOPA supports clarifying what Section 61.1(b)(1) Aeronautical NAFI also opposes this proposed constitutes cross-country flight time experience. change in terminology. Consistent with based upon the certificate held by a The FAA proposed a definition of AOPA’s comment, NAFI states that the pilot. The commenter, however, aeronautical experience as pilot time term ‘‘CFI’’ would have to be replaced opposes the cross-country definition obtained in an aircraft, flight simulator, in every reference at considerable because it relies upon the undefined or flight training device for meeting the expense to government and industry. term ‘‘actual flight.’’ AOPA is concerned Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16235 that the definition effectively excludes Section 61.1(b)(5) Flight simulator. proposed definition of ‘‘instrument taxi, run-up, takeoff, and landing roll as The FAA has modified and combined approach’’ in § 61.1a(i) and the loggable flight time. According to the current definitions of ‘‘flight instrument proficiency requirements of AOPA, this unloggable time could be simulator, airplane’’ and ‘‘flight § 61.57(c)(1)(i) because the definition significant if full-stop landings are simulator, helicopter,’’ as adopted in requires that the approach be flown to required for currency training. Amendment No. 61–100, to include all MDA or DH. The commenter also is While one individual commenter categories of aircraft. concerned that under the proposed expresses agreement with the proposed definition, an approach not flown to definition, others propose changes that Section 61.1(b)(6) Flight training. MDA or DH could be logged only if ATC would make the definition more In Notice No. 95–11, the term ‘‘flight considered it unsafe. AOPA believes appropriate for different categories of training’’ was defined as training other that a pilot is in a better position to aircraft and types of operations. than ground training received from an determine safety issues. AOPA also Commenters state that the definition is authorized flight instructor in actual points out that the majority of training not appropriate for balloon operations, flight in an aircraft. flights are conducted in VFR conditions which do not necessarily use airports Comments: For the same reasons with the aid of air traffic services. and in which a 50-nautical mile flight expressed in its comment on the use of According to the commenter, the may be unusually far, or for glider the term ‘‘actual flight’’ in defining proposal would pose an economic and operations, which may cover long cross-country time, AOPA opposes the safety threat by forcing pilots to distances but begin and end at the same use of the term in the definition of continue an approach under unsafe site. One commenter suggests treating ‘‘flight training.’’ SSA does not object to conditions in order to log it and avoid ‘‘mission pilots,’’ such as those this definition, but notes that it narrows the cost of repeating the approach, or to conducting fish-spotting and fire and the ‘‘perception of dual time,’’ which terminate the approach for safety pipeline patrol operations, the same as could include simulators. reasons before it could be logged. military pilots. To account for such FAA Response: The intent of the NAFI also opposes the wording in this cases, one commenter suggests section is to ensure more consistent use provision, because a typical descent in provisions under which cross-country of terms throughout part 61. The FAA which the aircraft breaks out of the flight would include any flight that believes the definition achieves this goal overcast before reaching MDA would departs an airport and its traffic pattern and should be adopted as proposed with not be loggable. and lands at another location, or, for a a modification to remove any Some individual commenters also flight that does begin and end at the distinction between flight and actual state that this definition may be overly same location, would include any flight flight in response to commenters’ restrictive, because practice approaches of more than 50 nautical miles in concerns. often are conducted under VFR and powered aircraft, or 25 nautical miles in without involvement of ATC. These nonpowered aircraft. That commenter Section 61.1(b)(7) Flight training commenters state that the pilot, safety states the proposal would apply to device. pilot, or flight instructor may determine flights in which dead reckoning, The FAA has modified the current the need to terminate the approach prior pilotage, electronic, or radio navigation definition of ‘‘flight training device,’’ as to reaching MDA or DH for safety aids were used. set forth in Amendment No. 61–100, to reasons. Another commenter states that FAA Response: In response to the include all categories of aircraft. it is beneficial for beginning instrument commenters’ concerns, the FAA has students to complete some approaches modified the definition of ‘‘cross- Section 61.1(b)(8) Ground training. visually so they better understand issues country time’’ to remove any distinction In Notice No. 95–11, the term ‘‘ground related to transitioning from between flight and actual flight. The training’’ is defined as training other instruments to visual flight. That definition was also modified to permit than flight training received from either commenter also indicates that in flights of 25 nautical miles for a private an authorized ground instructor or an approaches conducted under IFR, pilots rotorcraft rating to be considered as authorized flight instructor. However, may sight the airport or runway prior to cross-country flights. The definition was the FAA has modified the definition in reaching MDA or DH if weather modified to include references to future the final rule to replace the phrase conditions permit. One commenter navigation systems rather than ‘‘authorized ground or flight instructor’’ suggests revising the definition to restricting cross-country navigation to with the term ‘‘authorized instructor.’’ permit the pilot to terminate the present methods and systems. In This change was discussed in the approach prior to DH or MDA for safety response to comments received, the analysis of § 61.1(b)(2). Except for this reasons. Another commenter proposes FAA modified the definition of cross- change, the definition is adopted as to define ‘‘instrument approach’’ as country time to permit a commercial proposed. No substantive comments ‘‘ * * * an approach procedure defined pilot, airline transport pilot, or military were received. in part 97 and conducted in accordance pilot qualified for a commercial pilot with that procedure or as directed by rating to log cross-country time without Section 61.1(b)(9) Instrument ATC to a point beyond an initial requiring a landing at a point 50 approach. approach fix defined for that nautical miles from the original point of Notice No. 95–11 described the procedure.’’ The commenter explains departure. instrument approach as an approach that this definition would allow for procedure, defined in 14 CFR part 97, logging instrument approaches that Section 61.1(b)(4) Examiner. conducted to an established minimum require some portion of the published In Notice No. 95–11, the term referred descent altitude (MDA) or decision approach procedure to be followed in to persons authorized to conduct height (DH) or, if necessary, to a higher order for the pilot to establish visual practical tests or knowledge tests under altitude selected by the air traffic references to the runway. The part 61. However, the FAA has modified control (ATC) facility with jurisdiction commenter suggests that for specific the definition in the final rule to include over that airspace for safety reasons. purposes such as training or currency persons who conduct pilot proficiency Comments: AOPA believes that there requirements, the term could refer to tests. is a potential conflict between the descent to the MDA or DH, or to the 16236 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations missed approach point, which may exemptions to provide for the use of issued an additional renewal, or occur after the MDA is reached. simulators and flight training devices. reinstatement of a category, class, or FAA Response: To address the Therefore, the final rule reflects instrument rating for a U.S. flight public’s concerns, the definition of established FAA policy. instructor or ground instructor ‘‘instrument approach’’ was modified to certificate. remove any requirement that the Section 61.1(b)(13) Practical test. Comments: ALPA expresses concern approach be conducted to DH, MDA, or The proposed definition included to a higher altitude selected by ATC in both oral and flight testing or testing in over proposed § 61.2, which, the order to be considered an instrument an approved flight simulator or flight commenter states, makes it easier for a approach. training device on the areas of operation person who is neither a U.S. citizen nor for an airman certificate, rating, or a resident alien to obtain a U.S. pilot Section 61.1(b)(10) Instrument authorization. The definition is changed certificate. ALPA urges further training. in the final rule to remove the reference amendment of this regulation as Notice No. 95–11 defines instrument to ‘‘actual flight.’’ Except for this follows: ‘‘A certificate issued under this training as that time in which change, the definition is adopted as subsection may not permit the holder to instrument training is received from an proposed. No substantive comments serve as a required crewmember on an authorized flight instructor under actual were received. aircraft in the commercial operations of or simulated instrument flight Section 61.1(b)(14) Set of aircraft. a U.S. carrier.’’ ALPA cites ‘‘the need to conditions. protect quality piloting jobs for U.S. Comments: One commenter expresses The FAA has modified the current citizens and resident aliens.’’ According concern regarding the lack of a definition originally set forth in to ALPA, future growth in U.S. air sufficient provision for training Amendment No. 61–100 from ‘‘set of carrier operations will be on airplanes or rotorcraft’’ to ‘‘set of conducted in simulators, and suggests a international routes, and there are definition for ‘‘simulated flight’’ and for aircraft’’ to include all categories of indications that U.S. carriers are ‘‘instrument training,’’ which would aircraft. considering hiring noncitizen, encompass training received in a flight Section 61.1(b)(15) Training time. nonresident aliens as flight crew for simulator or flight training device. Another commenter states that the Notice No. 95–11 discussed ‘‘training these operations. proposed definition does not refer to time’’ as training received in actual AOPA opposes the wording of authorized ground instructors. flight from an authorized flight proposed § 61.2 because it appears that FAA Response: Training received in instructor, on the ground from an the current regulation has been changed flight simulators is outside the scope of authorized ground or flight instructor, to the detriment of foreign pilots seeking the rule, and is addressed in another or in a flight simulator or flight training U.S. certification. According to AOPA, rulemaking project (Notice No. 92–10), device from an authorized ground or the proposed language places a different as explained in section II. The term flight instructor. emphasis on the word ‘‘need,’’ implying Comments: AOPA opposes the use of ‘‘authorized instructor’’ is used as that the discretion to determine whether the term ‘‘actual flight’’ in the definition explained in the analysis of § 61.1(b)(2), a pilot really ‘‘needs’’ a certificate is left of ‘‘training time’’ because it effectively and the definition of instrument training to the Administrator. The commenter has been modified to reflect this change. excludes taxi, run-up, takeoff, and landing roll as loggable flight time. recommends retaining the original Section 61.1(b)(11) Knowledge test. According to AOPA, this unloggable language. It is AOPA’s position that, The term ‘‘knowledge test’’ replaces time could be significant if full-stop instead of attempting to limit the ‘‘written test,’’ because the FAA believes landings are required for currency issuance of U.S. pilot certificates to the term ‘‘knowledge test’’ is a more training. foreign airmen, the FAA should inclusive term that incorporates the use FAA Response: The definition of aggressively pursue reciprocal rights for of computer testing on the aeronautical ‘‘training time’’ was modified in the U.S. certificated pilots in foreign knowledge areas in part 61. No final rule to remove any distinction countries because U.S. certificates are substantive comments were received, between flight and actual flight. Taxi not normally recognized as the and the definition is adopted as and run-up time performed for the equivalent of certificates issued in other proposed. purpose of flight can be logged as countries. training time. Section 61.1(b)(12) Pilot time. FAA Response: The FAA notes Section 61.2 Certification of foreign ALPA’s concerns but does not find the The FAA inadvertently failed to pilots, flight instructors, and ground commenter’s specific proposal to be discuss this proposed definition in the instructors. within the scope of this rulemaking. As NPRM preamble. However, in response explained in the preamble to Notice No. to requests for legal interpretations as to In Notice No. 95–11, the FAA 95–11, the existing provisions of § 61.2 what constitutes ‘‘pilot time,’’ the FAA proposed to revise § 61.2 to include a included the definition of ‘‘pilot time’’ provision for ground instructor limit U.S. training and airplane in the proposed rule. certificates. As previously noted, manufacturing companies from Comments: A commenter expresses Amendment No. 61–100 redesignated expanding their business into the strong opposition to the inclusion of this section as current § 61.3. The FAA international aviation market. The training given in an approved flight also proposed to permit a person who is proposed rule was written to address simulator or approved flight training not a citizen of the United States or a this problem. With regard to AOPA’s device in the proposed definition of resident alien of the United States to: (1) comment concerning the language of the ‘‘pilot time.’’ complete a knowledge or practical test proposed rule, the FAA finds that the FAA Response: Since the early 1980’s, outside the United States; (2) be issued proposed rule does not differ the FAA has recognized the importance an additional category, class, substantively in this regard from the of flight simulators and flight training instrument, or type rating, as applicable existing rule. The rule is adopted as devices, and has issued over 30 on a U.S. pilot certificate; and (3) be proposed. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16237

Section 61.3 Requirement for that the proposal still is ambiguous. He pilots, a policy they support. ASA, SSA, certificates, ratings, and authorizations. states that ‘‘physical possession’’ should AOPA, and EAA support retaining As previously noted, Amendment No. be defined in § 61.1a or replaced with ‘‘a medical self-evaluation for glider pilots. 61–100 redesignated this section as valid airman certificate in the aircraft ASA states its opposition to the current § 61.5. and readily accessible when exercising imposition of any standards for medical * * *’’ self-evaluation, while SSA opposes the Section 61.3(a) Pilot certificate. FAA Response: The FAA is persuaded listing of disqualifying conditions. The FAA clarified the requirement in by the public comments that contend AOPA states that by not including § 61.3(a) that a pilot certificate must be the proposed section could create powered gliders in proposed in the person’s ‘‘personal possession’’ difficulties in certain situations. As § 61.3(c)(2)(i), the FAA will be revoking whenever the person exercises the provided for in § 61.29, the FAA will the currently held privilege of operating privileges of the certificate. permit a pilot to use a facsimile received powered gliders without a medical Comments: ALPA supports the from the FAA to satisfy the certificate. AOPA is unaware of any requirements of proposed § 61.3(a) on requirements of § 61.3(a). In response to documented problem with medical AOPA’s comment regarding instructors incapacitation-related accidents for the possession of certificates. who act as safety pilots not being powered gliders that could justify HAI comments that while the loss of required to have a medical certificate, implementation of a new medical a pilot certificate during a trip may be the FAA notes that § 91.109 specifies certificate requirement for this group of considered remote, it has occurred. The that a safety pilot is required to conduct airmen. NAFI also states that powered commenter contends that because the simulated instrument flight, which gliders should be included in this loss of a certificate does not affect the makes the safety pilot a required regulation. safety of an operation, a pilot should not crewmember. Therefore, an instructor in FAA Response: The FAA has be unduly penalized. HAI recommends such situations would be required to considered the public comments that modifying § 61.3(a) to provide an hold a medical certificate. In addition, indicate the proposed section could exception in the case of operations AOPA requests that safety pilots create difficulties for certificate holders under part 121 or part 135 where a operating under § 91.109 be excepted who are awaiting the replacement of lost procedure has been approved for from holding medical certificates. The or destroyed certificates. Therefore, the interim operations after the accidental FAA has decided not to address this phrase ‘‘or other documentation loss of a pilot certificate. HAI notes that request here, as it is beyond the scope acceptable to the Administrator’’ has while the conditions for granting an of this rulemaking. been added to the final rule. With regard approval for such a procedure for part to AOPA’s concern over medical 121 and 135 operators are beyond the Section 61.3(b) Required pilot certificate requirements for pilots flying scope of Notice No. 95–11, the proposed certificate for operating a foreign powered gliders, as explained in section exception can be implemented registered aircraft. IV,F, the FAA is not adopting the immediately, and details associated In Notice No. 95–11, the FAA proposed separation of the glider with the procedures could be included proposed formatting and editorial category into powered and nonpowered in an AC or in FAA handbook material, changes to this paragraph. The rule classes. pending the determination of the need change addresses the pilot certificate However, for reasons discussed in to change part 121 or part 135. requirements for operating aircraft of section IV,A of this preamble, the final EAA and NAFI oppose the proposal foreign registry within the United rule includes medical certificate and contend that pilot records can be States, and is adopted as proposed. No requirements for recreational pilots, and obtained at any time through the use of substantive comments were received. student pilots seeking recreational pilot computers and electronic media. These certificates. commenters do not believe the proposal Section 61.3(c) Medical certificate. will enhance safety and, instead, might This section was clarified in Notice Section 61.3(d) Flight instructor expose pilots to inadvertent violations No. 95–11, and set forth the certificate. and enforcement actions. EAA also requirements for persons to have their In Notice No. 95–11, the FAA states that under the proposal, pilots medical certificate in their physical clarified the requirement that a flight who lose their certificates on a cross- possession or readily accessible in the instructor certificate must be in the country flight would be unable to return aircraft. It also specifically identified person’s ‘‘personal possession’’ home. when it is permitted for persons not to whenever the person exercises the It is AOPA’s position that, although have their medical certificate in their privileges of the certificate. This section proposed § 61.3 is a slight improvement physical possession or readily also provided that a flight instructor over the existing regulation, the FAA accessible in the aircraft. certificate is not necessary if: (1) The should withdraw this requirement Comments: HAI suggests modifying training is given in accordance with a entirely. AOPA recommends that the proposed § 61.3(c)(1)(ii) to cover the part 121 or part 135 air carrier approved FAA qualify the language in § 61.3 accidental loss of a medical certificate. training program; (2) the training is concerning ‘‘required crewmember’’ to Similarly, GAMA suggests adding the given by the holder of an ATP certificate state that the instructor may not act as language ‘‘except for renewal or under § 61.169 of this part; and (3) the a ‘‘crewmember required under the replacement’’ to proposed person receiving the training and the aircraft’s type certificate’’ without a § 61.3(c)(1)(ii). person giving the training are employees valid medical certificate. AOPA believes Approximately 30 commenters of that air carrier. This proposal also that this modification would permit a address proposed medical certification provided that a flight instructor flight instructor to provide instrument requirements from the point of view of certificate is not necessary if the training instruction and act as a safety pilot glider operations, nearly all of them in is conducted in accordance with the under the regulations without a medical favor of Notice No. 95–11. Most provisions of § 61.41. certificate. commenters feel the proposal confirms Comments: GAMA and AOPA are One individual commenter agrees that medical certificate requirements concerned that the proposal would with the need for clarification, but states would continue not to apply to glider present problems for flight instructors 16238 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations participating in renewal programs that to operate an airship under IFR or IMC person may serve as, a pilot under part require instructors to turn in their CFI was deleted. The proposal also required 121 if that person has reached his or her certificate when they mail in their pilots of gliders to hold an instrument 60th birthday. That section, however, course documentation. AOPA believes rating for a single-engine airplane. The applies only to pilots serving with U.S. the proposed rule could ground these FAA has decided to eliminate the air carriers certificated under part 121. instructors while they await their proposed airship instrument rating There are some U.S.-registered aircraft certificates. proposed in § 61.3(k)(4). Instead, the operated by non-U.S. air carriers. Under ATA states that the language in the FAA is retaining the current Annex 1 to the Convention on NPRM preamble regarding proposed requirements for pilots to possess a International Civil Aviation, the pilots § 61.3 implies that a flight instructor lighter-than-air commercial pilot of these aircraft must hold U.S. pilot certificate is not necessary if the training certificate with an airship rating to be certificates or a U.S. validation of their is in accordance with a part 121 air permitted to fly airships under IFR, foreign pilot license. The special carrier approved training program, and because the FAA concluded that purpose pilot authorization under the persons receiving and giving the operational requirements and accident/ § 61.77 provides for validation of a training are employees of the air carrier. incident data did not establish a foreign license and applies an age 60 ATA notes that many part 121 air sufficient safety justification for limitation similar to that in part 121. carriers provide training to other part increased regulatory or economic However, there has not been an age 60 121 air carriers. The commenter burdens resulting from the proposed rule applied to the holders of regular recommends modifying the regulation change to the rule. This section is U.S. pilot certificates while operating to exclude the language ‘‘person changed to reflect the elimination of the U.S.-registered aircraft for non-U.S. air receiving the training’’ and include a proposed separation of single- and carriers. This rule provides such a statement that would allow a part 121 multiengine instrument ratings, as well limitation. air carrier with an approved training as the elimination of the powered glider In operations specifications issued program to train another part 121 air class rating, as explained in section IV,D under part 129, the FAA does require carrier’s pilots. and section IV,F, respectively. that foreign air carriers under part 129 FAA Response: Based on public apply to their pilots in command the age comments that argue the proposed Section 61.3(f) Category II pilot 60 limitation in Annex 1. This applies section could create difficulties in authorization. only to operations in the United States, situations where flight instructor The proposed rule contained only however, and does not apply to seconds certificates are mailed in upon editorial and format changes, and is in command. It also applies to all completion of a renewal course, the adopted as proposed. airplanes operated by the foreign air FAA has decided to add the phrase ‘‘or carrier, not just U.S.-registered other documentation acceptable to the Section 61.3(g) Category III pilot airplanes. Section 61.3(j) applies to all Administrator,’’ which would permit a authorization. pilots, applies to certain operations both flight instructor to use a copy of a The provisions set forth in current inside and outside the United States, graduation certificate from a CFI § 61.5(i) as adopted in Amendment No. and applies only to the operation of refresher course and a copy of the 61–100 have been retained with only U.S.-registered airplanes. completed application for renewal to minor editorial and format changes. Section 61.3(j) proposed to apply the meet this requirement. The FAA also age 60 rule to specific operations, agrees with ATA’s comment, because Section 61.3(h) Category A aircraft including any scheduled international the practice that ATA refers to is pilot authorization. air services, nonscheduled international currently permitted, and the FAA did The proposed rule contained only air transportation, or common carriage not intend to revoke it. Therefore, the editorial and format changes, and is operations for compensation or hire in FAA has changed the final rule to adopted as proposed. civil airplanes having a (1) passenger permit an air carrier conducting seating configuration of more than 30 operations under part 121 or 135 with Section 61.3(i) Ground instructor seats, excluding any required an approved training program to train certificate. crewmember seat, or (2) payload another air carrier’s pilots. Additionally, The FAA proposed to include the capacity of more than 7,500 pounds. the FAA has added provisions stating certification of ground instructor This was arrived at by merging the that a flight instructor certificate is not certificates and ratings in part 61, and operations covered at that time by the necessary for certain training given by replaced the phrase ‘‘personal part 121 age 60 rule, and those the holder of a commercial pilot possession’’ with ‘‘physical possession, operations covered by the Annex 1 age certificate with a lighter-than-air rating, or immediately accessible when 60 standard. Part 121 included a person qualified in accordance with exercising the privileges’’ of the ground scheduled and nonscheduled operations subpart C of part 142, a person as instructor certificate. Except for a minor of civil airplanes having a passenger provided in § 61.41 of this part, and the modification to clarify that a ground seating configuration of more than 30 holder of a ground instructor certificate. instructor can only provide seats, excluding any required endorsements for a knowledge test, the crewmember seat, and all-cargo Section 61.3(e) Instrument rating. final rule is adopted as proposed. operations with airplanes having a This section replaced the references to payload capacity of more than 7,500 the instrument rating needed for each Section 61.3(j) Age limitation. pounds. The Annex 1 standard covers class of aircraft category with the phrase Notice No. 95–11 proposed to align aircraft engaged in scheduled ‘‘appropriate aircraft category, class, the age 60 rule for pilots with the international air services and type, and instrument rating.’’ Under the requirements of part 121 for all U.S. and nonscheduled international air proposed rule change that established foreign pilots who are employed by transportation operations for an instrument rating for airships, the foreign carriers that operate U.S.- remuneration or hire. existing requirement for a pilot to hold registered civil aircraft. Section However, since Notice No. 95–11, the a commercial certificate with a lighter- 121.383(c) provides that no certificate applicability of part 121 has been than-air category and airship class rating holder may use the services of, and no amended to include certain commuter Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16239 airplanes (60 FR 65832; December 20, is an operational rule and should not a flight training device, provided it can 1995.) In order to align § 61.3(j) with appear in part 61 because it does not be shown to function as originally part 121, as was proposed, this final rule constitute a general aviation rule. Two designed and is used for the same applies to the following: commenters state that they believe the purpose for which it was originally (i) Scheduled international air safety benefits of an age 60 limitation is accepted or approved. The FAA notes services carrying passengers in turbojet- not established, and three commenters that only devices that were accepted in powered airplanes; note that the age 60 rule has been accordance with AC No. 61–66, (ii) Scheduled international air challenged in court. ‘‘Annual Pilot in Command Proficiency services carrying passengers in airplanes FAA Response: The FAA has treated Checks,’’ may be used to satisfy the having a passenger-seat configuration of the age 60 rule in the past as both an requirements of § 61.56. All other more than 9 passenger seats, excluding operational rule (§ 121.383(c)) and a devices may be used only to the extent each crewmember seat; certification rule (§ 61.77). Annex 1 to which they had received acceptance (iii) Nonscheduled international air places the limitation in its certification or approval prior to August 1, 1996. transportation for compensation or hire standards. Part 61 contains not only This final rule also includes a provision in airplanes having a passenger-seat general aviation rules, but also rules that stating that the Administrator may configuration of more than 30 passenger apply to airline transport pilots and approve devices other than flight seats, excluding each crewmember seat; commercial pilots. The FAA has simulators or flight training devices for or decided to include the age limitation in specific purposes. (iv) Scheduled international air § 61.3(j) as a convenient location where Section 61.5 Certificates and ratings services, or nonscheduled international affected persons may easily find it. air transportation for compensation or Recently the FAA reconsidered the issued under this part. hire, in airplanes having a payload age 60 rule and decided not to propose The FAA proposed significant capacity of more than 7,500 pounds. to change it (60 FR 65977; December 20, changes to this section. The FAA has ‘‘International air service’’ is defined 1995). There is no reason to reexamine decided to withdraw the conversion as in Article 96 of the Convention of that decision at this time. While a provisions proposed in paragraphs (e) International Civil Aviation (Chicago petition for review of that decision has through (h) from the final rule because Convention) as scheduled air service been filed in the United States Court of the ratings proposed in those paragraphs performed in airplanes for the public Appeals, there is no need to further were not adopted. transport of passengers, mail, or cargo in delay implementation of age limitations. which the service passes through the air Section 61.5(a) space over the territory of more than one Section 61.3(k) Special purpose pilot In Notice No. 95–11, the FAA country. ‘‘International air authorization. proposed to include the ground transportation’’ is defined as air The proposed rule required pilots instructor certificate in part 61. The transportation performed in airplanes who hold a special purpose pilot specific provisions regulating the for the public transport of passengers, authorization issued in accordance with ground instructor certificates are mail, or cargo in which the service § 61.77 to have that authorization in discussed in the section-by-section passes through the air space over the their possession in the aircraft when analysis of §§ 61.211–61.217. territory of more than one country. exercising the privileges of that Section 61.5(b) In the part 121 amendment, the FAA authorization. The rule is adopted as delayed the compliance date for pilots proposed. No substantive comments Section 61.5(b) proposed to establish on operations that were not subject to an were received. a powered-lift category rating; an age limitation in the past but now are instrument rating for powered-lifts, subject to the age 60 rule (see 60 FR Section 61.3(l) Inspection of nonpowered, and powered class ratings 65843, as amended, 61 FR 2608; January certificate. under the glider category; separate 26, 1996). Because § 61.3(j) is a new age This section, as proposed, permitted instrument ratings for single-engine and limitation, and does not just add certain exceptions during the proposed multiengine airplanes; and an additional operations to an existing age 2-year transition period for the instrument rating for airships. As limit, the FAA is applying the same implementation of flight instructor discussed in section IV,D and section delayed implementation dates to all certificates in the lighter-than-air IV,F, the proposals for a powered-lift operations. However, until December category. Because those ratings have not category rating and an instrument rating 20, 1999, a person may serve as a pilot been adopted in the final rule, proposed for powered-lift are adopted. As in operations covered by this paragraph paragraph (k) has been withdrawn. previously discussed in section IV,F, the after that person has reached his or her Proposed paragraph (l) is adopted as FAA has decided to withdraw the 60th birthday, if, on March 20, 1997, proposed. No substantive comments proposals for separate ratings under the that person was employed as a pilot in were received. glider category, separate instrument operations covered by this paragraph. ratings for single-engine and While Notice No. 95–11 proposed to Section 61.4 Approval of simulators multiengine airplanes, and an align the age 60 limitation in § 61.3(j) and flight training devices. instrument rating for airships. with that in part 121, at that time the Although this section was not In Notice No. 95–11, the FAA changes to part 121 had not been made proposed in Notice No. 95–11, it was set proposed to delete from this paragraph final, and Notice No. 95–11 did not forth in Amendment No. 61–100. It is the word ‘‘small’’ in the reference to specifically include the new part 121 modified to refer to the approval of turbojet airplanes in the paragraph that airplanes. Accordingly, the FAA invites flight simulators and flight training applies to aircraft type ratings. The FAA comments on the inclusion of additional devices. The current section has been also proposed to eliminate the reference airplane operations under § 61.3(j). revised to provide that any device used to AC No. 61–1, ‘‘Aircraft Type Comments: Five comments were for flight training, testing, or checking Ratings.’’ The reference is obsolete received. One commenter supports that has been found to be acceptable to because the AC has been revised. The clarifying the age 60 rule. Another or approved by the Administrator prior list of type ratings is incorporated into commenter objects that the age 60 rule to August 1, 1996, is considered to be AC No. 61–89D, ‘‘Pilot Certificates: 16240 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Aircraft Type Ratings,’’ which also section, and except for the above implications of proposed §§ 61.9(a)(1) consists of type-rating curricula. The changes, the final rule is adopted as and 61.9(c) for flight instructors. FAA is adopting the proposed changes proposed. According to AOPA, the proposals may in the final rule. create a de facto contractual relationship Section 61.9 [Reserved.] The FAA proposed to delete from this between the instructor and the student paragraph the specific reference to type In Notice No. 95–11, the FAA to provide flight or ground instruction ratings in small helicopters for pilots proposed that this section be titled in a specific amount of time. AOPA with ATP certificates. The FAA is ‘‘Written syllabus for conducting points out that each student is different, adopting this change in the final rule. training.’’ The FAA also proposed to and these differences may not be require that training under part 61 for Section 61.5(c) apparent at the beginning of a syllabus any airman certificate be conducted curriculum. The commenter believes In Notice No. 95–11, the FAA according to a written syllabus. Under that it would be better to provide the proposed to establish the following the proposal, instructors were prospective student with a copy of the ratings for flight instructor certificates: a responsible for ensuring that the PTS for the certificate or rating sought powered-lift category rating, lighter- syllabus contained all knowledge areas and to familiarize the student with the than-air category and class ratings, and areas of operation appropriate to the standards to which he or she will be powered and nonpowered glider class certificate and rating sought, and that expected to perform. ratings, and instrument ratings for the student completed all applicable AOPA also opposes the recordkeeping airship, single-engine and multiengine lessons prior to receiving any requirements of this provision. The airplanes, and powered-lift. For the endorsements. A copy of the syllabus commenter states that proposed § 61.9(f) reasons discussed in section IV,C and was required to be furnished to the creates strict liability compliance on the section IV,F, the lighter-than-air student, and an itemized written record part of the instructor by requiring the of training also was required to be category and class ratings, and glider instructor to provide the student with provided whenever a student completed class ratings for the flight instructor an itemized written record of the certificate are withdrawn. For the the curriculum or terminated training. Comments: NAFI recognizes the training accomplished when the student reasons delineated in section IV,D, the decides to terminate training. AOPA separate instrument instructor ratings benefits of a written syllabus, but opposes the proposal because of the notes that the student is not obligated to for airships and single-engine and give notice of his or her decision to multiengine airplanes also are associated recordkeeping requirements and enforcement potential. NAFI states terminate training to the instructor. withdrawn. The powered-lift category AOPA believes that the current required rating and instrument rating are adopted that the recordkeeping requirements are onerous, and the time limits for the logbook entries are sufficient as proposed. The powered-lift category documentation and that no further proposal is discussed in section IV,F. retention of these records are not specified. According to NAFI, the regulation is necessary. According to the Section 61.5(d) proposal would make instructors liable commenter, the recordkeeping requirements also represent a significant Notice No. 95–11 revised ground for enforcement action and litigation in addition of time and costs to training instructor certificates to distinguish the event a training syllabus is lost. without any increase in safety. ratings on the basis of aircraft category NAFI believes that the PTS is a (airplane, rotorcraft, glider, lighter-than- sufficient guide to ensure coverage of HAI comments that the proposed air, glider, and powered-lift). training requirements. written syllabus requirement is a good Comments: AOPA opposes the change NATA states that the proposed concept, but that it will create from the current ground instructor written syllabus requirement is a good difficulties for both flight instructors certificates (basic, advanced, and concept, but the commenter also and flight schools because of the instrument) to the proposed ratings. opposes the proposal because of the training time constraints and FAA Response: After further review, recordkeeping requirements. NATA recordkeeping requirements, especially the FAA has decided to retain the recommends that the references in because there are many part-time and current ground instructor ratings. The proposed § 61.9(a) (1) and (2) to occasional students with special FAA found that operational providing total training or lesson time requirements. HAI recommends deleting requirements and accident/incident data schedules to a student pilot be omitted any references to the instructor do not establish sufficient safety in order to lessen the pressures on providing total training or lesson time to justification for the increased regulatory students and instructors to complete a student pilot. and economic burden. training within a time frame. To ensure SSA opposes the proposed written the use of a written syllabus, NATA syllabus requirement in its current form. Section 61.7 Obsolete certificates and proposes that student pilots be required SSA contends that glider instruction is ratings. to submit the written syllabus to the unique in that it is virtually impossible In Notice No. 95–11, the FAA designated examiner during the to follow a written syllabus. Glider proposed to revise § 61.7 by adding a practical test. instructors cannot predict the training new paragraph (c) that would list five AOPA agrees in principle that most time of each flight, the length of total certificates and ratings that were flight training should be organized into training time, the maneuvers and proposed to be eliminated. However, the a format that ensures each student is procedures that will maximize each FAA has decided not to adopt separate taught the necessary aeronautical skills. training session, or the knowledge areas classes of airplane instrument ratings, The commenter, however, opposes the that will be covered on each flight separate the glider category into a proposed written syllabus requirement because of weather constraints and powered or nonpowered class rating, or and the associated recordkeeping and scheduling realities. SSA also states that establish new ground instructor ratings, transfer requirements. According to glider school operators feel it is because there is insufficient safety AOPA, the FAA does not provide any unreasonable to present students with a justification for the increased regulatory justification for the burdens of the complete package prior to beginning and economic burden. No substantive proposal. The commenter is also training because many students do not comments were received regarding this concerned about the liability progress past the first flight. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16241

GAMA supports requiring flight ‘‘Awarding of airman certificates, Section 61.16 Refusal to submit to an instructors to use a written syllabus for ratings, and authorizations,’’ and to alcohol test or to furnish test results. pilot training. GAMA comments that, revise the format of this section. while the recordkeeping requirements The significant proposed changes in In Notice No. 95–11, the FAA may appear somewhat burdensome, the this section were as follows: (1) proposed an editorial change to correct benefits to safety outweigh the Replacement of the phrase ‘‘flight the reference to § 91.11(c) in the existing administrative burden. According to proficiency requirements’’ with rule to § 91.17(c). The final rule is GAMA, a written syllabus would ‘‘approved areas of operation’’; (2) adopted as proposed. improve communication between the deletion from this section of the rule’s student and instructor, and it would provision that permits the use of aircraft Section 61.17 Temporary certificate. contribute to a higher quality of for a practical test that cannot perform In the preamble to Notice No. 95–11, training. The commenter also believes all of the approved areas of operation for the FAA proposed to revise this section that practical test because of limitations that the syllabus could prove useful to to include the ground instructor accident investigators and other safety listed in that aircraft’s type certificate; certificate. Although the actual revision personnel in understanding a pilot’s and (3) clarification that a limitation to the rule language was omitted training background. GAMA notes, placed on a person’s airman certificate however, that the training records may be removed if the pilot inadvertently from the proposed rule, should not be used for enforcement demonstrates to an examiner the final rule includes the appropriate purposes. satisfactory proficiency in the area of references to the ground instructor Several individual commenters also operation for which the airman certificate. The proposed rule also made cite concerns about burdensome certificate and rating are sought. some minor editorial changes. No recordkeeping, and one states that the For reasons of clarity, the final rule substantive comments were received on PTS are sufficient to follow. One changes the proposed section title word this proposal, and it is adopted as commenter suggests that the FAA ‘‘awarding’’ to ‘‘issuance’’. Except for proposed. publish an AC on the issue rather than these and other editing changes Section 61.19 Duration of pilot and adopting a regulation. One commenter applicable to Category III operations and states that the proposed requirement for the use of approved flight simulators instructor certificates. the syllabus to contain planned training and approved flight training devices, the In Notice No. 95–11, the significant times for lessons are impossible to final rule is adopted as proposed. No proposed changes in this section were: determine for all students; another adds substantive comments were received. a change in the title of proposed § 61.19 that specifying planned training times from ‘‘Duration of pilot and flight could be misconstrued as a written Section 61.14 Refusal to submit to a instructor certificates’’ to ‘‘Duration of contract. Comments supporting the drug test. proposal state it would cut down on In Notice No. 95–11, the FAA pilot and instructor certificates’’; unprepared instructors and would inadvertently set forth the pre-March deletion of the existing rule’s language promote an organized, logical approach 1994 regulatory language contained in specifying that a flight instructor toward meeting certification and rating § 61.14. certificate is only effective when requirements. One commenter supports Comments: In its comments, AOPA accompanied by a medical certificate the proposal for use of a written opposes proposed § 61.14(b) because it appropriate to the privileges being syllabus, but opposes the associated seems to allow certificate action against exercised; inclusion of ground recordkeeping requirements as any person who refuses to take a drug instructor certificates under part 61; and unnecessarily burdensome. On a related or alcohol test, regardless of whether the the addition of the language ‘‘or issue, another commenter stated that the person is required under the rule to take otherwise terminated’’ to the list of current requirement for flight a test. While AOPA believes that the conditions under which a certificate instructors to retain records for 3 years intent of this rule is obvious, it is may be terminated. uncomfortable with the removal of the is unnecessary. Comments: AOPA supports the qualifying language and recommends FAA Response: After further review of inclusion of ground instructor the proposal, the FAA has concluded retaining the current language. NAFI certificates without a specific expiration that operational requirements and the also comments about this proposed date, but objects to, and requests the accident/incident data do not establish section, and states that courts have a sufficient safety justification for the made determinations equating an deletion of, the language ‘‘or otherwise increased regulatory and economic adulterated test sample with refusal to terminated’’ in proposed § 61.19(f). burden resulting from the proposed take a test. NAFI is concerned that, AOPA states that the law provides rule. Therefore, the proposal has been because test samples might be protective procedures in the event of withdrawn. adulterated in many ways other than by suspension or revocation, and the the person taking the test, the wording commenter is unaware of any method of Section 61.11 Expired pilot certificates of the regulation might place pilots at certificate termination other than the and reissuance. risk of a violation and certificate methods specified in the existing rule. Minor editorial and format changes revocation ‘‘for reasons beyond their Individual commenters also express were proposed for this section. No control.’’ concern about the addition of the new substantive comments were received, FAA Response: As previously noted, language. and the final rule is adopted is no modifications were intended for FAA Response: After further review proposed. § 61.14. The final rule sets forth the and in response to the objections of existing regulation in its correct form. Section 61.13 Issuance of airmen AOPA and some individual certificates, ratings, and authorizations. Section 61.15 Offenses involving commenters, the final rule deletes the In Notice No. 95–11, the FAA alcohol or drugs. proposed language ‘‘or otherwise proposed to replace the title of § 61.13, No modifications were proposed for terminated.’’ Except for this change, the ‘‘Application and qualification,’’ with this section. final rule is adopted as proposed. 16242 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Section 61.21 Duration of a Category II aircraft is operated in simulated class medical certificate to be eligible to and a Category III pilot authorization instrument flight, and, under these apply for a private, commercial, airline (for other than part 121 and part 135 circumstances, AOPA contends that the transport pilot, or flight instructor use). safety pilot becomes a required certificate. This change also was made The FAA proposed minor editorial crewmember. According to AOPA, an in § 61.39, but is discussed here. These and format changes to § 61.21. No instructor becomes a required commenters feel that the proposal substantive comments were received, crewmember as soon as a pilot receiving would encourage pilots to seek instruction puts on a hood or other and, except for editorial changes to advanced training, even if they did not vision-limiting device. Therefore, AOPA include references to Category III intend to exercise the privileges of the reasons that a flight instructor who does operations, the final rule is adopted as higher certificate. AOPA, GAMA, and not possess a medical certificate cannot proposed. NAFI support permitting applicants for give any form of instruction involving a commercial or ATP certificate to hold Section 61.23 Medical Certificates: flight by reference to instruments under only a third-class medical certificate. Requirement and duration. simulated instrument conditions. The Like the other commenters, these The FAA proposed to change the title commenter recommends permitting an associations felt that the proposal would of this section from ‘‘Duration of instructor to act as a safety pilot without encourage training toward advanced medical certificates’’ to ‘‘Duration and a medical certificate. certificates and would improve safety. GAMA, NATA, HAI, and AOPA requirement for a medical certificate’’, With respect to the holding of medical oppose the language of proposed § 61.23 and to redesignate the paragraphs certificates by a flight instructor, the concerning the duration of the different within it. FAA has determined that the classes of medical certificates, and Proposed paragraph (a) set forth the compensation a certificated flight recommend retaining the current duration of each class of medical instructor receives for flight instruction language of the regulation. NATA certificate, and proposed paragraph (b) is not compensation for piloting the believes the proposed language is set forth the medical certificate aircraft, but rather is compensation for unclear and could lead to the instruction. A certificated flight requirements for each type of pilot misinterpretations. Other individual operation. Proposed paragraph (b)(3)(iii) instructor who is acting as pilot in commenters have echoed this position command or as a required flight clarified the existing requirement that a and state that, under the proposed person who is exercising the privileges crewmember and is receiving language, it appears that if a pilot’s first- compensation for his or her flight of his or her flight instructor certificate class medical certificate expires, the instruction is only exercising the while serving as a pilot in command, or pilot will not be able to exercise the privileges of a private pilot. A as a required crewmember, must hold a privileges of pilot certificates requiring certificated flight instructor who is third-class medical certificate. However, second-class and third-class medical acting as pilot in command or as a if the flight instructor is not serving as certificates. pilot in command or as a required FAA Response: In the final rule, the required flight crewmember and crewmember, then that person would title was changed to ‘‘Medical receiving compensation for his or her not be required to hold a medical Certificates: Requirement and duration,’’ flight instruction is not carrying certificate. The FAA proposed in and the section was further reformatted passengers or property for compensation paragraphs (b)(4)(i) and (b)(4)(ii) to and edited. The FAA reviewed AOPA’s or hire, nor is he or she, for permit student pilots who are seeking a concerns regarding the ability of flight compensation or hire, acting as pilot in recreational pilot certificate and instructors to act as safety pilots without command of an aircraft. Therefore, certificated recreational pilots to operate medical certificates. The FAA has because a certificated flight instructor on aircraft without holding a medical determined that safety requires all who is acting as pilot in command or as certificate, provided they have an required crewmembers, including safety a required flight crewmember and is application for an airman certificate on pilots, to possess valid medical receiving compensation for his or her file with the FAA that certifies they do certificates. flight instruction is exercising the not have any known medical The FAA agrees with the concerns of privileges of a private pilot, he or she deficiencies that would make them GAMA, NATA, HAI, and AOPA only needs to hold a third-class medical unable to pilot the aircraft. The proposal regarding problems in the proposed certificate. In this same regard, the FAA also afforded higher-certificated pilots language for the duration of medical has determined that a certificated flight exercising the privileges of a certificates and has modified the final instructor on board an aircraft for the recreational pilot certificate these same rule to restore the provisions of the purpose of providing flight instruction, privileges. existing rule. The FAA has also retained who does not act as pilot in command The FAA also proposed editorial and its proposal to require that an applicant or function as a required flight format changes to the paragraph for a private, commercial, or ATP crewmember, is not performing or concerning the duration of medical certificate possess only a third-class exercising pilot privileges that would certificates. medical certificate; but after further require him or her to possess a valid Comments: NAFI supports the review, has determined that the medical medical certificate under the FARs. proposal to permit flight instructors to certificate requirements that were The changes implemented by the FAA teach with only a third-class medical proposed to be contained in the still require a person who is involved in certificate. NAFI and AOPA express eligibility requirements listed under pilot operations requiring an ATP support for permitting flight instructors each pilot certificate subpart should be certificate (i.e., part 121 air carrier to teach without a medical certificate if placed in § 61.23. The purpose of this operations) to hold a first-class medical the instructor is not acting as a required change is to reflect the FAA’s position certificate. In addition, a person who is crewmember or pilot in command. that a medical certificate applies to the involved in pilot operations requiring a AOPA, however, believes there is a type of pilot operation being conducted. commercial pilot certificate (i.e., part discrepancy that is potentially unfair. Most commenters support the FAA’s 135 on-demand operators) will be The commenter points out that § 91.109 proposal, which provides that required to hold a second-class medical requires a safety pilot any time a civil applicants would only need a third- certificate. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16243

For reasons discussed in section IV,A urgent replacement of an airman a paragraph describing additional of this preamble, the final rule retains certificate. training required for operating a glider. the requirement that any pilot FAA Response: The cost for The reasons for this action are discussed exercising the privileges of a replacement of a lost or destroyed in section IV, F. recreational pilot certificate possess a airman certificate, medical certificate, or Section 61.31(a) Type ratings required. third-class medical certificate. knowledge test report is contained in 14 As a result of a legal interpretation CFR part 187. In response to This paragraph listed those aircraft for that permits applicants and check commenters’ concerns, the FAA notes which a type rating is required and is airmen, under parts 121 and 135, to that any changes to part 187 would be adopted without change. No substantive perform the practical tests for a type subject to public comment. The FAA comments were received. rating in a flight simulator without will accept a facsimile of the letter Section 61.31(b) Authorization in lieu either person holding a medical requesting replacement of these of a type rating. certificate, the FAA has modified certificates or reports in urgent cases. § 61.23 to permit applicants, examiners, This paragraph listed the Section 61.29(d) and check airmen to perform a practical circumstances under which a pilot may test or check without being required to In the final rule, paragraph (d)(2) has be authorized to operate, for up to 60 hold a medical certificate, provided that been revised to incorporate current days, an aircraft without holding the the test or check is only being policy, which is not to accept a post appropriate type rating. The provisions conducted in a flight simulator or a office box as part of a permanent are adopted without change. No flight training device. mailing address. Minor editorial substantive comments were received. changes were also made in the final Section 61.25 Change of name. Section 61.31(c) Aircraft category, rule. class, and type ratings: Limitations on In Notice No. 95–11, minor format Section 61.29(e) the carriage of persons or operating for and editorial changes were proposed. compensation or hire. No substantive comments were Proposed paragraph (e) provided that received. Except for a minor editorial a person who has lost an airman This paragraph provided limitations correction, the final rule was adopted as certificate, medical certificate, or on the carriage of persons for proposed. knowledge test report may obtain a compensation or hire. The provisions facsimile from the FAA confirming it are adopted without change. No Section 61.27 Voluntary surrender or was issued. No changes were made to substantive comments were received. exchange of certificates. this paragraph in the final rule. Section 61.31(d) Aircraft category, The FAA proposed to revise the Section 61.31 Type rating class, and type ratings: Limitations on format of this section. No substantive requirements, additional training, and operating an aircraft as the pilot in comments were received on this authorization requirements. command. proposal, and it is adopted as proposed. The FAA proposed several new or This paragraph provided limitations Section 61.29 Replacement of a lost or revised training and instructor on operating an aircraft as the pilot in destroyed airman or medical certificate endorsement requirements, and deleted command. or knowledge test report. the provision requiring a type rating in Comments: AOPA opposes the In Notice No. 95–11, the FAA helicopters for operations requiring an language in proposed § 61.31(d)(1), proposed to revise the title of this ATP certificate. The proposed which states that a pilot must be section and delete some language requirements included changes in ‘‘enrolled in a course of training’’ for a concerning the procedures for replacing endorsement requirements, special certificate or rating and be under the lost or destroyed airman or medical aircraft training, aircraft type specific supervision and endorsement of a flight certificates. training, and flight instructor instructor in order to operate, as pilot in endorsements for any aircraft specified command, an aircraft for which the Section 61.29 (a), (b), and (c) by the Administrator. person does not hold category and class The FAA proposed to delete the Comments: Approximately 55 privileges on his or her certificate. stated fee for replacement of a lost or comments address issues of AOPA believes that the use of the destroyed airman or medical certificate. endorsements, about 44 percent of language ‘‘enrolled in a course of The proposal also established the which oppose the proposals, 37 percent training implies that only a part 141 or procedures for obtaining copies of lost agree, and 19 percent offer alternatives. 142 school would be able to provide this or destroyed airman and medical An individual commenter also suggests authorization.’’ AOPA recommends certificates and knowledge test reports. an additional requirement for an replacing this language with words that Comments: EAA and NAFI disagree airplane pilot to have training and a recognize that the airman is ‘‘receiving with proposed § 61.29 because it does flight instructor endorsement to serve as training’’ toward a certificate or rating. not state what the fee is for replacement pilot in command in an amphibious An individual commenter also of a lost certificate. EAA believes that airplane. questions how a person would enroll in requiring an airman to call the Airman FAA Response: The FAA has made a course of training not associated with Certification Branch for fee information various clarifying changes to these part 141, as described in proposed is unreasonable. These commenters also sections and modified terminology § 61.31(d)(1). NAFI also makes the same are concerned that the fee could be because of changes implemented point and proposes that proposed raised without sufficient public elsewhere in the rule. The commenter’s § 61.31(d)(1) be changed to read ‘‘Be oversight. AOPA also opposes the proposal for an additional requirement under the supervision of a certified deletion of the fee information and for amphibious airplane pilots is outside flight instructor.’’ states that the rule contains no reference the scope of Notice No. 95–11 and FAA Response: After considering to where fee information can be found. cannot be included in the rule without AOPA’s and NAFI’s comments, the FAA The commenter contends that it is comment under the standard regulatory has decided to change the references impractical to use the mail for the process. In addition, the FAA has added from ‘‘enrolled in a course of training’’ 16244 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations to ‘‘receiving training’’, which is more 200 horsepower engines in the command of any aircraft capable of generic and avoids the implication that definition of high performance. operating above 25,000 MSL. According a pilot must receive training in an FAA- FAA Response: The FAA believes the to GAMA, this training has already been certificated school. operating characteristics of complex incorporated into many training aircraft and high-performance aircraft courses, therefore making it a formal Section 61.31(e) Exceptions. are so different as to justify separate requirement that should not impose an This paragraph was modified because endorsements. There are now turbine- undue burden. GAMA, however, there is no longer a separation of powered aircraft that are high- recommends that the grandfather clause powered and nonpowered glider class performance aircraft but that are not exempting pilots who have flown as certificates as in the proposed rule, for considered complex aircraft. Also, pilot in command in a pressurized the reasons stated in section IV, F. training in one type of aircraft does not aircraft be extended to the date of final Therefore, gliders were added to the list necessarily transfer to training in rulemaking instead of April 15, 1991, as of aircraft that do not require class another type of aircraft. However, the proposed. ratings. Minor editorial changes were FAA finds persuasive the commenters’’ FAA Response: After considering also made to this paragraph in the final objections to the proposed change in the AsMA’s comments, the FAA has rule. requirement of ‘‘200 horsepower or retained the phrase ‘‘and any other more.’’ Therefore, the rule will only physiological aspects of high altitude Section 61.31 (f) and (g) Additional require a separate endorsement for flight’’ in the final rule. However, training for operating complex airplanes with ‘‘more than 200 GAMA’s comment addresses a clause airplanes, and additional training for horsepower.’’ that was not modified in Notice No. 95– operating high-performance airplanes. 11 and is beyond the scope of this Section 61.31(h) Additional training rulemaking. The proposal is adopted as The FAA proposed to separate required for operating pressurized modified. endorsements for high performance and aircraft capable of operating at high complex aircraft. Proposed § 61.31(g) altitudes. Section 61.31(i) Additional training replaced the current requirement for a The FAA proposed to require pilots to required by the aircraft’s type certificate. pilot to receive training and an receive additional training for operating endorsement in an airplane with ‘‘more The proposed paragraph required ‘‘pressurized aircraft’’ because current than 200 horsepower’’ to ‘‘200 additional training and a flight provisions only require pilots to receive horsepower or more’’. instructor endorsement for a person to additional training in ‘‘pressurized serve as pilot in command of an aircraft Comments: Some commenters object airplanes.’’ This proposal captures the that the Administrator has determined to the proposal in § 61.31 that would possible development of pressurized requires type specific training. separate the endorsements for the aircraft that are not airplanes and may Comments: EAA and NAFI oppose the operation of airplanes with retractable be manufactured in the future. proposed requirement for type-specific landing gear, flaps, and a controllable Comments: AsMA urges an adoption training because the FAA has the ability propeller, and airplanes with engines of of a broader view of what encompasses to require additional training for a 200 horsepower or more, and state that human factors, and suggests specific specific aircraft when the type pilots with the current endorsement areas to include in such training. AsMA certificate for that aircraft is issued. should be covered by a ‘‘grandfather’’ recommends that instructor pilots be EAA states that training in aircraft that clause. required to attend special human factors have been in use for many years should NATA and GAMA support the seminars and that the FAA evaluate not be required. proposed separation of endorsements these new training efforts. The AOPA also objects to the type-specific for complex and high-performance commenter also states that training requirement on the grounds aircraft but oppose the proposed § 61.31(f)(1)(i) is too limited in scope that the proposal grants the definition of ‘‘high performance.’’ EAA because it requires only those pilots Administrator blanket authority to and NAFI also object to the proposed flying a pressurized airplane that has a require this additional training and definition of ‘‘high performance’’ and service ceiling or maximum operating would permit the FAA to permanently state that the inclusion of aircraft with altitude, whichever is lower, above regulate airman certification by policy 200 horsepower engines will add 25,000 feet MSL to complete aviation without the benefit of public comment. considerable cost for thousands of physiology training. AsMA contends GAMA states that the proposed aircraft owners. These commenters that the physiological stresses of flight requirement for type-specific training contend that there is no safety evidence can occur at lower altitudes, and other will require an appropriate level of to support the proposed definition. environmental and operational stresses training, determined on a model-by- Some individual commenters also can cause problems while flying at any model basis, and will significantly suggest maintaining the regulatory altitude. According to the commenter, improve safety. The commenter reference to engines of more than 200 proposed § 61.31(h)(1) (ii) through (vii) contends that a number of unfortunate horsepower. perpetuates these shortcomings and incidents and accidents have been In its comment, AOPA states that the takes an additional step in the wrong caused by the pilot’s lack of type- FAA has offered no justification for the direction by eliminating the last specific training in an aircraft that is separate endorsements for complex and sentence (‘‘and any other physiological more ‘‘advanced’’ than the pilot has high-performance aircraft, and the aspects of high-altitude flight’’) from the previously flown. GAMA states that the commenter is unaware of any serious existing rule. AsMA recommends aircraft may not be so different that a accident history to support the proposal. modifying existing § 61.31(f) to mandate type rating is needed, yet a high- According to AOPA, the aircraft that all U.S. civil aviation pilots be performance/complex endorsement may insurance industry has effectively required to complete ground training on be grossly inadequate, especially as new regulated this area by requiring training basic aviation physiology. aircraft designs are introduced. and instruction far in excess of that GAMA supports requiring one-time, A representative of the Texas proposed by the FAA. AOPA also high-altitude physiology and emergency Department of Aviation supports the objects to the inclusion of aircraft with procedures training for a pilot in proposal in § 61.31(i) for type-specific Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16245 training, but requests additional details tests. AOPA believes that this subtle applicant to present identification as to how such aircraft would be language change implies that the FAA is containing his or her actual residential identified, how the additional training going to assign applicants for knowledge address, if different from the applicant’s ‘‘would be treated,’’ and who would be and practical tests to a specific mailing address. Acceptable types of qualified to give such training. examiner. AOPA recommends retention identification include, but are not Several individual commenters also of the current language even if this is limited to, a driver’s license, a oppose the type-specific training not the intent of the change because the government identification card, a proposal; two commenters state that the new language is subject to this passport, or other forms of identification provision is vague and vests too much interpretation. HAI and individual that meet these personal identification discretion with the Administrator. commenters echo AOPA’s concerns. criteria. The photograph of the applicant FAA Response: It is the FAA’s FAA Response: The proposed change would be reproduced on the airman position that granting the Administrator replaced the phrase ‘‘persons, identity card portion of the airman the authority to require type-specific designated by the Administrator’’ with certificate. training, on any aircraft that the the word ‘‘examiners.’’ FAA notes the The FAA also proposed that Administrator deems appropriate, commenters’’ concerns and has retained applications for ATP certificates and provides the Administrator with the the existing rule’s language in the final ratings be included in § 61.35. In the minimum means necessary to rapidly rule. existing rule, § 61.35 did not apply to the written test for an ATP certificate or address safety concerns without the Section 61.35 Knowledge test: a rating associated with that certificate. delay incurred by rulemaking. The Prerequisites and passing grades. intent of the rule is for the The passing requirements for a written Administrator to only exercise this In Notice No. 95–11, § 61.35 was test for an ATP certificate or a rating power in limited circumstances. Flight retitled to read ‘‘Knowledge test: associated with that certificate were characteristics of certain aircraft may Prerequisites and passing grades,’’ found in the existing § 61.167. Existing necessitate the rapid implementation of instead of ‘‘Written test prerequisites § 61.167 stated that an applicant for an additional training. Recent Piper Malibu and passing grades.’’ The FAA proposed ATP certificate or rating must pass the and Robinson R–22 accidents that the term ‘‘written test’’ be replaced test with a 70 percent minimum passing demonstrate the need for this with ‘‘knowledge test’’ to reflect grade. requirement. When the Flight Standards computer testing and to be consistent Comments: NAFI, NATA, and AOPA Board (FSB) meets, a notice to the with FAA policy, as discussed in the oppose the proposal to require that an public is published in the Federal analysis of § 61.1(b)(11). applicant receive an endorsement from Proposed paragraph (a)(1) set forth a Register, and the opportunity for public an instructor certifying that the requirement that an applicant receive an comment is provided. The FAA believes applicant is prepared for the knowledge endorsement certifying the completion that this will permit the FAA to be more test. The commenters state that the fee of ground training or a home study responsive to patterns of accidents in is sufficient incentive for a student to course on the aeronautical knowledge the future, and the proposal is adopted prepare for the test. HAI also objects to requirements for each certificate or with minor editorial changes. this requirement and notes that students rating, and that the applicant is commencing ground school before their Section 61.31(j) Additional training prepared for the knowledge test. An flight training may not yet have required for operating tailwheel applicant would no longer be able to logbooks, or might lose their logbooks airplanes. present evidence of completion of a and then be unable to find the instructor This paragraph listed the additional home study course for review by an who provided the endorsement. NATA training required for operating tailwheel FAA Flight Standards District Office contends that computer testing has airplanes. The proposed rule contained (FSDO) as a basis of eligibility to take lifted the administrative burden of test formatting changes and has been the knowledge test. This practice is a scoring from the FAA. AOPA also adopted with only minor editorial role more properly filled by ground or opposes the proposal to remove the changes. No substantive comments were flight instructors. Home study would minimum passing grade for a knowledge received. continue to be acceptable; however, the test from the regulations. AOPA believes instructor rather than the FSDO would that this information should be a matter Section 61.31(k) Additional training review completion of the home study of public record. The commenter is required for operating a glider. course. concerned that the FAA could revise the The FAA has added this paragraph In proposed paragraph (a)(2), the passing grade requirements without because the proposal to separate the current requirements for the issuing an NPRM and soliciting public glider category into powered and presentation of personal identification comment. nonpowered class ratings as proposed in found in FAA Order 8700.1, ‘‘General GAMA states that the FAA should Notice No. 95–11 has been withdrawn, Aviation Operations Inspector’s eliminate the requirement for an and additional endorsements required Handbook,’’ were included and endorsement to take a knowledge test. for flying gliders have been adopted clarified. These identification According to GAMA, the FAA’s instead. The reasons for this action are procedures were established in response proposal fails to consider the high discussed in section IV, F. to the Drug Enforcement Assistance Act quality of training materials offered of 1988 (Pub. L. 100–690, November 18, today, most of which provide a means Section 61.33 Tests: General 1988). The proposal required an for the home study applicant to procedure. applicant to present identification complete practice tests at home before In Notice No. 95–11, a minor editorial consisting of the applicant’s taking the FAA knowledge test. In spite change was proposed to language of this photograph, signature, and date of birth of this, GAMA feels that an instructor section. showing that the applicant meets or will may feel reluctant to provide an Comments: AOPA objects to the meet the age requirements for the applicant with an endorsement based on proposed § 61.33 provision that the certificate sought before the expiration a one-time meeting. GAMA contends Administrator shall designate the time, date of the knowledge test report. The that if home study is permitted, an location, and examiner for conducting proposal would also require an applicant should be allowed to test 16246 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations when he or she feels ready. The certificate. The proposal also included certificate or rating, issued under this commenter believes that the testing fee the current prerequisites for practical part.’’ Additional changes were made to will act as the deterrent to premature test procedures found in FAA Order the language in order to clarify and testing. 8700.1. Comments relating to the third- simplify the section. One individual commenter who class medical certificate requirement are In proposed § 61.43(a), an applicant agrees with the proposal to require an addressed in the discussion of § 61.23. for a practical test was required to: instructor endorsement for the The FAA made minor editorial changes perform the approved areas of operation knowledge test suggests that § 61.35 to the final rule to reflect the use of the for the certificate or rating sought within state that the instructor must certify that term ‘‘authorized instructor.’’ the approved standards; demonstrate the student is competent to take the test, mastery of the aircraft with the so that the instructor can charge for the Section 61.39 (b) and (c) successful outcome of each task service. Another commenter opposes Proposed paragraphs (b) and (c) performed never seriously in doubt; this proposal. revised and clarified the current demonstrate satisfactory proficiency and FAA Response: In the general eligibility provisions for applicants for competency; demonstrate sound discussion of the preamble, the FAA ATP certificates and ratings. Minor judgment; and demonstrate single-pilot inadvertently stated that a ‘‘logbook’’ editorial changes were incorporated into competence if the aircraft is type endorsement was required for a this paragraph of the final rule. certificated for single-pilot operations. knowledge test. The rule, however, did No substantive comments, other than With regard to the demonstration of not include this provision and it was those addressing the third-class medical single-pilot competence listed in not the FAA’s intent to require a certificate requirement, were received, proposed paragraph (a)(5), most aircraft ‘‘logbook’’ endorsement. The FAA notes and the proposal is adopted with minor that are type certificated for one pilot the commenters’ objections to the editorial changes. are currently operated by one pilot. However, some aircraft (e.g., the Cessna requirement for an endorsement as a Section 61.39 (d) and (e). prerequisite to the knowledge test. Citation 501 and 551) are type However, the current rule requires an Although not proposed in Notice No. certificated for one pilot, but are applicant to show satisfactory 95–11, paragraphs (d) and (e) include operated by either one- or two-pilot completion of the required ground provisions relating to the completion of crews. The FAA realized that some instructor or home study course. This is all increments of the practical test that pilots may desire to operate an aircraft accomplished through the use of an were adopted in Amendment No. 61– type certificated for one pilot with a endorsement. The FAA has repeatedly 100. two-pilot crew. In this situation, the applicant would have the option, held that this requirement is necessary Section 61.41 Flight training received contained in proposed paragraph (b), to ensure a high quality of training, and from flight instructors not certificated not to demonstrate single-pilot the final rule is adopted as proposed by the FAA. with minor editorial changes. competence, but a limitation would be The FAA proposed minor editorial placed on the applicant’s airman Section 61.37 Knowledge tests: changes to this section. The proposal certificate that states a second in Cheating or other unauthorized conduct. replaced the word ‘‘instruction’’ with command is required. This limitation In Notice No. 95–11, the FAA the word ‘‘training,’’ and, in proposed could later be removed if the pilot proposed that the phrase ‘‘Except as paragraph (a), clarified that training demonstrates single-pilot competence. authorized by the Administrator’’ be received from a flight instructor of an This proposal was consistent with FAA deleted from this section. Current Armed Force must have been obtained Order 8700.1 regarding aircraft that are paragraph (a)(4) was inadvertently in a program for training military pilots. type certificated for one pilot, but deleted from the proposed rule and has In proposed paragraph (b), the FAA operated with one- and two-pilot crews. been included in the final rule. Minor clarified that flight instructors not The proposal did not change regulations editing and formatting changes were certificated by the FAA are only for applicants that apply for a certificate also proposed. No substantive authorized to give endorsements to or rating in aircraft that are usually comments were received, and the final show training given, but may not give operated by one pilot. These applicants rule is adopted as proposed. any of the endorsements required under currently are required to demonstrate part 61 to take a written or practical test single-pilot competence during the Section 61.39 Prerequisites for for a pilot certificate or rating, or for the practical test. practical tests. exercise of a certificate privilege. No In paragraph (e), the proposal codified In proposed § 61.39, the FAA replaced substantive comments were received, the procedures, which are currently the words ‘‘flight test’’ and ‘‘oral test’’ and apart from minor editing changes, found in FAA Order 8700.1, that with the words ‘‘practical test’’. The the final rule was adopted as proposed. address those situations under which an words ‘‘written test’’ were replaced with examiner or applicant may discontinue Section 61.43 Practical tests: General ‘‘knowledge test’’. These proposed the practical test due to inclement procedures. changes were consistent with the weather conditions, aircraft changes discussed in § 61.1, In Notice No. 95–11, the FAA airworthiness, or other flight safety ‘‘Applicability and Definitions.’’ The proposed to replace the term ‘‘flight concerns. FAA also proposed to clarify the test’’ with ‘‘practical test’’, and the Comments: AOPA supports proposed eligibility prerequisites for practical phrase ‘‘maneuvers and procedures’’ § 61.43(f)(1) permitting applicants tests. was replaced with ‘‘approved areas of whose first test was discontinued for operation’’. Applicants for ATP any reason to credit those areas of Section 61.39(a) certificates or ratings were to be operation that were performed The FAA proposed to permit an included in the rule by replacement of satisfactorily to a rescheduled test if the applicant to hold at least a third-class the phrase ‘‘an applicant for a private or remainder of the practical test is medical certificate to be eligible for a commercial pilot certificate, or for an performed within 60 days. practical test and to clarify the age aircraft or instrument rating on that FAA Response: The FAA notes requirement for an applicant for an ATP certificate’’ with ‘‘an applicant for a AOPA’s comment of support. Except for Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16247 minor editing changes, the final rule is In paragraph (c)(3), the FAA proposed commenter notes that the current rule adopted as proposed. to require that the required controls in states that the examiner or inspector is lighter-than-air aircraft used for a not the pilot in command. AOPA Section 61.45 Practical tests: Required practical test be easily reached and contends that the proposed language aircraft and equipment. operable in a normal manner by both creates some ambiguity as to who is In Notice No. 95–11, the FAA pilots. An examiner would be permitted pilot in command and notes this proposed that § 61.45 be retitled to read to waive the requirement; however, the ambiguity was addressed in the 1966 ‘‘Practical tests: Required aircraft and examiner would have to determine that amendment to § 61.47, which adopted equipment’’ instead of ‘‘Flight tests: the lighter-than-air aircraft used for the the existing rule language. HAI suggests Required aircraft and equipment’’. The practical test could be operated safely. modifying proposed § 61.47(b) by FAA also proposed to revise this section Comments: EAA, NAFI, and AOPA replacing the word ‘‘student’’ with by replacing the term ‘‘flight test’’ with oppose proposed § 61.45(b)(3) requiring ‘‘applicant’’ because the individual ‘‘practical test’’ and ‘‘flight proficiency that an aircraft have two pilot seats for taking the test may have progressed requirements’’ with ‘‘approved areas of use in a practical test. NAFI and AOPA beyond the stage of student. operation’’. comment that the proposed rule is FAA Response: After reviewing Proposed paragraph (a)(1) permitted especially unfair to gyroplane AOPA’s comment, the FAA has the use of aircraft with a primary applicants who currently are examined concluded that the language in airworthiness certificate to be used for with the examiner observing on the proposed paragraph (b) is ambiguous a flight test. This proposal corrects an ground and communicating by radio. and should be withdrawn and replaced oversight that occurred during the AOPA disputes the FAA’s claim that with language equivalent to the existing issuance of the Primary Aircraft Final two-place gyroplanes are amply rule. The proposal is adopted with these Rule (57 FR 41360; September 9, 1992). available. AOPA, NAFI, and EAA, changes. however, approve of § 61.45(a)(1), In the ‘‘Supplementary Information’’ Section 61.49 Retesting after failure. section (in the paragraphs entitled which provides that a practical test may ‘‘Rental and Flight Instruction’’ and be taken in a primary category aircraft. In Notice No. 95–11, the FAA ‘‘Pilot Certification’’) of that final rule, NAFI states this would lower costs proposed to delete the requirement for the FAA stated that the use of primary without reducing safety. AOPA states an applicant to wait 30 days before aircraft are permitted to be used for that primary category aircraft can be reapplying for a written or practical test rental, flight instruction, and pilot used in commercial flight operations. following a second and subsequent FAA Response: After discussions with certification. However, the FAA did not disapprovals, and, in lieu of the 30-day many of the manufacturers of provide for their use in that rule. waiting period, the applicant would be gyroplanes, the FAA believes that there The FAA notes that the proposal required to receive an endorsement from are an adequate number of two-place excluded the use of ultralights and hang an authorized ground or flight gyroplanes available to permit the FAA instructor, as appropriate. The FAA also gliders as acceptable aircraft for use in to require that a practical test in a practical tests. The use of ultralights and proposed to reformat this section. gyroplane be taken in a two-place Comments: ATA approves of the hang gliders are unacceptable aircraft aircraft. The FAA notes the concerns of proposal to delete the 30-day waiting for use in pilot certificate tests. EAA, NAFI, and AOPA. The FAA requirement. AOPA also supports Ultralights are not required to meet the believes the importance of the practical removal of this requirement from the airworthiness certification, pilot test makes it extremely necessary that rule. AOPA believes that the certification, aircraft registration, or examiners be able to observe applicants requirement caused unnecessary delays aircraft marking requirements of the during the practical test. In addition, the in the certification process with no other aircraft. FAA replaced the words ‘‘pilot seats’’ benefit to safety or pilot proficiency. In paragraph (b), the FAA proposed to with ‘‘pilot stations’’. Balloons have FAA Response: The proposal is exclude balloons from the current pilot stations, and, therefore, this adopted as proposed except for minor requirement that an aircraft used for the change eliminates the need for an editorial changes incorporated into the practical test have pilot seats. The exception to be specifically stated in the final rule. existing § 61.45 required that the aircraft rule. Except for these changes and other Section 61.51 Pilot logbooks. used for a flight test have ‘‘pilot seats editorial changes to include provisions with adequate visibility for each pilot to relating to the use of approved flight In Notice No. 95–11, the FAA operate the aircraft safely.’’ Most simulators and approved flight training proposed to revise and reorganize balloons do not have seats, and this devices, the final rule is adopted as § 61.51, largely in response to numerous requirement was waived for balloon proposed. requests for interpretation from the practical tests. public regarding various aspects of the In proposed paragraph (b)(3), the FAA Section 61.47 Status of an examiner rules on logging flight time. The changes required that applicants for any who is authorized by the Administrator were intended to clarify procedures as practical test, other than a practical test to conduct practical tests. well as to ensure consistency with other in a balloon, perform the test in a two- In Notice No. 95–11, the FAA changes to part 61. place aircraft. This would eliminate the proposed to change the title of this A significant change proposed was existing provision for an applicant for a section. The proposal also contained the elimination of the distinction gyroplane class rating to accomplish the editorial and format revisions, including between the concept of acting as pilot in practical test in a single-place proposed paragraph (b), which stated command and the logging of pilot-in- gyroplane. In the past, the FAA has that ‘‘The student is the pilot in command time. This represented a permitted examiners to observe the command of the aircraft during the fundamental change to a 30-year policy, practical test from the ground when the practical test unless the examiner or and although one intent was to aircraft was a single-place aircraft. Most another person has been so designated eliminate much confusion over the gyroplanes are single-place aircraft that before the flight.’’ proper logging and authority over a require examiners to monitor their use Comments: AOPA opposes the change flight, the change was directed toward in a practical test from the ground. in the language of § 61.47(b). The reestablishing the FAA’s original intent 16248 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations that pilot-in-command time should NATA opposes proposed balloons to comply with the dual- require a pilot to have authority over the § 61.51(e)(2)(ii) and states that the control requirement. flight, and that the pilot not merely be proposal will eliminate the ability of an Several individual commenters object manipulating the controls. instrument student to log instrument to the proposed requirement that flight The FAA proposed two paragraphs in training time as pilot-in-command time. instructors possess at least a third’class Notice No. 95–11; § 61.51(e) ‘‘Two This will place an undue financial medical certificate to log instruction people logging pilot-in-command time,’’ burden on the student and possibly time, stating that for advanced and § 61.51(f) ‘‘Student pilots logging create a safety hazard if students logging instruction this is unjustified. pilot-in-command time’’ which have time for their commercial requirements FAA Response: After further review, been eliminated from the final rule as are forced to fly extra hours as pilot in the FAA has determined that the discussed below. command. NATA does not believe this increased regulatory and economic burden resulting from this proposal Proposed § 61.51(e) Two people was the FAA’s intent, and the does not sufficiently establish a safety logging pilot-in-command time. commenter recommends eliminating this language. HAI echoes NATA’s justification based on operational Proposed paragraph (e) was intended concern by stating that the proposed requirements and accident/incident to clarify that when a flight instructor rule effectively prohibits instrument data. Therefore, the proposed paragraph and a certificated pilot are on board an students from logging time spent under has been eliminated from the final rule. aircraft at the same time, each may log IFR as pilot-in-command time, even Proposed § 61.51(f) Student pilots pilot in command flight time. It also was when the student is the sole logging pilot-in-command time. intended to specify the requirements manipulator of controls, because the that a flight instructor would need to proposed § 61.51(e)(2)(ii) requirement The FAA proposed to permit student meet in order to log pilot in command for the student to be qualified in pilots who meet certain provisions to flight time. Although the existing accordance with the operating rule log pilot in command flight time when regulation also specified that a flight would mean compliance with the they: are the sole occupant of the instructor may log all flight time during proposed § 61.3(e)(1). That rule would aircraft; have a supervised pilot in which the person acts as a flight dictate possession of an instrument command flight endorsement; and are instructor as pilot-in-command time, the rating in that case. HAI therefore undergoing a course of training for a proposed rule provided more detail recommends deletion of proposed pilot certificate or rating or are logging regarding the conditions under which § 61.51(e)(2)(ii). pilot-in-command time toward a this could occur. AOPA expresses concern about certificate or rating. Comments: AOPA’s objection to the proposed § 61.51(e)(3), which requires Comments: HAI objects to the elimination of the concept of ‘‘sole that aircraft used for flight training must wording of proposed § 61.51(f) because manipulator of the controls’’ as a basis have dual functioning flight controls it does not provide for students logging for logging pilot-in-command time, and engine controls that can be reached pilot-in-command time beyond that discussed below with respect to the from either pilot station in order for needed for experience requirements. final rule’s paragraph (e), is also both the student and instructor to log HAI asks for clarification as to how the referenced in this proposed paragraph. pilot-in-command time. The commenter additional time would be logged. AOPA AOPA and NAFI further disagree with encourages the FAA to clarify which finds the issue of supervised pilot-in- proposed § 61.51(e)(2)(i) because it engine controls must be accessible. command time unclear with regard to precludes the logging of instruction time According to AOPA, there are many logging of flight time. if it is not in a course of training for cases when training is conducted in a FAA Response: For the reasons issuance of a certificate or rating or to tandem seat aircraft where there are previously discussed, the FAA is not obtain the recency of experience throttles available to both airmen; adopting the proposal to establish requirements. NAFI believes that the however, the mixture control and supervised pilot-in-command time. proposal penalizes CFIs who give magneto switch are only accessible from However, the final rule still permits recurrency training or additional the front seat. AOPA believes that both student pilots to log solo time as pilot- instruction such as aircraft transition student and instructor should be able to in-command time according to the training. AOPA states that the proposal log pilot-in-command time when provision in § 61.51(e)(4) of the final will provide a strong disincentive for instruction is given in such an aircraft. rule. instructors to give the type of training The commenter also states that the that most contributes to general aviation proposal does not address the fact that Section 61.51(a) Training time and safety. NBAA also states that the balloons do not have dual functioning aeronautical experience. language in proposed § 61.51(e)(2) (i) controls. The FAA proposed minor editorial and (ii) is too prohibitive and An individual commenter states that and format changes to this paragraph. recommends deleting the requirement the requirement in proposed Comments: EAA and NAFI disagree that instruction be ‘‘in a course of § 61.51(e)(3) for dual functioning flight with the removal of the existing rule’s training for the issuance of a certificate controls contradicts § 91.109(a). Another phrase ‘‘The logging of other flight time or rating.’’ HAI recommends eliminating commenter requests clarification of is not required’’ from proposed all wording after ‘‘flight instructor’’ in proposed § 61.51(e)(3) to specify which § 61.51(a), stating that the deletion may proposed § 61.51(e)(2)(i), as well as engine controls must be reachable from impose a significant burden on the high corresponding changes to § 61.51(i), to either pilot station when a pilot and time and sport aviation pilot. The allow an instructor to log time spent as authorized flight instructor both log commenters state that there is no safety pilot in command giving aircraft pilot-in-command time. Echoing reason to require the logging of all flight checkouts and currency training. AOPA’s concerns, the commenter points time, and the elimination of this Individual commenters also express the out that for some tandem seat airplanes, provision will only create more view that the requirement in the mixture and ignition controls can enforcement actions against pilots. § 61.51(e)(2)(i) that the training be only be reached from the front seat. FAA Response: The FAA notes the toward a certificate or rating is too Several individual commenters also concern of EAA and NAFI, but feels that restrictive. point out that it would be impossible for the existing phrase was redundant, and Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16249 that its deletion does not impose costs pilot in command requirements. AOPA a person must enter the ‘‘total time of or burdens on pilots. The rule was states that the definition of supervised flight,’’ which AOPA states has been revised to clarify what flight time is pilot-in-command time is unclear, and historically interpreted as the equivalent required to be logged. Other flight time that introducing the term at the expense of ‘‘flight time’’ as defined in part 1. Part can be logged at the pilot’s option, but of the existing concept of solo time 1 defines ‘‘flight time’’ as ‘‘the time it is not required. The final rule is confuses rather than clarifies matters. beginning when an aircraft moves under adopted as proposed. The commenter states that the change its own power for purposes of flight and from solo to supervised pilot in ending when the aircraft comes to rest Section 61.51(b) Logbook entries. command creates problems with respect after landing.’’ AOPA contends that the The FAA proposed to delete the to numerous other proposed regulations. difference between the two provisions reference to ‘‘solo time’’ because of the Many individual commenters shared the may require two separate logbook proposed deletion of that term as concerns of these associations. entries after one flight: one entry for the discussed in the analysis of § 61.1. The FAA Response: The FAA notes the time the aircraft is in actual flight and FAA also proposed format changes to concerns of AOPA, HAI, and other another entry for the ‘‘block’’ or Hobbs the existing rule. commenters, and is not adopting the meter time. NBAA joins with AOPA in Comments: AOPA comments that new term ‘‘supervised pilot-in- its concerns regarding use of the term ‘‘total time of flight’’ in proposed command time’’ in the final rule. ‘‘actual flight conditions’’ in proposed § 61.51(b)(1)(ii) is not defined in the Accordingly, the final rule adds § 61.51(d)(4) as possibly prohibiting taxi regulations, although it has historically § 61.51(d), ‘‘Logging of solo flight time,’’ time from counting towards flight time. been taken as synonymous with the which reiterates the provision of NBAA states that this would discourage existing and proposed definition of existing § 61.51(c). learning opportunities during a phase of ‘‘flight time’’ in part 1, a term which Section 61.51(e) Logging of pilot-in- flight that is critical to safety, especially AOPA states is equated with ‘‘block command flight time. for avoidance of runway incursions. time’’ in most of the industry. AOPA is HAI echoes these concerns, requesting concerned that, without such a In Notice No. 95–11, the FAA the alignment of the definition of flight definition, the proposed rule’s use of the clarified the procedures for logging pilot time in proposed § 61.51(d)(4) with the term ‘‘in actual flight’’ confuses the in command flight time in proposed definition in § 1.1. HAI also meaning of ‘‘total time of flight.’’ § 61.51 (d) and (e). The FAA specified recommends a provision to cover a rated FAA Response: As discussed in the that, except when a flight instructor pilot operating solo, such as an analysis of § 61.1, the FAA has decided provides flight training, only one person additional paragraph in § 61.51(d). to retain ‘‘solo time’’ in this paragraph may log pilot in command flight time. FAA Response: After further review, of the final rule. The FAA notes AOPA’s This provision was intended to the FAA has decided not to adopt the concern, and has decided to use the less eliminate confusion under the existing proposal to change the provisions for ambiguous term ‘‘flight time’’ in the rule, particularly regarding the the logging of pilot-in-command time. final rule instead of the phrase ‘‘total provision that permits any pilot to log The FAA has determined that the time of flight’’. The final rule also pilot-in-command time while acting as increased regulatory and economic deletes the language ‘‘and the certificate pilot in command of an aircraft for burden resulting from this proposal is number of the safety pilot’’, as which more than one pilot is required. not sufficiently supported by a safety explained in the analysis of § 61.51(g), The FAA proposed that the holder of a justification based on operational and includes language pertaining to pilot certificate may log pilot-in- requirements and accident/incident logbook entries for flights conducted in command time only when that pilot: (1) data. However, the FAA would like to approved flight simulators and Has the final authority and take this opportunity to clarify the approved flight training devices. responsibility for the operation and proper logging of pilot-in-command safety of the flight; (2) holds the time for recreational, private, and Section 61.51(c) Logging of pilot time. appropriate ratings; (3) has been commercial pilots. The FAA In Notice No. 95–11, the FAA set forth designated pilot in command before the acknowledges there has been confusion provisions regarding the use of pilot flight; and (4) the pilot-in-command in the past regarding the logging of time. No substantive comments were time occurred in actual flight conditions pilot-in-command time by these pilots received, and the final rule is adopted and in an aircraft. and that inconsistent policy opinions as proposed. Comments: AOPA states that it finds have been issued by the FAA. The FAA the most notable change to the rules for has determined that clarity is necessary Section 61.51(d) Logging of solo flight logging pilot-in-command time to be the to preserve the value of pilot-in- time. elimination of the term ‘‘sole command time. In light of the In Notice No. 95–11, the FAA manipulator of controls.’’ AOPA notes inconsistent policy opinions issued by proposed to eliminate the term ‘‘solo that there is no longer a distinction the FAA, however, this clarification is flight time’’ and replace it with the term between the pilot operating the aircraft meant to be prospective and not to ‘‘supervised pilot-in-command time’’ as and the pilot who has ultimate authority require pilots to ‘‘revisit’’ past logging. discussed in the analysis of § 61.1. The over the flight (acting pilot in The FAA’s position regarding the proper existing rule’s provisions for logging command). The commenter urges logging of pilot-in-command time for a solo time were therefore also deleted in rethinking the entire pilot in command recreational, private, or commercial the proposed rule. issue. AOPA also expresses concern pilot applicable after the effective date Comments: AOPA states that no about proposed § 61.51(d)(4), which of this final rule is set forth in this provision exists in proposed § 61.51 for provides that pilot-in-command time response. logging supervised pilot-in-command may only be logged when the flight time There are only three ways for a time, even though such time is proposed ‘‘occurs in actual flight conditions.’’ The recreational, private, or commercial to be required for both primary and commenter notes that proposed pilot to properly log pilot-in-command advanced certificates. HAI echoes these § 61.51(b) provides that for purposes of time in accordance with section § 61.51. concerns and asks whether dual pilot- training time and aeronautical These pilots may properly log pilot-in- in-command time meets the supervised experience toward a certificate or rating, command time: (1) When the pilot is the 16250 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations sole manipulator of the controls of an when that student is the sole occupant review. The proposal required that the aircraft for which the pilot is rated; (2) of the aircraft. Section 61.51(e)(4) instructor be properly authorized to give when the pilot is the sole occupant of includes such a provision. the training, and that the information the aircraft; or (3) except for recreational recorded include a description of the Section 61.51(f) Logging second-in- pilots, when the pilot is acting as pilot training given, the length of the lesson, command flight time. in command of an aircraft for which and the instructor’s signature, certificate more than one pilot is required under The FAA proposed to require a pilot number, and certificate expiration date. the type certification of the aircraft or who logs second-in-command flight Comments: AOPA objects to the the regulations under which the flight is time to meet the requirements of proposed language apparently conducted. § 61.55. restricting the logging of training time As noted in Notice No. 95–11, there Comments: AOPA expresses concern solely to ground or flight instruction has been a distinction between acting as that changes to other regulations made time leading toward a certificate, rating, pilot in command and logging of pilot- this requirement onerous with respect to or currency requirements. HAI joins in in-command time. ‘‘Pilot in command,’’ safety pilots. Several individual opposition to this proposal because it as defined in part 1, ‘‘means the pilot commenters echo AOPA’s concerns. does not include provisions for pilots responsible for the operation and safety FAA Response: The FAA addressed receiving dual training in a simulator or of an aircraft during flight time.’’ concerns to this rule by modifying flight training device unless the training Section 61.51 is a flight-time logging proposed § 61.55 in the final rule, as is for the purpose of meeting experience regulation under which: (1) pilot-in- discussed below, and therefore no major requirements. AOPA also asks for command time may be logged by changes were necessary to this clarification as to whether the ‘‘training someone who is not actually the pilot in paragraph. The FAA has added the time’’ logged is to be ‘‘flight time’’ as command as defined in part 1 (e.g., phrase ‘‘the regulations under which the defined in part 1, or time in ‘‘actual when the pilot is the sole manipulator flight has been conducted’’ in paragraph flight.’’ of the controls of an aircraft for which (f)(2) to permit, for example, safety FAA Response: The FAA notes the the pilot is rated but is not the pilot in pilots complying with § 91.109 to be concerns of AOPA and HAI, and command as defined in part 1); and (2) allowed to log second in command time. therefore has deleted the proposed pilot-in-command time may not be language ‘‘for the purpose of obtaining Section 61.51(g) Logging instrument logged by someone who is the actual a certificate, rating, or recency of flight time. pilot in command as defined in part 1 experience requirements, of this part’’ (e.g., when the pilot acting as pilot in The FAA proposed to clarify the from the final rule. AOPA’s concern command of an aircraft on which more information required for the logging of regarding the confusion between ‘‘flight than one pilot is not required under the instrument experience to meet the time’’ and ‘‘actual flight’’ was addressed type certification of the aircraft or the instrument currency requirements. The through the elimination of the wording regulations under which the flight is proposal did not significantly alter the ‘‘actual flight’’ elsewhere in paragraph conducted is not the sole manipulator of current requirements regarding the (b) of this section, as previously the controls of the aircraft, and the pilot logging of instrument time. However, discussed. the proposal stated that if a safety pilot who is the sole manipulator of the Section 61.51(i) Presentation of is required, the name and pilot controls is logging that time as pilot-in- required documents. command time). certificate number of the safety pilot, Two recreational, private, or and the location and kind of each In the proposal, the FAA set forth the commercial pilots may not completed instrument approach must be documents a person would have to simultaneously log pilot in command recorded. The existing rule did not present, in addition to the logbook, flight time when one pilot is acting as require the recording of the safety pilot’s upon the request of an authorized pilot in command as defined in part 1, certificate number in the logbook of the official. These documents included the and the other pilot is the sole person logging instrument flight time. person’s pilot certificate, medical manipulator of the controls, unless the Comments: Some individual certificate, or any other record required aircraft type certification or the commenters disagree with the proposed under part 61. The proposal added regulations under which the flight is requirement that the certificate number Federal law enforcement officials to the conducted require more than one pilot. as well as the name of the safety pilot list of officials to whom a pilot must In contrast, an ATP may log all flight be logged, stating that this would not present his or her records if requested. time as pilot-in-command time when improve safety. Commenters note that The proposal also set forth the that pilot is acting as the pilot in the certificate number is often the pilot’s documents student and recreational command as defined in part 1 during an social security number, which many pilots must carry. operation requiring an ATP certificate would hesitate to disclose every time Comments: AOPA expresses concern regardless of who is manipulating the they act as a safety pilot. about the deletion of the word controls of the aircraft. This distinction FAA Response: The FAA notes the ‘‘reasonable’’ from this proposal. Citing between the concept of acting as pilot in privacy concerns of individual the constitutional protection against command and the logging of pilot-in- commenters and has therefore deleted unreasonable search and seizure, the command time will continue in this the proposed language ‘‘and pilot commenter states that this could lead to final rule. certificate number’’ from the final rule. abuse by law enforcement officials. The FAA also notes the concern of The final rule also includes language AOPA questions the addition of AOPA and NBAA regarding the wording relating to the use of approved flight ‘‘Federal’’ law enforcement officials to ‘‘actual flight conditions’’ in proposed simulators and approved flight training the list of officials to whom a logbook § 61.51(d), redesignated as § 61.51(e) in devices. must be presented as well as the the final rule, and has deleted the inclusion of pilot and medical objectionable language. The FAA notes Section 61.51(h) Logging training time. certificates in this proposed rule. AOPA that the Amendment No. 61–100 did not The FAA proposed specific further contends that the inspection of include a provision to permit a student requirements for a pilot to log training such certificates is adequately addressed pilot to log pilot-in-command time time toward a certificate, rating, or flight in existing § 61.3(h) and proposed Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16251

§ 61.3(l). Individual commenters oppose when, or how a safety pilot may log aircraft. The FAA does not believe that this proposed provision permitting flight time. the disputed language imposes an inspection by the FAA, the NTSB, or FAA Response: The FAA did not additional burden on pilots because law enforcement officers. HAI objects to intend to prevent safety pilots from § 61.53 already requires pilots to the requirement in proposed logging second in command time or to evaluate their health prior to each flight. § 61.51(j)(2)(i) that a student pilot must require them to comply with the The proposed language merely clarifies carry his or her logbook to exercise the requirements of proposed § 61.55. The this existing requirement. The FAA privileges of his or her certificate. FAA has noted the concerns of AOPA acknowledges that the language is Individual commenters object to the and others, and has modified subjective and is relying on pilots to use requirement that recreational pilots § 61.51(f)(2) of the final rule to permit reasonable judgment. After further carry logbooks for flight at night and in safety pilots to log second in command review, the FAA has determined that for airspace in which communications are time. operations that do not require a medical required. Section 61.53 Operations during certificate, the language referring to FAA Response: The proposal medical deficiency. medication or treatment would inadvertently deleted the word effectively establish standards for self- ‘‘reasonable’’ before ‘‘request.’’ In the The FAA proposed to divide this evaluation. Therefore, this language has final rule, the phrase ‘‘reasonable section into two paragraphs. Proposed been deleted for operations that do not request’’ has been retained. The FAA paragraph (a) applied to operations that require a medical certificate. The FAA has noted HAI’s concern, but is not require pilots to hold medical has decided to retain the two-paragraph persuaded that student pilots should be certificates issued under part 67. format of the proposed rule because it exempt from carrying logbooks on all Proposed paragraph (b) applied to clarifies a pilot’s responsibilities for flights. However, in partial response to operations in which pilots are not medical self’evaluation, regardless of HAI’s concern, as well as that of required to hold a medical certificate, whether or not a pilot is required to individual commenters, the FAA has was developed primarily in response to hold a medical certificate. decided to delete the proposed logbook- EAA’s petition to permit a pilot without The proposal is adopted with minor carrying requirements for recreational a medical certificate to exercise the editorial changes and the changes noted pilots, except for flights of more than 50 privileges of a recreational pilot above. nautical miles from the point of certificate. Proposed paragraph (b) also Section 61.55 Second-in-command departure. In addition, the FAA has applied to glider and balloon qualifications. changed the heading of this paragraph operations. The FAA also proposed for clarity, because a student is required language specifying that a pilot may not This proposal was intended to clarify to present more than a logbook. The act as pilot in command or as a required the requirements under § 61.55 for FAA notes that this requirement is flight crewmember while taking pilots serving as second in command of contained in the existing rule. Except medication or receiving other treatment an aircraft that requires more than one for these changes, the final rule is for a medical condition that would pilot. adopted as proposed. make the person unable to meet the Comments: ALPA supports the medical requirements for the certificate second in command training Other § 61.51 issues. held or to operate an aircraft in a safe requirements of proposed § 61.55. The issue of logging safety pilot time manner, as appropriate. GAMA comments that the addition of did not directly affect any particular Comments: EAA, AOPA, and NAFI flight deck management training is a paragraph of § 61.51 and is discussed object to the proposed language of very positive change. GAMA believes, here. § 61.53(a)(1) and (b)(1), which states that however, that the desired level of Comments: AOPA feels that proposed a pilot may not act as pilot in command, structure and standardization can best § 61.51, in combination with other or as a required crewmember, if that be achieved by requiring that the § 61.55 proposed changes, fails to provide for person ‘‘has reason to know of any authorization be approached with the the logging of safety pilot time. medical condition that would make the same level of control as provided in According to the commenter, when a person unable to meet the requirement §§ 61.58 and 61.157. According to safety pilot also functions as the for the medical certification held.’’ GAMA, second in command training designated pilot in command, the pilot These commenters believe that the new should be conducted with an approved actually flying the aircraft is not standard is very subjective and may syllabus by authorized instructors using permitted to log pilot-in-command time, produce unnecessary enforcement established standards of performance. nor can the pilot log second in actions. AOPA states that the language AOPA is concerned that safety pilots command time since he or she is not a effectively holds an airman to a acting as required crewmembers in required flight crewmember. It is negligence standard concerning the simulated instrument conditions may be unclear to the commenter how tasks exercise of the privileges of an airman subject to the second in command such as instrument approaches certificate. NATA joins in the concerns requirements. The commenter notes that conducted for proficiency can be logged. expressed by the other commenters proposed § 61.55(b) provides that no It also appears to AOPA that the only regarding this language and states that it person may act as second in command provision for a safety pilot to log flight should be changed to reflect ‘‘definitive in ‘‘operations requiring a second in time is as second in command under knowledge’’ or eliminated from the rule. command’’ unless that person meets the § 61.51(g)(2). The commenter is GAMA finds this language ambiguous second in command training and concerned that a safety pilot acting as a and recommends it be clearly defined or recurrency requirements. AOPA required crewmember in simulated deleted. contends that § 91.109 makes a safety instrument conditions could possibly be FAA Response: After consideration of pilot a required crewmember in subject to the second in command the comments, the FAA has determined simulated instrument conditions. AOPA training and recurrency requirements in that the disputed language, ‘‘knows or states that ‘‘under the proposal the § 61.55(d). An individual commenter has reason to know’’ is necessary to safety pilot may not log pilot-in- echoes AOPA’s concern, stating that ensure that pilots seriously evaluate command time but that person is proposed § 61.51 fails to address if, their health prior to operating an required for the operation; therefore the 16252 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations safety pilot must be second in In response to the comment proposal, these maneuvers were not command.’’ AOPA does not believe that concerning the performance of 360- required to be performed under actual a safety pilot should be subject to the degree turns, the FAA has modified the or simulated instrument flight second in command qualification language in paragraph (b) to permit conditions. The proposal also requirements and, therefore, three instructional flights in a glider, eliminated the requirement for a pilot to recommends that the safety pilot be each of which requires flight to traffic log 6 hours of instrument time under added to the list in § 61.55 for whom the pattern altitude, in lieu of the 1 hour of actual or simulated flight conditions to training requirements of § 61.55(b) do flight training required in paragraph (a). meet recent instrument experience not apply. This modification should provide requirements. In paragraph (c)(3), the FAA Response: After consideration of instructors with greater flexibility FAA proposed to revise the provisions the comments, the FAA has determined during the conduct of a flight review for regarding recent instrument experience that the proposed second in command glider pilots. The FAA expects that each for glider pilots. training requirements should be instructional flight to traffic pattern Comments: According to GAMA, adopted with the addition of paragraph altitude will consist of a launch, climb, instrument currency in a multiengine (d)(4) to except a person designated as level off, turns, descent, and landing to airplane should be accepted for a safety pilot as required by § 91.109(b). ensure that the pilot can demonstrate instrument currency in a single-engine The final rule also incorporates other proficiency in each phase of flight. aircraft, but not the converse. NBAA editorial changes and provisions proposes 12-month currency Section 61.57 Recent flight experience: requirements because most business permitting the use of approved flight Pilot-in-command. simulators and approved flight training aircraft operators currently conduct devices to meet the requirements of this Section 61.57(a) General experience. their simulator refresher training on an section. The FAA proposed to require pilots to annual basis. AOPA states that the make at least three takeoffs and three proposed language is unclear Section 61.56 Flight review. landings to a full stop within the concerning the requirement that if a The FAA did not propose any changes preceding 90 days to meet the recent glider pilot carries passengers, the pilot to this section in Notice No. 95–11. flight experience requirements of this must have at least 3 hours of instrument Comments: NAFI recommends section. The FAA also proposed that time in gliders. The commenter modifying proposed § 61.56(f) to except these takeoffs and landings involve recommends retaining the language of flight instructors who have given 10 or flight in the traffic pattern at the the current rule. FAA Response: As discussed in more flight reviews or have recommended traffic pattern altitude for section IV,B, the FAA has decided to recommended 10 or more students for the airport. For the reasons discussed in retain the existing requirement that flight tests from the required flight section IV,B, the proposal for full-stop recent instrument experience be review requirement. landings and the requirement for flight in the traffic pattern at the performed in actual or simulated AOPA comments that the current and conditions, and withdraw the proposed proposed language of this section is recommended traffic pattern altitude have not been adopted in the final rule. requirements for recovery from unusual confusing and should be reworded, flight attitudes, and the intercepting and using the instrument currency The existing requirement for full-stop landings in a tailwheel airplane is tracking of VOR radials and NBD requirements as an example. bearings. In lieu of the latter NAFI suggests that a flight review retained, as well as the recently enacted provisions relating to the use of requirement, § 61.57(c)(1)(iii) is should not be required for pilots who fly modified to require a pilot to intercept only single-seat aircraft (gyroplanes, for approved flight simulators and approved flight training devices. and track courses through the use of example), because finding a training navigation systems. The FAA modified aircraft and an instructor might be Section 61.57(b) Night takeoff and § 61.57(c)(1) to require instrument difficult or impossible. landing experience. experience ‘‘under actual or simulated Another commenter opposes the In Notice No. 95–11, the FAA instrument conditions either in flight current and proposed language in proposed to delete the reference to the appropriate to the category of aircraft for paragraph (b), which requires a glider term ‘‘night’’ from this paragraph. the instrument privileges sought or in pilot who substitutes three instructional Comments: AOPA objects to the an approved flight simulator or flight flights in lieu of the 1 hour of flight elimination of the definition of ‘‘night’’ training device that is representative of instruction provided for in paragraph (a) from this section of the regulations the aircraft category for the instrument to perform 360-degree turns during each because most airmen do not have access privileges sought. * * *’’ The FAA of the flights. The commenter states that to the ‘‘Aeronautical Almanac’’ notes that GAMA’s comment would the requirement for 360-degree turns referenced in the part 1 definition of impose an additional economic burden causes instructors to limit the types of ‘‘night.’’ on pilots, and would therefore continue maneuvers conducted during the FAA Response: Upon consideration of to require that flight time used to satisfy review. this comment, the FAA retained the instrument recency experience be in the FAA Response: As adopted in language of the existing rule. category but not the class of aircraft for Amendment No. 61–100, this section which instrument privileges are sought. includes provisions for the use of Section 61.57(c) Recent instrument The FAA believes that the removal of approved flight simulators and experience. the proposed requirement to perform approved flight training devices. The The FAA proposed to revise the and log recovery from unusual attitudes FAA notes that Amendment No. 61–100 requirements for recent instrument should relieve the concern expressed by omitted the provision permitting a pilot experience to include six instrument NBAA since compliance with the to complete a phase of an FAA- approaches, holding procedures, remaining requirements should be sponsored pilot proficiency award intercepting and tracking VOR radials achievable in normal flight operations. program (i.e., Wings Program) in lieu of and NDB bearings, recovery from In consideration of AOPA’s comment, accomplishing a flight review. Such a unusual flight attitudes, and flight by the FAA has clarified the language of provision is included in paragraph (e). reference to instruments. Under the paragraph (c)(2) in the final rule. The Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16253

FAA also included in paragraph (c)(2) and night recency experience Section 61.59 Falsification, the requirement that the instrument requirements of § 61.57 to pilots in reproduction, or alteration of experience be performed and logged command in part 125 operations. applications, certificates, logbooks, under actual or simulated instrument Comments: HAI questions why takeoff reports, or records. conditions. and landing currency does not apply to Minor editorial changes were Section 61.57(d) Instrument part 121, 125, or 135. proposed to this section, and it is adopted as proposed. proficiency check. FAA Response: In response to HAI’s The FAA proposed to clarify this query, § 61.57(e) excepts these pilots Section 61.60 Change of address. paragraph by requiring that the because they are required to meet recent The FAA proposed editorial and instrument proficiency check include a experience requirements under format changes to this section. The FAA representative number of the tasks §§ 121.439, 125.285, and 135.247. In also proposed to revise this section to required for original certification of an Notice No. 95–11, the FAA include ground instructor certificates. instrument rating and by replacing the inadvertently omitted the references to Comments: AOPA objects to the term ‘‘instrument competency check’’ §§ 121.437, 121.439, 135.243, and proposed language in this section that with ‘‘instrument proficiency check’’. 135.247 from this paragraph and has provides that an airman may not Comments: GAMA states that the exercise the privileges of a certificate instrument proficiency check will be therefore included them in the final unless he or she notifies the FAA of the better defined by the inclusion of the rule. In addition, the final rule modifies change within 30 days. AOPA believes tasks listed in § 61.57 (c)(1)(i) through paragraph (e)(1) to require explicitly that the use of the word ‘‘unless’’ could (c)(1)(v). NAFI, however, objects to the that pilots operating under the be interpreted to permanently prohibit requirement that the check consist of a exception for pilots employed by part the exercise of privileges if the representative number of the tasks 125 operators comply with §§ 125.281 notification was not made in 30 days. required in the instrument rating and 125.285, because the FAA has The commenter also points out that practical test. NAFI states that a determined that pilot in command ground instructor certificates were not proficiency check should be restricted qualifications and the recent experience included in the proposal. to those items a pilot is likely to requirements under part 125 are FAA Response: The FAA did not encounter in his or her flying equivalent to the general and night intend the interpretation suggested by environment. recency requirements under part 61. the commenter and does not believe that Some individual commenters express The proposal is adopted with the the language reasonably would be uncertainty regarding the change in changes discussed above and minor interpreted in this manner. Similar terminology from ‘‘instrument editorial changes. language was used in the existing rule competency check’’, in the current without any such confusion. Although regulation, to ‘‘instrument proficiency Section 61.58 Pilot-in-command the FAA acknowledges that the check’’, as specified in the proposed proficiency check: Operation of aircraft reference to ground instructor rule language. They point out that this requiring more than one required pilot. certificates was not specifically stated, check is referred to as an ‘‘instrument the term ‘‘airman certificate’’ includes proficiency test’’ in the preamble. At The FAA proposed minor editorial ‘‘ground instructor certificate.’’ least one commenter advocates that and format modifications to this section However, the final rule is modified by instrument-rated pilots should undergo in Notice No. 95–11, including a replacing ‘‘Persons who hold an airman a ‘‘check’’ every 6 months. proposal to revise former § 61.58 (b)(3), certificate’’ with ‘‘The holder of a pilot, FAA Response: After consideration of (c)(2), and (e) by eliminating references the comments, the FAA has determined flight instructor, or ground instructor to part 127, because no certificate certificate’’ to avoid any possible that the requirement to perform a holders currently operate under part representative number of tasks required confusion. In addition, the reference to 127. Furthermore, the FAA proposed to ‘‘new address’’ has been clarified to by the instrument rating practical test add part 125 operators to existing will promote safety, and that a required incorporate current policy, which is to § 61.58 (b)(3), (c)(2), and (e) in reference not accept post office box numbers as ‘‘check’’ every 6 months, as proposed by to persons conducting operations under one commenter, would impose an the permanent mailing address. part 125. Part 125 operators were not The proposal is adopted with the unwarranted economic burden on pilots addressed in this section when the part above modification and minor editorial seeking to retain instrument privileges. was initially established, therefore, the changes. To maintain consistency in terminology FAA proposed to include part 125 throughout the rule, the proposal to Subpart B—Aircraft Ratings and Pilot pilots. change the term ‘‘instrument Authorizations competency check’’ to ‘‘instrument Additionally, the proposal required a Section 61.61 Applicability. proficiency check’’ is also adopted. In pilot seeking an aircraft type rating to addition, the FAA has modified the perform to ATP standards, which The FAA proposed to delete the language in paragraph (d) to reflect that codified the existing policy for FAA words ‘‘or instructor’’ from this section an instrument proficiency check need pilot certification standards. The FAA because the issuance of an additional only be accomplished in the category of also proposed to remove the obsolete rating for a flight instructor certificate is aircraft for which instrument privileges reference to part 123 and part 127 contained in subpart H of part 61. are sought. Amendment No. 61–100 operators. No substantive comments addressing inadvertently required that this check be this proposal were received. The FAA The FAA has modified the final rule accomplished in the class of aircraft for deleted the reference to ‘‘special so that § 61.58 is substantially which privileges are sought. purpose authorizations’’ from the final equivalent to the provisions set forth in rule and substituted the term ‘‘pilot Section 61.57(e) Exceptions. Amendment No. 61–100. No substantive authorizations’’ because subpart B The FAA proposed to extend the comments were received. applies to additional pilot exception requirements for the general authorizations. 16254 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Section 61.63 Additional aircraft changes to the specified aeronautical In proposed paragraph (c), the term ratings (other than airline transport knowledge areas, areas of operation, ‘‘flight proficiency requirements’’ is pilot.) aeronautical experience requirements, replaced with ‘‘areas of operation’’. The In Notice No. 95–11, the FAA and instrument training requirements. new requirements included a change proposed to revise the title of this Significant changes proposed included from existing language for specific section, reformat the section for clarity, elimination of the existing aeronautical training in the VOR, ADF, and ILS and revise the required aeronautical experience requirements of 125 hours systems to a more general requirement total time and 50 hours pilot in for training in instrument approach experience and training requirements command cross-country time; an procedures. for persons seeking an additional increase in the required instrument In proposed paragraph (d)(1), the FAA category and class rating. The proposal training time received from an required 40 hours of instrument training also clarified when an applicant would instrument instructor to 40 hours from an instrument instructor. Although be required to accomplish a knowledge compared to 15 hours in the existing the existing rule required 40 hours of test. In addition, the FAA proposed to rule; and the addition of new category- simulated or actual instrument time, restrict the issuance of a ‘‘VFR only’’ and class-specific requirements for only 15 hours of instrument flight limitation for an aircraft type rating to airplanes, helicopters, and powered-lift. instruction from a CFII were required. only those aircraft that cannot be used The proposed changes, comments Proposed paragraph (d)(3) required that to accomplish the practical test under received, and the FAA response to the 5 hours of instrument training be IFR because its type certificate makes elimination of the existing 125-hour received in the appropriate category and the aircraft incapable of operating under total time and 50-hour pilot in class, while paragraph (d)(4) required 3 IFR. command cross-country time hours of such class-specific training Comments: HAI states that proposed requirements are discussed in greater within 60 days preceding the test. In § 61.63(a)(1) seems to contradict detail in section IV, E. proposed paragraph (d)(5), the FAA proposed § 61.63(a)(5), which states that In the FAA proposal, the section was revised the 250-nautical-mile, cross- supervised pilot in command is not organized by listing requirements in a country requirement of instrument required. The commenter asks whether more concise format. The FAA believes rating-airplane applicants. It was it is the FAA’s intention that no solo this will help the applicant and the specified that at least one leg, measured time be required for an additional examiner know more readily which as a straight-line distance, be greater category rating. HAI states that in such requirements are to be met. than 100 nautical miles between a circumstance, a rated airplane pilot The FAA added a requirement in airports, and that the cross-country be transitioning to helicopters ‘‘would proposed paragraph (a)(2) for applicants conducted under IFR. However, the never experience picking the aircraft up to be able to write in the English proposal deleted the existing with an empty seat.’’ HAI asks that language, while deleting existing requirement that this flight be proposed § 61.63(a)(5) be deleted provisions for the Administrator to conducted under simulated or actual because some solo time in a different place a limitation on the certificates of instrument conditions, and specified category or class aircraft should be those unable to meet the English three different kinds of approaches be required. language requirements. conducted during the flight instead of FAA Response: The FAA agrees with In proposed paragraph (a)(4), the FAA VOR, ADF, and ILS systems, as HAI’s position and has deleted required an applicant to receive training provided for in the existing rule. Similar proposed § 61.63(a)(5) from the final or complete a home-study program, and changes were proposed in paragraph rule. In addition, the FAA has modified receive an endorsement from a ground (d)(6) for the instrument rating the rule to ensure that pilots are or flight instructor certifying that the helicopter requirements, in which the required to meet the aeronautical applicant received training on the required cross-country flight was 100 experience requirements for the pilot required aeronautical knowledge areas nautical miles with one segment of more certificate and class rating sought. Also, of this section that are appropriate to the than 50 nautical miles. Paragraphs (d)(7) the FAA has included the provisions of instrument rating sought. The paragraph and (d)(8) proposed similar § 61.64 adopted in Amendment No. 61– also specified that an applicant for a requirements, with specified distances 100 in this section and added provisions practical test must receive an for airship and powered-lift instrument applicable to the use of a flight endorsement from the flight instructor ratings, respectively. simulator or flight training device to who gave the applicant training Comments: Citing § 61.65(a)(4)(iv), obtain an additional rating in a certifying that the applicant is prepared HAI comments that the language powered-lift. Section 61.64 has been for the practical test. requiring an applicant to ‘‘have received reserved. Proposed paragraph (a)(7) specified an endorsement from the instructor who Additionally, the FAA has corrected that an applicant who completes an gave the training’’ occurs frequently and an inadvertent omission in existing instrument practical test in a could be interpreted to mean that all § 61.64 (h) and (i) by permitting a type multiengine airplane and who holds an training required for the rating must be rating for a single station airplane to be airplane category and single-engine from one instructor. HAI states that this obtained in a multiseat version of that class rating is considered to have met could be a problem if an instructor airplane. The final rule also eliminates the requirements for an instrument becomes unavailable during training. an error noted in § 61.64 as adopted in rating in a single-engine airplane. AOPA expresses concern that, in Amendment No. 61–100. The existing In the aeronautical knowledge proposed paragraph (b), the FAA failed rule incorrectly requires all applicants requirements of proposed paragraph (b) to include its new aeronautical for an additional category rating or class added requirements included training in knowledge area of planning for air rating to take a knowledge test. windshear avoidance, aeronautical traffic delays. The commenter states that decision making and judgment in the this requirement was included Section 61.65 Instrument rating aeronautical knowledge requirements, inappropriately for recreational and requirements. and flight deck resource management, to private pilots, while instrument-rated In Notice No. 95–11, the FAA include crew communications and pilots are far more likely to encounter proposed revisions to § 61.65, including coordination. air traffic delays. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16255

HAI objects to the requirement in then the pilot will need to cancel IFR class-specific instrument rating, with proposed § 61.65(d)(1) that 40 hours of and reattempt to meet this requirement. the exception of the powered-lift instrument training be obtained from a Additionally, several comments instrument rating, as explained in CFII or instrument ground instructor. oppose the proposal to eliminate the section IV,F. NATA’s other objection The commenter states that currently requirement that the cross-country flight regarding the elimination of the part of this training can be logged with be flown under actual or simulated requirements for specific types of either a safety pilot or from a CFI. instrument conditions. One individual approaches, including precision NAFI opposes the proposed paragraph commenter states that the visual approaches, is addressed in (d) cross-country requirements, reference removes the need for § 61.65(c)(6). The requirement for especially the 100-nautical-mile leg maintaining spatial orientation and a specific types of approaches was deleted requirement. NAFI does not see a need consistent scan of the panel, and that from the aeronautical experience for this requirement and states that it the requirement would reduce the flight requirements in § 61.65; precision would preclude a cross-country of three to just another VFR flight. Commenters approaches are still covered in the PTS. relatively equal legs. NAFI comments recommend a requirement for 2 to 5 The objections of AOPA and NAFI to that cross-country flight already would flight-time hours in actual instrument the 100-mile leg requirement are noted, have been demonstrated during private conditions. and the FAA has decided to withdraw pilot training. According to NAFI, it also In addition, commenters offer various the proposal and return to current may be difficult to meet the requirement views on the use of flight simulators or requirements. The FAA’s intent was to for three different types of approaches, ground training devices, advocating clarify the regulation but, based on the as well as an instrument approach 100 either less or more use of such comments submitted, the provision nautical miles away, in some parts of equipment during the instrument resulted in greater confusion and did the country. AOPA also objects to the training. GAMA comments that not provide the flexibility for pilots to 100-nautical-mile leg requirement, simulators and flight training devices plan their cross-country flights because it would limit training provide much more effective training according to individual situations. In flexibility. AOPA comments that most than simply requiring the pilot to log a addition, based on the above, the FAA learning during instrument training certain amount of ‘‘unfocused’’ flight has decided to remove from the final time. GAMA, the FAA, and university results from entering and exiting the rule the 50-mile leg requirement for research, as well as the U.S. military, terminal environment. An individual helicopters. In response to AOPA’s and have demonstrated that, with the proper commenter echoes AOPA’s concern. HAI’s comment regarding the use of the instruction, relatively low-time pilots NATA is in opposition to two aspects term ‘‘IFR,’’ it is the FAA’s intent to can readily learn instrument flying of the proposed requirements for the require a person to file an instrument skills. AOPA, NBAA, and several flight plan and perform a flight under instrument rating long cross-country individual commenters echo these IFR, although not necessarily under flight. According to NATA, the views and encourage the FAA to IMC. Therefore, the FAA is going requirement in proposed § 61.65(d)(5) expedite the integration of personal forward with the proposal. The that the flight be performed in a class- computer-based flight training devices objections raised by commenters specific aircraft ‘‘poses an unnecessary for instrument training and proficiency. economic burden on the student, with FAA Response: The FAA regarding the need for instrument no benefit.’’ NATA also opposes the acknowledges HAI’s concern regarding training in actual or simulated elimination of any requirement for the language ‘‘the instructor who gave conditions are not valid because the specific types of approaches and states that person the training’’ and therefore definition of instrument training that at least one precision approach has deleted the objectionable language. includes a requirement for actual or should be required. The FAA has changed the language in simulated conditions. AOPA states that the proposed the recreational and private pilot Addressing concerns raised requirement for the instrument cross- aeronautical knowledge area throughout the proposed regulations, country flight to be conducted under requirements so that it now refers to the final rule modifications to this ‘‘IFR’’ creates significant confusion delays rather than specifically to ATC section also include the insertion of because the term ‘‘IFR’’ is not defined in delays. ATC delays concerning language restoring the ability of the part 1 or part 61. AOPA interprets the instrument rated pilots are addressed in Administrator to place operating new language to require the flight to be § 61.65(b)(3), which provides for limitations on an applicant unable to conducted under IMC or that a flight training in the air traffic control system meet the English language requirements, plan be filed. The commenter states and procedures for instrument flight as discussed in section IV,G; and that, under its interpretation of the operations. The FAA notes HAI’s deletion of provisions for the proposed proposal, the flight instructor would objection to proposed § 61.65(d)(1). The instrument airship rating, because that need to posses a medical certificate change resulted in an inadvertent rating was not adopted, as discussed in since the instructor would have to be increase in the amount of instrument section IV,D. Similarly, as discussed in pilot in command for purposes of filing time that must be obtained from a CFII. section IV,D, the FAA is not adopting a flight plan. AOPA urges the retention The FAA has noted this error and the proposal to separate the instrument of the current language, which requires corrected it in the final rule. The FAA rating into single and multiengine the flight to be conducted under ‘‘actual is adopting in the final rule the proposal classes, the proposed paragraph giving or simulated IFR conditions.’’ to eliminate the existing 125-hour total single-engine instrument privileges to HAI states that training helicopters time requirement, but is not eliminating applicants who pass the instrument such as the R–22 are not certificated for the 50-hour pilot in command cross- rating practical test in multiengine flight in instrument conditions. The country time requirement, as discussed practical test is redundant and therefore commenter asks whether a helicopter in section IV,E. deleted. not certificated for flight in IMC can In response to NATA’s concerns The use of ground training devices legally be flown on an IFR flight plan, regarding class-specific aircraft was addressed in Amendment No. 61– and adds that, if the flight is done under requirements within the proposed rule, 100. These provisions are included in IFR, and VMC cannot be maintained, the FAA has withdrawn the proposed the final rule. 16256 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Additionally, the final rule corrects in this final rule with only minor towplane has a single seat, such as is the several errors noted in paragraph (g) of editorial changes. case for the Piper PA–25 (Pawnee). the existing rule as adopted in FAA Response: The FAA considered Section 61.69 Glider towing: Amendment No. 61–100. Existing the comments of AOPA, EAA, NAFI, Experience and training requirements. paragraph (g)(1) erroneously contains and SSA, which oppose the elimination the word ‘‘any’’ prior to the phrase In Notice No. 95–11, proposed § 61.69 of the existing rule’s method for tow ‘‘category, class, and type aircraft that is was reformatted and revised. The FAA endorsement (simulated tow). After certificated for flight in instrument proposed to revise the title of this further review of the proposal, the FAA conditions.’’ This incorrectly allows the section to read, ‘‘Glider towing: has concluded that operational use of any category, class, and type of Experience and training requirements.’’ requirements and accident/incident data aircraft during the practical test; e.g., the The title of the existing § 61.69 read do not establish a safety justification use of a helicopter for an airplane ‘‘Glider towing: Experience and sufficient for the increased regulatory instrument rating practical test. Also, instruction requirements.’’ and economic burden. Therefore, the that same paragraph in the existing rule The FAA proposed in paragraph (a) to existing method has been reinstated. contains the phrase ‘‘that is certificated clarify the requirements for a pilot who Addressing AOPA’s concern that the for flight in instrument conditions.’’ desires to act as a pilot in command of proposal’s use of the term ‘‘single- That language unintentionally precludes an aircraft towing a glider. Proposed engine airplane’’ was too specific, the practical testing in some aircraft that paragraph (b) clarifies the requirements FAA has replaced that term in the final may not be certificated for flight into for a pilot who accompanies that rule. The final rule requires the towing instrument meteorological conditions, person, specifying that the pilot to be certificated in a powered but which may be operated under accompanying pilot, not the applicant, aircraft. The final rule revises the instrument flight rules, provided the is required to have at least 10 flight proposed 100-hour pilot-in-command flight is conducted in weather hours as a pilot in command of an time requirement to specify ‘‘category, conditions that meet the requirements aircraft towing a flight. class, and type, if required’’ rather than the proposed ‘‘single-engine airplanes.’’ for flight under visual flight rules. The FAA also proposed to eliminate Other references to ‘‘single-engine In response to a comment received the second alternative of existing airplane’’ were replaced by ‘‘aircraft.’’ regarding Amendment No. 61–100, § 61.69, which allowed for a person to The final rule also restores the recency requesting clarification on the use of a have made at least three flights as sole flight simulator or flight training device of experience requirements for glider manipulator of the controls of an aircraft towing. The proposed rule inadvertently during the practical test, the FAA has simulating glider towing flight revised paragraph (a)(8) of the final rule deleted recency of experience procedures and at least three flights as requirements for glider towing, although to provide for the use of a flight pilot or observer in a glider being towed simulator or a flight training device for it did include the requirements for the by an aircraft in order to qualify as a pilots accompanying glider towing the conduct of a practical test if that pilot in command of an aircraft towing flight simulator or flight training device trainees. These requirements have been a glider. The FAA proposed to require included in the final rule. is approved for the procedure that to be eligible for glider towing, the performed. The final rule also limits the pilot must have specified experience Section 61.71 Graduates of an procedures which may be performed in actually towing gliders under the approved training program, other than an approved flight training device to supervision of an experienced pilot. under this part: Special rules. one precision and one nonprecision Comments: SSA opposes the approach provided the flight training In Notice No. 95–11, the FAA elimination of the existing rule’s second device is approved. proposed to change the title of this The format of the final rule was method for tow endorsement from section. In addition, the FAA proposed further changed to accommodate the § 61.69. The commenter states that the to permit the crediting of training included modifications. elimination of this option would create conducted under part 141- or part 142- a severe limitation for commercial approved training programs, and the Section 61.67 Category II pilot operators and clubs that tow with issuance of an ATP certificate, type authorization requirements. single-place towplanes. SSA contends rating, or both, to a person who has In Notice No. 95–11, the FAA noted that the proposed rule would require satisfactorily accomplished an approved that this section was addressed in a these operators to have available an training program and a pilot in separate NPRM titled ‘‘Aircraft Flight aircraft with two pilot seats and a tow command proficiency check for that Simulator Use in Pilot Training, Testing, hitch to complete a checkout, or to hire aircraft type, in accordance with the and Checking at Training Centers,’’ that a multiplace towplane with a tow hitch pilot in command requirements of was issued on July 15, 1992 (57 FR from another airport or operator. SSA subparts N and O of part 121 of this 35918; August 11, 1992). On July 2, also believes that the wording of chapter. The proposal also deleted the 1996, the provisions contained in that proposed § 61.69(b)(3), which lists the existing requirement for an applicant notice were issued as a final rule in requirements an instructor must meet seeking an instrument rating who Amendment No. 61–100. The provisions prior to being authorized to endorse graduates from a pilot school of § 61.67 set forth in that rule have also another pilot for towing, is unclear. certificated under part 141 to hold a been included in this final rule with AOPA, EAA, and NAFI support SSA’s commercial pilot certificate and a only minor editorial changes. comments on glider towing. AOPA adds second-class medical certificate, and the that § 61.69 refers to towing with a requirement that graduates of pilot Section 61.68 Category III pilot ‘‘single-engine airplane,’’ ignoring that it schools with examining authority must authorization requirements. is possible for a multiengine airplane to apply for a certificate or rating within 90 Although this section was not be used. NAFI echoes this last comment days. included in Notice No. 95–11, its by AOPA. An individual commenter Comments: AOPA opposes retention provisions were adopted as part of agreed with the objection to eliminating of the current requirement in Amendment No. 61–100. The provisions the existing rule’s second option, citing § 61.71(a)(1), which provides a 60-day of § 61.68 have therefore been included it as the only one available when the limitation on graduates from a part 141 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16257 or part 142 school to take a practical Section 61.75 Private pilot certificate foreign pilot license in his or her flight test. The commenter encourages issued on basis of a foreign pilot license. personal possession or readily the FAA to increase this period to 90 In Notice No. 95–11, the FAA accessible in the aircraft. Comments: No substantive comment days to accommodate graduates of proposed changes to § 61.75 regarding was received. Therefore, specifically university-based schools who may not issuance of a U.S. pilot certificate on the with regard to this section, apart from complete their phase checks until the basis of a foreign pilot license. editing changes, the final rule is end of the semester and might have an The title of proposed § 61.75 would be adopted as proposed. intervening period for travel or job changed from ‘‘Pilot certificate issued considerations before they can perform on basis of a foreign pilot license’’ to Section 61.77 Special purpose flight the practical test. ‘‘Private pilot certificate issued on basis authorization: Operation of U.S.- FAA Response: In response to AOPA’s of a foreign pilot license.’’ registered civil aircraft leased by a recommendations, the FAA has found The FAA proposed in paragraph (b) to person who is not a U.S. citizen. that the 60-day requirement is adequate delete the existing provision that and consequently § 61.71, as proposed, The FAA proposed to replace the permitted a pilot with a foreign is adopted with only minor editorial current special purpose pilot certificate commercial, senior commercial, or ATP changes. for foreign pilots of U.S.-registered license to apply for a U.S. commercial aircraft with a special purpose pilot Section 61.73 Military pilots or former pilot certificate. The FAA proposed to authorization. The FAA recognizes military pilots: Special rules. permit those pilots to apply only for a ‘‘authorizations’’ as equivalent to The proposed changes in this section U.S. private pilot certificate, with certificates issued by the Administrator clarified that military and former appropriate ratings. Proposed paragraph under 49 U.S.C. § 44711(a)(2), formerly military pilots would be required to (b)(4) added a provision that would the Federal Aviation Act of 1958, as have graduated from a military pilot permit an applicant to use his or her amended, to be issued by a Flight training course or military pilot flight medical certificate issued by the country Standards District Office (FSDO) under school, and received official military that issued the foreign pilot license in § 61.77. In addition, the FAA proposed aeronautical orders before applying for lieu of a medical certificate issued to clarify § 61.77 to align the ‘‘age 60’’ their commercial pilot certificate. In under part 67. rule for pilots with the requirements of Notice No. 95–11, the provision in In proposed paragraph (e), the FAA part 121 for all U.S. and foreign pilots existing § 61.73(a) that permitted deleted existing language that based who are 60 years of age or older, and military pilots to apply for a private pilot privileges on those authorized by who are employed by foreign air carriers pilot certificate was deleted because, the foreign pilot license, while adding a that operate U.S.-registered civil aircraft historically, military pilots have not provision in proposed paragraph (e)(2) for compensation or hire in scheduled chosen a private pilot certificate when stating that a holder of a private pilot international air services and a commercial pilot certificate could be certificate, issued under this section, is nonscheduled international air transport issued without complying with any limited to the privileges placed on that operations. further requirements. Also, existing certificate by the Administrator. Comments: AOPA, EAA, and NAFI § 61.73(g)(6) was deleted because Proposed paragraph (e)(3) added a oppose § 61.77(b)(6) and (e)(4) because Tactical (Pink) Instrument cards were provision stating that a holder of a the proposed age limitation represents last issued by the Army in 1971. In private pilot certificate, issued under ‘‘blatant age discrimination,’’ and they addition, the content of existing this section, is subject to the limitations believe that it is inappropriate to § 61.73(d)(2) was moved to proposed and restrictions on the person’s U.S. include such provisions because the § 61.73(d)(5), and the limitation for certificate and foreign pilot license. A matter is at issue in Congress and the ‘‘VFR only’’ was deleted because, since provision was added in proposed courts. 1972, all U.S. military pilot training paragraph (e)(4) that restricts each FAA Response: Notice No. 95–11 requires instrument qualification foreign pilot license holder from proposed to align the age 60 rule with training. The proposed rule also exercising the privileges of his or her similar provisions in part 121. As included an administrative clarification U.S. pilot certificate while that holder’s previously discussed in the analysis of for elevating type ratings on the foreign license is under an order of § 61.3, part 121 was revised to include superseded pilot certificate to the ATP revocation or suspension. certain commuter operations previously certificate level, and implemented Proposed paragraph (f) added a addressed in part 135. Accordingly, the minor wording and structure changes. provision that would require a pilot FAA is amending the applicability of Comments: One commenter states that with a foreign pilot license to submit a the age limitation in § 61.77 to be although military training surpasses part transcription of that foreign pilot license consistent with current part 121, as well 61 requirements, pilots should not and that pilot’s medical certificate in the as with § 61.3(j). The FAA invites receive authorization to fly English language, unless the licenses comments on the inclusion of additional sophisticated piston-engine aircraft and limitations are already in the aircraft operations under the age 60 without any previous experience with English language. limitation as set forth in § 61.77. controllable pitch-propeller aircraft. In proposed paragraph (g), the FAA In the past, § 61.77 has applied only FAA Response: In answer to the required an applicant for a U.S. pilot to aircraft engaged in part 121 commenter’s concern, the FAA already certificate to read, speak, write, and operations; therefore, the age 60 requires additional training and an understand the English language. Also limitation applied to all holders of endorsement to operate complex and deleted in this paragraph was existing certificates issued under § 61.77. high-performance airplanes as provided language specifically disallowing the Because the applicability of § 61.77 is in § 61.31 of this chapter. To impose U.S. certificate issued under this section now expanded to all civil aircraft, the additional requirements would be to be used for agricultural operations. A age 60 limitation will not apply to all beyond the scope of this rulemaking. provision was added to this paragraph special purpose pilot authorizations, Therefore, this proposed section was that states that the U.S. private pilot and reaching the age of 60 will not implemented with only minor clarifying certificate, issued under this section, is result in the expiration of the language changes. valid only when that person has a authorization. 16258 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

As discussed in connection with him or her unable to pilot an aircraft. As there is no indication that the proposal § 61.3(j), the FAA is delaying a result of the separation of the student will enhance safety. An individual implementation of the age 60 limitation pilot certificate from the medical commenter proposes that the test should for pilots of commuter aircraft that now certificate, all requirements that pertain not necessarily have to be administered will be governed by part 121. A similar to the issuance of medical certificates by the instructor, as long as the delayed implementation is in § 61.77(g). and the conduct of pilot operations instructor reviews the test results with during any medical deficiency are the student. Subpart C—Student Pilots contained in §§ 61.23 and 61.53 of the FAA Response: A definition of ‘‘solo The FAA proposed to establish final rule. These requirements are flight’’ similar to that of the existing rule separate subparts for student pilots and further explained in the analysis of has been added to paragraph (a) of the recreational pilots. In addition, the title §§ 61.23 and 61.53. final rule. In this new definition, the of subpart C was revised from ‘‘Student Section 61.87 Solo requirements for phrase ‘‘an airship’’ has been replaced and Recreational Pilots’’ to ‘‘Student student pilots. by ‘‘a gas balloon or an airship’’. In Pilots.’’ The final rule includes these paragraph (b), the first proposed changes as proposed. In Notice No. 95–11, the FAA reference to the word ‘‘test’’ has been proposed to change the title of § 61.87 Section 61.81 Applicability. replaced with ‘‘knowledge test’’, for from ‘‘Solo flight requirements for consistency with new FAA usage. The FAA proposed to delete the student pilots’’ to ‘‘Supervised pilot in Regarding the existence of the test reference to recreational pilot command requirements for student requirement itself, the FAA notes the certificates and ratings in this section, pilots’’. Additionally, the term ‘‘solo’’ concerns of AOPA and NAFI, but points which were included in proposed was replaced with ‘‘supervised pilot in out that the requirement merely reflects command’’ for reasons discussed in the subpart D. No substantive comments the existing rule. Therefore, this final analysis of § 61.1. were received, and the rule is adopted rule is adopted with the changes as proposed. This section was revised to include separate supervised pilot in command discussed above. Section 61.83 Eligibility requirements maneuvers and procedures for the Section 61.87(c), Pre-solo flight training. for student pilots. airplane single-engine rating, airplane The FAA proposed some minor Proposed paragraph (c) added a multiengine rating, rotorcraft helicopter reformatting of existing requirements requirement that an applicant be able to rating, rotorcraft gyroplane rating, glider but no substantive change to this write in the English language. The nonpowered rating, glider powered paragraph. existing rule only required an applicant rating, lighter-than-air airship rating, to have the ability to read, speak, and lighter-than-air balloon rating, and Comments: SSA recommends understand the English language. In powered-lift rating. Comments modifying proposed § 61.87(c)(1) to addition, the proposed rule applied to addressed various proposed provide for supervised pilot in all applicants, eliminating the existing requirements within this section and are command in single-place gliders. provision that permits applicants who discussed below. For reasons discussed According to SSA, it is very common to cannot read, speak, and understand the in the analysis of § 61.1, the FAA is solo a student in a two-place glider and, English language to receive a certificate retaining the term ‘‘solo.’’ The proposed when competent, in a single-place glider with an operating limitation as deemed term ‘‘supervised pilot in command’’ is of similar characteristics. SSA necessary by the Administrator. being replaced by the existing term comments that the existing and Proposed paragraphs (d) and (e) ‘‘solo’’ throughout the final rule, where proposed versions of § 61.87(c) limit included minor revisions to the medical appropriate. Additionally, the language solo flights to aircraft with more than requirements for applicants who desire of the proposal has been modified for one seat by using the phrase ‘‘in make a rating in a glider or a balloon. clarity. and model.’’ SSA states that Notice No. Comments: AOPA and IDPA express 95–11 proposes to give an instructor the same concerns previously discussed Section 61.87(a), General; and Section authority to endorse a student for regarding the deletion of the existing 61.87(b), Aeronautical knowledge. supervised pilot in command in a language that permitted operating Proposed paragraph (a) deleted the single-place glider, but the commenter limitations for those applicants unable existing definition of the term ‘‘solo believes that the rule should be explicit to read and speak the English language flight.’’ In paragraph (b), the FAA on this issue. SSA proposes the due to medical conditions. proposed to replace the term ‘‘written following language: ‘‘For single-place FAA Response: Upon reviewing the examination’’ with the term ‘‘test’’ to aircraft, the pre-supervised pilot in concerns of AOPA, IDPA, and other permit the administration of the command training must have been commenters, the FAA has restored required test in a format other than on received in an aircraft that has two pilot language permitting an operating paper (e.g., computer response). seats and is of the same category, class, limitation for medical conditions. This Comments: AOPA and NAFI oppose and type, as appropriate, and the single- issue is discussed in section IV,G. In the requirement in proposed § 61.87(b) place aircraft must have similar flight addition, the FAA has placed the that a student take a written test prior characteristics to those of the aircraft references to medical requirements for to engaging in supervised pilot in with two pilot seats.’’ student pilots in § 61.23, as discussed in command. The commenters state that FAA Response: The FAA has the analysis of that section. most instructors conduct this test modified § 61.87(c)(2) to permit a already, and many insurance companies student pilot to demonstrate flight Section 61.85 Application. require flight schools to perform such proficiency in a similar make and model In Notice No. 95–11, no substantive tests; codifying the provision needlessly of aircraft to that in which the student changes were made to this section, adds to an instructor’s burden and pilot will conduct solo flight. The FAA which would permit an applicant for a exposure to enforcement action. AOPA notes that similar make and model student pilot certificate to submit a also comments that the FAA has not aircraft should be of a similar design, certification that he or she has no presented any justification for the with similar operating, performance, known medical defect that would make proposed change. According to AOPA, flight, and handling characteristics. The Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16259 revision made by the FAA to the procedures without an instructor in the requirements for gliders into one proposal made in Notice No. 95–11 will aircraft. paragraph. The language of the final rule apply to all categories and classes of FAA Response: The existing makes provisions for powered gliders as aircraft. As examples, the proposed requirement for training on stall entries appropriate, without discussing them as revision will permit a student pilot to and recoveries was inadvertently a separate class. Except for these receive flight training in a Schweizer 2– omitted from the proposal. A changes, the final rule is adopted as 33 and solo a Schweizer 1–26, or receive requirement for ‘‘stall entries from proposed. various flight attitudes and power flight training in a two-place gyroplane Section 61.87(j), Maneuvers and but solo in a single-place version of that combinations with recovery initiated at the first indication of a stall, and procedures for pre-solo flight training in same gyroplane, even though the single- an airship; and § 61.87(k), Maneuvers place version has a slightly smaller recovery from a full stall’’ has been inserted into paragraphs (d) and (e) of and procedures for pre-solo flight powerplant. The FAA also notes that a training in a balloon. flight instructor must endorse a student the final rule. AOPA’s concerns pilot for solo flight in the actual make regarding the deletion of flight at The FAA proposed minor editorial and model aircraft in which the student minimum controllable airspeed were and reformatting changes. No pilot will conduct flight operations. reviewed, but the change of terminology substantive comments were received. Except for this change the final rule is to ‘‘slow flight’’ was made to provide The references to ‘‘vents’’ and ‘‘deflation adopted as proposed. the FAA with flexibility in determining valves’’ were added to paragraph (k) of which specific tasks should be the final rule. Except for these changes, Section 61.87(d), Maneuvers and performed in the area of operation. This the final rule is adopted as proposed. procedures for pre-solo flight training in is issue discussed in section IV,H. a single-engine airplane; § 61.87(e), Section 61.87(l), Limitations on student Moreover, the FAA has determined that pilots operating an aircraft in solo flight; Maneuvers and procedures for pre-solo the stall training requirement of the flight in a multiengine airplane; and § 61.87(m), Limitations on student pilots final rule ensures that the student operating an aircraft in solo flight at § 61.87(f), Maneuvers and procedures obtains the necessary practice in stall for pre-solo flight training in a night; and § 61.87(n), Limitations on recognition and handling flight instructors authorizing solo flight. helicopter. characteristics. HAI’s concerns also are The proposed paragraphs set forth the The FAA proposed to revise existing noted; however, this section’s limitations on the exercise of student requirements. It also proposed to use the requirements are explicitly listed as pre- pilot flight privileges. term ‘‘slow flight’’ in place of the solo training, therefore, these maneuvers would be conducted with an authorized Comments: HAI objects to the previously used term ‘‘minimum language regarding limitations on flight controllable airspeed.’’ Details of the instructor. Except for these changes, the final rule is adopted as proposed. instructors authorizing supervised pilot maneuvers and procedures to be in command flight. HAI interprets the performed by students would be Section 61.87(g), Maneuvers and rule as requiring that training be established through the appropriate procedures for pre-solo flight training in completed in the specific aircraft. HAI practical test standards. The a gyroplane; and § 61.87(h), Maneuvers states that the rule should not require requirement for training on stall entries and procedures for pre-solo flight training in a specific aircraft, but merely and recoveries was inadvertently training in a powered-lift. in the same make and model of aircraft omitted from proposed paragraph (d). In proposed paragraph (g), the FAA to be flown during supervised pilot in Comments: AOPA states that deleted provisions for single-seat command. The commenter also proposed § 61.87 (d)(9) and (e)(9) could gyroplanes for reasons discussed in the contends that the rule can be interpreted hurt the long-term safety record of analysis of § 61.45. Proposed paragraph to mean that an instructor must be general aviation because the (h) established student pilot training for physically present to authorize the requirement for flight at minimum the proposed powered-lift category student pilot to perform each supervised controllable airspeed has been replaced rating. For the same reasons discussed pilot in command flight. HAI with ‘‘slow’’ flight. AOPA points to the in the response concerning the final recommends modifying the rule to FAA’s definition of slow flight as 1.2 rule’s paragraphs (d), (e), and (f), a allow supervised pilot in command times the stall speed of the aircraft, requirement for flight training on stall flight as long as all of the requirements which is only marginally slower than entries and recoveries was added to have previously been met and the the standard approach speed of 1.3 paragraph (h). Except for the changes student’s pilot logbook is properly times the stall speed. According to discussed, the final rule is adopted as endorsed. AOPA, stall recognition and handling proposed. AOPA opposes the proposed characteristics of an aircraft at minimum requirement that an instructor who controllable airspeed constitutes Section 61.87(i), Maneuvers and authorizes supervised pilot in command ‘‘critical knowledge’’ for a student pilot procedures for pre-solo flight training in flight must endorse the student pilot’s and should not be removed. a glider. certificate every 90 days. AOPA states AOPA also states that the deletion of Proposed paragraphs (i) and (j) that updating the endorsement would requirements for pre-solo stall recovery established student pilot training for the require the issuance of additional training is a mistake. Individual proposed nonpowered class ratings and student pilot certificates simply to commenters echo this view, stating that for the powered class ratings under the accommodate recordkeeping functions. this omission appeared to be glider category, respectively. No The commenter contends that an inadvertent. substantive comment directly addressed instructor should be able to keep the HAI cites proposed § 61.87(d) and (f) the proposed paragraph (i). As student current by endorsing only the and asks whether these procedures for discussed in section IV,F, the FAA is logbook within the preceding 90 days. supervised pilot in command training not proceeding with the separation of One commenter echoed AOPA’s are intended for solo practice. The the glider category into nonpowered and objections. commenter believes that student pilots powered classes. Therefore, the final FAA Response: The FAA agrees with should not perform emergency rule consolidates the proposed separate part of HAI’s concern over possible 16260 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations misinterpretation of the requirement category balloon rating, and powered- Individual commenters objecting to that training be conducted in a specific lift rating. both proposed paragraphs (c)(1) and aircraft, therefore, the language in the In proposed paragraph (a), the FAA (c)(2) shared the associations’ views. final rule for the paragraph has been deleted the existing provision that a One instructor states that the ‘‘make and changed from ‘‘in the aircraft’’ to ‘‘in the student pilot may land at an airport model’’ requirement could be a make and model of aircraft’’. other than the airport of takeoff, in an hardship if a flight school changed Additionally, in accordance with the emergency. This provision already equipment in the middle of a student’s revision made to § 61.87(c)(2) to permit exists in § 91.3, ‘‘Responsibility and training, because the student would a student pilot to demonstrate flight authority of the pilot in command.’’ have to repeat pre-solo maneuvers and proficiency in a make and model of Proposed paragraph (b)(1) clarified cross-country training. The commenter aircraft similar to that in which the the language of the provision for requests retaining the existing rule’s student pilot will conduct solo flight, performing supervised pilot in reference to aircraft ‘‘category’’ only. the FAA has revised § 61.87(n)(1)(i) to command flights to and from an airport Another commenter states that the permit an instructor to authorize a within 25 nautical miles of the airport privilege of signing for another flight student pilot to perform a solo flight if from which the flight originated. instructor should be retained under the instructor has given the student Proposed paragraph (b)(2) clarified proposed § 61.93 (c)(2)(ii) and (c)(2)(iii). pilot training in either ‘‘the make and the provision for performing repeated Another commenter requests that model of aircraft or a similar make and supervised pilot in command cross- proposed § 61.93 contain more useful model of aircraft in which the solo flight country flights that are no more than 50 guidance regarding what is required for is to be flown’’. nautical miles. a glider pilot to make a cross-country The FAA also concurs with AOPA’s Proposed paragraph (c) clarified flight. objection to the requirement that existing requirements for endorsements on the student pilot’s certificate and in FAA Response: As discussed in the certificates be endorsed every 90 days. analysis of § 61.1, the FAA has decided The final rule has therefore been revised the student pilot’s logbook. The requirement for an endorsement on the not to adopt the term ‘‘supervised pilot to only require additional 90-day solo in command.’’ Regarding the comment endorsements to be recorded in the student pilot certificate would not apply to a pilot with a pilot certificate who on the possible terminology problem in logbook. The paragraphs pertaining to seeks privileges in another aircraft paragraph (a) with respect to balloons, powered and nonpowered glider class category, because a certificated pilot the FAA points out that it has decided ratings have been restructured because would not hold a student pilot to delete solo cross-country the FAA is not proposing separate certificate. requirements for balloons in the final powered glider and nonpowered glider Provisions were added in proposed rule as discussed in the analysis of ratings as discussed in section IV,F. paragraph (d) for the use of radios for § 61.107. Upon reviewing the comments Except for these changes, the final rule VFR navigation and two-way of AOPA, HAI, and individuals is adopted as proposed. communications, procedures for regarding cross-country endorsements, Section 61.89 General limitations. diverting to alternate airports, and the FAA has decided to replace the windshear avoidance. words ‘‘make and model’’ with The FAA proposed minor editorial Comments: One commenter states that ‘‘category’’ in paragraph (c)(1) of the changes to this section in Notice No. the requirements of § 61.93(a)(1) for final rule, while retaining them for 95–11. No substantive comments to this supervised pilot in command cross- logbooks in paragraph (c)(2). The intent section were received; the section is country flight should be clarified for of the change to the existing rule is to adopted as proposed. balloon operations, which do not clarify that a student must be properly Section 61.93 Solo cross-country flight originate at an airport and do not land authorized to conduct not just all solo requirements. at the departure point. flights, but also all solo cross-country HAI asks whether the cross-country flights, in a specific make and model. In Notice No. 95–11, the FAA endorsement section of the student pilot proposed to revise and reformat § 61.93. certificate will be revised to allow an For reasons similar to those discussed In the proposal, the title was changed endorsement for aircraft make and in the section-by-section analysis of from ‘‘Cross-country flight requirements model as required in proposed § 61.87, the FAA also has modified (for student and recreational pilots paragraph (c)(1), in light of the fact that § 61.93(a)(2)(iii) to permit the pre-solo seeking private pilot certification)’’ to the current requirement is merely for an flight maneuvers and procedures ‘‘Supervised pilot in command cross- endorsement of aircraft category. AOPA required by § 61.87 to be accomplished country requirements for student also questions the make and model in either the make and model of aircraft pilots’’. The FAA proposed to change specific requirement of paragraph (c)(1), or a similar make and model of aircraft the term ‘‘solo’’ to ‘‘supervised pilot in stating that an endorsement for category for which solo cross-country flight command’’ to reflect the proposed alone should be sufficient, since the privileges are sought. Except for these deletion of the term ‘‘solo’’ as discussed proposed logbook endorsement of changes, the final rule is adopted as in the analysis of § 61.1. paragraph (c)(2) would accommodate proposed. The most significant change proposed the make and model endorsement. Section 61.95 Operations in Class B was the establishment of separate According to AOPA, the proposal would airspace and at airports located within supervised pilot in command cross- force the FAA to issue more student Class B airspace. country maneuvers and procedures for certificates simply for recordkeeping the airplane single-engine rating, functions. HAI questions whether the The FAA did not propose any airplane multiengine rating, rotorcraft logbook endorsement in proposed substantive changes to this section in helicopter rating, rotorcraft gyroplane paragraph (c)(2) for supervised pilot in Notice No. 95–11. This section is rating, nonpowered glider rating, command cross-country flight is adopted as proposed with only minor powered glider rating, lighter-than-air necessary in light of the requirement for editorial changes for consistency with category airship rating, lighter-than-air the certificate endorsement. other sections of this proposal. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16261

Subpart D—Recreational Pilots change that would prevent deaf pilots aware of the dangers associated with and pilots with other medical windshear. Most individual commenters Section 61.96 Applicability and conditions that have a command of the also support the proposed requirements eligibility requirements: General. English language from obtaining a for windshear training. The proposed section sets forth the recreational pilot certificate. The AOPA favors the concept of teaching provisions that are applicable to English language requirement is further aeronautical decision making and recreational pilot certificates and discussed in section IV,G. Although the believes there should be a definition of ratings. The proposal added a new FAA notes the positive response to the what must be taught and to what § 61.96a titled ‘‘Eligibility requirements: proposal regarding medical self- standards. The commenter encourages General.’’ The proposal required evaluation by persons exercising the FAA to elaborate on this topic in the applicants to be able to write in the recreational pilot privileges, the FAA preamble to any final rule. English language and eliminated the has decided not to adopt the proposal FAA Response: The FAA agrees with provision in the existing rule that for reasons discussed in section IV,A of commenters who state that recreational permitted applicants who could not this preamble. In the final rule, medical pilots are unlikely to encounter air read, speak, or understand the English certificate requirements associated with traffic delays, and has modified the language to receive a certificate with the recreational pilot eligibility and requirement for training in traffic delay operating limitation deemed necessary privileges are contained in § 61.23. planning to a more general reference to by the Administrator. The proposal also Proposed § 61.96 was integrated with possible delays. Other terminology and deleted the requirement for recreational proposed § 61.96a. changes were implemented in the final pilots to hold a medical certificate. The rule as well, including revising the Section 61.97 Aeronautical proposal required an applicant to reference to the ‘‘Airman’s Information knowledge. receive an endorsement from the ground Manual,’’ which is now titled the instructor or flight instructor who gave The FAA proposed additional ‘‘Aeronautical Information Manual.’’ the applicant training or reviewed the aeronautical knowledge requirements, The FAA strongly believes that applicant’s home-study course. This including ground training on windshear training in human factors and endorsement would state that the avoidance, aeronautical decision aeronautical decision making should be applicant was prepared for the making and judgment, and the preflight required. Approximately 80 percent of knowledge test. actions found in § 91.103. all accidents are related to pilot error. Comments: Approximately 1,100 Comments: EAA favors the inclusion Training in human factors, and comments address the FAA’s proposals of windshear, and aeronautical decision aeronautical decision making and regarding the recreational pilot making and judgment in the training judgment may decrease the number of certificate. The overwhelming majority requirements. EAA and NAFI oppose accidents attributable to pilot error, of the commenters agree with the requirements that mandate training because implementation of similar proposal, many of them requesting regarding how to plan for alternatives if training in air carrier operations has expeditious implementation of the final the flight cannot be completed and decreased accident rates. Regarding rule with regard to the recreational pilot possible air traffic delays are AOPA’s concern on the need for provisions of Notice No. 95–11, without encountered. NAFI comments that guidance material on aeronautical necessarily waiting for other parts of the recreational pilots are unlikely to decision making, the FAA points out proposal. Fewer than 20 commenters encounter the need for such training. that AC No. 60–22, ‘‘Aeronautical disagree. Most of the commenters state AOPA and GAMA support instruction Decision Making,’’ contains such that the proposal will stimulate interest in windshear avoidance, aeronautical guidance. in flying by making recreational flying decision making, and preflight action in more affordable and by eliminating the aeronautical knowledge Section 61.98 Flight proficiency. paperwork. They also state that the requirements for recreational pilots. This proposed section established the proposals will boost the general aviation However, AOPA cannot accept the areas of operation for all aircraft that are industry without adversely affecting additional training requirements permitted to be operated by a safety. without a description of what they are recreational pilot. Several commenters EAA and NAFI request that the FAA and how they will be implemented. raised concerns regarding the principle expeditiously review comments on In addition, AOPA questions the behind the proposed areas of operation Notice No. 95–11 and move to final rule proposed requirement for training and for all certificates. This issue is on the recreational pilot provisions. The instruction in planning for air traffic addressed in section IV,H. commenters note the success of the new delays because recreational pilots are This section is adopted as proposed, Canadian recreational pilot’s permit, not permitted to fly in airspace with only minor editorial changes. which they contend has increased requiring two-way radio Section 61.99 Aeronautical training activity and financially communications. experience. benefited FBOs and flight instructors. ALPA, GAMA, and NAFI support the The United States Ultralight requirements for training in aeronautical In Notice No. 95–11, the FAA Association, Inc., also states that the decision making as do many of the proposed to change the title of this proposed changes will benefit general individual commenters. SSA states that section from, ‘‘Airplane rating: aviation. including knowledge of decision Aeronautical experience,’’ to However, another commenter, who making and judgment techniques in the ‘‘Aeronautical experience.’’ Proposed identifies himself as a flight instructor, training cycle may be a valuable tool in § 61.99 included the aeronautical objects to the concept of a recreational reducing accidents. GAMA and NAFI experience requirements for single- pilot certificate. He states that it allows also support the addition of windshear engine airplanes, helicopters, and inadequately trained pilots to fly. training requirements. SSA notes that gyroplanes that are permitted to be FAA Response: The FAA has windshear training has several facets operated by recreational pilots. The modified the final rule to address the including windshears caused by fronts, proposed section also revised the commenters’ concerns regarding the microbursts, and obstructions. SSA minimum amount of solo time required unintended effect in the proposed rule believes that the glider community is for a person to be eligible for a 16262 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations recreational pilot certificate. The based on small islands.’’ The proposed tows and glider rentals that can be proposal established more flexible aeronautical experience requirements specifically documented. training requirements that permitted for a rotorcraft category rating were GAMA and HAI also recommend flight instructors to determine the moved to proposed § 61.99. Proposed adding operating costs to the list of number of hours of training each § 61.100 contained the provisions for expenses that may be shared. GAMA student pilot requires. However, the pilots based on small islands. These contends that individuals currently are minimum number of total hours provisions are currently found in allowed to divide the rental costs of an required to obtain a recreational pilot § 61.99 of the existing rule. aircraft including fuel, oil, airport certificate remained unchanged. No substantive comments were expenditures, and operating costs. Comments: EAA favors the reduction received concerning this section. In its comment, NBAA states that in the minimum hours of solo time for However, the final rule has been proposed § 61.113(c) is too prohibitive recreational pilot certificate applicants. modified to restore detailed provisions and could add costs for the private pilot. Both EAA and NAFI support the greater from the existing rule that were The commenter states that the proposal flexibility given to flight instructors. inadvertently omitted from proposed fails to take into account the potential AOPA does not believe that the § 61.100. added fees that general aviation may reduction in the required number of face in the future. NBAA recommends supervised pilot in command hours Section 61.101 Recreational pilot deleting all the language after the word represents a significant economic privileges and limitations. ‘‘passengers.’’ benefit to general aviation, because the In Notice No. 95–11, the FAA Most of the individual commenters aeronautical experience requirements proposed significant revisions to the who oppose the proposal also point out for a recreational pilot certificate dictate privileges and limitations for that for pilots who rent aircraft it may the need for more than 3 hours of recreational pilots. be difficult to isolate the fuel, oil, and supervised pilot-in-command time. In paragraph (a), the FAA proposed to airport expenses from other expenses. However, AOPA supports the proposal specify the types of operating expenses They state they should be permitted to because it stresses the concept of that a recreational pilot may share with share rental expenses. Another training to a level of proficiency rather a passenger. commenter states that for aircraft that than training based on an arbitrary Proposed paragraph (c) deleted the are not rented, provisions should be number of hours. existing restriction that prevents made for sharing the cost of the ‘‘engine In contrast, GAMA, NATA, and recreational pilots from flying more than reserves’’ (i.e., a pro-rated allotment per NBAA oppose the reduction in the 50 nautical miles from an airport where hour toward engine overhaul cost). A minimum amount of supervised pilot- training was received. The paragraph commenter points out that the in-command time to 3 hours for also explicitly permitted such definition would preclude pilots of recreational pilot applicants. These operations, subject to compliance with gliders from sharing expenses. Another commenters recommend requiring at specific training and endorsement commenter states that there is no reason least 10 hours of supervised pilot-in- requirements. The proposal to eliminate to require that expenses be shared command time. GAMA stresses the the 50-mile restriction is discussed in equally, if either the pilot or a passenger importance of flight time as sole section IV,A. wants to pay a greater share. manipulator of an aircraft to the Proposed paragraph (h) contained a Some commenters also request development of a safe pilot. According revised version of paragraph (f), additional privileges for recreational to GAMA, such time bolsters a student’s maintaining the same basic provisions pilots, subject to appropriate training confidence, helps the student become that are in the existing paragraph, and flight instructor endorsement. One self-reliant, and improves a pilot’s except for changes intended for clarity. of the key additional privileges cited in decision making skills. Comments: Many of the comments the comments—requested by FAA Response: The FAA believes the received on the proposal to codify the approximately 210 commenters—is change in the dual and solo time sharing of expenses are also directed at flight into airspace requiring requirements provides instructors with similar provisions in proposed § 61.113. communications with ATC, such as flexibility in determining the amount of Approximately 130 comments address Class C and Class D airspace. EAA solo and dual training required for each the FAA’s proposal to specify the supports permitting recreational pilots student. This change should not expenses a private pilot may share with to obtain an endorsement to enter Class compromise safety, because the total passengers. Approximately 95 percent D airspace because many areas do not number of hours remains unchanged of the comments oppose the proposal, have nontowered airports within a and should encourage increased training while the remainder either are in favor reasonable distance. Other commenters and help reduce overall costs. It appears or discuss other aspects of the proposal. state that often a pilot’s home base or that some commenters misunderstood AOPA, EAA, NAFI, and NATA needed maintenance facilities are in the proposal, because their concerns comment that pilots should be able to Class D airspace areas, or there may be implied that the total number of hours share operating expenses with safety reasons for communicating with would be reduced, which is not the passengers, such as aircraft rental costs. ATC. They also cite the possibility of case. Therefore, this section is AOPA and NATA state that this is pilots with higher certificates and implemented in the final rule as currently allowed under the regulations. commensurate training exercising the proposed, with the exception of the Although AOPA supports codifying the privileges of recreational pilots. changes noted and minor editorial expenses that can be shared, it believes Commenters also seek to expand changes. the proposed rule represents a recreational pilot privileges to include significant change. According to AOPA, operation of aircraft with more than 180 Section 61.100 Pilots based on small the new rule will likely stifle activity at horsepower and retractable landing gear islands. flight schools and FBOs. SSA also and night flying. EAA states that In Notice No. 95–11, the FAA supports including the cost of aircraft recreational pilots should be able to proposed to change the existing title of rental in the expenses that can be obtain an endorsement for amphibious this section from ‘‘Rotorcraft rating: shared. According to SSA, a glider uses operations because many newly Aeronautical experience’’ to ‘‘Pilots minimal fuel but has direct costs for produced, very light aircraft are Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16263 amphibious. Commenters also Subpart E—Private Pilots language restoring the option for the mentioned demonstration flight for The proposed establishment of Administrator to place an operating prospective aircraft purchasers. separate subparts for student pilot limitation on an applicant’s pilot However, several commenters suggest certificates and recreational pilot certificate, waiving the applicant’s setting the limitation at 2,400 pounds certificates required the regulations English language requirements on gross weight, with 180 horsepower or pertaining to private pilot certificates medical grounds. In addition, the less, which is not ‘‘complex.’’ One and ratings to be moved from subpart D language on medical requirements for commenter asks how the FAA justifies to subpart E. private pilots is deleted from this limiting a four-place aircraft to one section and placed in § 61.23. This topic passenger for recreational pilots. Section 61.102 Applicability. is discussed in the analysis of § 61.23. Others request raising the ceiling of The FAA did not propose any The FAA also made other minor permitted recreational pilot operations, substantive changes for this section, nor editorial and formatting changes to this stating that the limitation of 10,000 feet were any substantive comments section of the final rule. MSL or 2,000 feet AGL, whichever is received. The final rule is adopted as Section 61.105 Aeronautical greater, is too low for mountain areas. proposed. knowledge. Some commenters suggest alternative privileges and limitations not based on Section 61.103 Eligibility The FAA proposed to establish the recreational and private pilot requirements: General. aeronautical knowledge requirements certificates. The FAA proposed to revise this that are applicable to applicants for all FAA Response: The FAA section and include new eligibility private pilot certificates. The FAA also inadvertently omitted ‘‘aircraft rental requirements for private pilot proposed to add aeronautical knowledge fees’’ from the list of expenses that applicants. requirements, including ground training private and recreational pilots may In proposed paragraph (b), the FAA on additional subjects such as share. This is current FAA policy. added a requirement that an applicant windshear avoidance, aeronautical Therefore, § 61.101(a) is appropriately be able to write in the English language. decision making and judgment, and the modified in the final rule. In response In addition, all applicants would have preflight actions found in § 91.103. to those commenters who want been required to meet the English Comments: GAMA and NAFI support additional operating costs shared, only language requirements, eliminating the the inclusion of training on windshear direct operating and rental expenses existing provision under which an avoidance, aeronautical decision may be shared. To avoid a pilot applicant who cannot read, speak, and making, and preflight actions in the receiving compensation for a flight, understand the English language may aeronautical knowledge requirements indirect operating costs, such as receive a certificate with an operating for private pilots. limitation, as deemed necessary by the maintenance expenses, are not AOPA also supports such training; Administrator. permitted to be shared. In response to however, AOPA cannot accept In proposed paragraph (c), the the comment regarding the equal additional training requirements language pertaining to the medical sharing of expenses, the FAA has without a description of what they are requirements for applicants who desired determined that a pilot may not pay less and how they will be implemented. a rating in a glider or balloon was than the pro rata share of operating AOPA also questions the proposed clarified. expenses. The rationale is that if pilots requirement in § 61.105(b)(12) for Proposed paragraph (d) required an pay less, they would not just be sharing training and instruction in planning for applicant to specifically receive an expenses but would actually be flying air traffic delays because such training endorsement from the ground instructor for compensation or hire. The rule has is more appropriate for commercial, or flight instructor who gave the been modified accordingly. instrument, and ATP applicants. applicant training or reviewed the Proposed paragraph (h) is modified applicant’s home study, certifying that FAA Response: The FAA agrees with and a new paragraph (i) is added to the applicant is prepared for the commenters who state that private maintain provisions of the existing rule. knowledge test. pilots are less likely to encounter air The reference to paragraph (d) is Proposed paragraph (h) required an traffic delays, and has modified the removed from paragraph (h). Paragraphs applicant to meet the proposed requirement for training in traffic delay (h) and (i) address only operations at aeronautical experience requirements planning to a more general reference to night or in airspace requiring for the category and class rating sought, possible delays. communication with ATC. The phrase before applying for the practical test. The FAA strongly believes that ‘‘for the purpose of obtaining an Comments: Most of the substantive training in human factors and additional certificate’’ also is added to comments received regarding this aeronautical decision making should be this paragraph to indicate that this section related to paragraph (a), required. Approximately 80 percent of privilege is only available to a especially the possible discriminatory all accidents are related to pilot error, recreational pilot seeking an additional effect of the change in English language and training in human factors, and certificate. proficiency requirements. For a aeronautical decision making and In response to the comments discussion of these comments and the judgment may decrease the number of requesting expansion of the recreational FAA’s response, see section IV,G. Some accidents attributable to pilot error, pilot privileges, the FAA acknowledges commenters objected to proposed because implementation of similar these concerns, but has determined that paragraph (c) regarding the revised training in air carrier operations has these requests for changes to existing language pertaining to the medical decreased accident rates. Regarding regulations are beyond the scope of this requirements for pilots of gliders and AOPA’s concern on the need for rulemaking. balloons, interpreting them as new guidance material on aeronautical Apart from these changes and various requirements. decision making, the FAA points out editorial changes, the final rule is FAA Response: For reasons discussed that AC 60–22, ‘‘Aeronautical Decision adopted as proposed. in section IV,G, the final rule includes Making,’’ contains such guidance. 16264 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Section 61.107 Flight proficiency. requirements in a multiengine airplane. closely match a student’s needs In this section, the FAA proposed The FAA also proposed revisions to the emphasizes dual instruction over solo separate and revised areas of operation aeronautical experience requirements flight. According to SSA, solo time for the airplane single-engine rating, for private pilots by establishing more reinforces the principle of responsibility airplane multiengine rating, rotorcraft flexible training requirements for that is so important to safe flight and helicopter rating, rotorcraft gyroplane private pilot applicants and integrating provides the student with an rating, glider powered rating, glider the concept of supervised pilot in opportunity to find areas of weakness. command into specific aeronautical SSA comments that two supervised nonpowered rating, lighter-than-air experience requirements. The proposal pilot in command flights, or even 5 airship rating, lighter-than-air balloon decreased the amount of solo time an hours of supervised pilot in command rating, and powered-lift rating. In applicant would be required to possess flight, is inadequate. SSA urges the FAA addition, the proposal specifically prior to obtaining a certificate, added to recognize the importance of required applicants for a glider category additional night-flight training supervised pilot-in-command time. The rating to receive training on launches, requirements, decreased the length of commenter also opposes the flight time approaches, and landings, if applying required cross-country flights, and requirements for a glider rating set forth for a nonpowered class rating; or, increased instrument flight training in § 61.109(b)(2), and states that they are takeoffs, landings, and go-arounds, if requirements. The proposal also ‘‘oppressive.’’ SSA contends that if applying for a powered class rating. established aeronautical experience these requirements are adopted many Comments: NAFI comments that requirements for a powered-lift rating. individuals who are planning to learn to proposed § 61.107 clarifies aircraft The minimum number of total hours fly will not do so because of the category and training requirements. required to obtain a private pilot increased costs. Approximately 30 commenters take certificate remained unchanged. NAFI also supports the reduction in issue with the FAA’s use of the term Comments: Approximately 140 cross-country distance requirements and ‘‘balloonport’’ in the proposed rule. This comments address issues related to the addition of night cross-country term is not addressed in proposed private pilot training requirements training. NAFI, however, disagrees with § 61.1(a), but as one commenter notes, proposed in Notice No. 95–11. the reduction in solo flight time the term is used in proposed §§ 61.107, AOPA comments that, although it requirements. According to the 61.127, and 61.187. Two commenters believes 5 hours of supervised pilot in commenter, applicants with no solo state that the term is known principally command is an excessively low figure, experience should be required to obtain as a commercial name or a proprietary it supports the proposal because it 15 hours of solo time before carrying name for a dealership of one brand of stresses the concept of training to a level passengers. However, NAFI balloon. Commenters ask that another of competency rather than training recommends developing a system to term be defined and used, such as consisting of an arbitrary number of credit solo time in flight vehicles ‘‘other ‘‘launch and landing field’’ or ‘‘launch hours. AOPA also supports the than certificated aircraft,’’ such as and landing site.’’ Commenters note that reduction in the distance requirement ultralights, to satisfy part 61 balloonists use fields, parks, or airports for the solo cross-country flight from requirements. for their operations, and the term used 300 nautical miles to 100 nautical miles. NBAA states that the proposed should not be restrictive as to the takeoff AOPA believes that there is no merit in reduction in supervised pilot-in- or landing location. requiring three takeoffs and three command time is excessive and FAA Response: In response to landings to a full stop at an airport with recommends a minimum of 10 hours. commenter concerns, the term an operating control tower, and that this HAI also expresses concern about the ‘‘balloonport’’ was replaced with the proposed requirement will constitute a reduction in this requirement because it term ‘‘airport’’, and the term ‘‘lift offs’’ burden in cases where a towered airport will result in private pilots with a low was replaced with the term ‘‘launches’’. is not available within a reasonable level of experience. The FAA also is not proposing separate distance. NATA comments that 5 hours of flight proficiency requirements for In its comment, AOPA expresses supervised pilot-in-command time is powered and nonpowered gliders. This concern about § 61.109(a)(2)(v), which insufficient to build a private pilot’s issue is discussed in section IV,F. proposes supervised pilot in command confidence and recommends that at training requirements in multiengine least 15 hours be required. NATA Section 61.109 Aeronautical aircraft for the issuance of a private pilot further states that a single supervised experience. certificate with a multiengine rating. cross-country flight of 100 nautical The FAA consolidated all AOPA states that it is unaware of any miles is inadequate to acquire cross- aeronautical experience requirements insurance company that will insure, or country skills. The commenter for private pilots in proposed § 61.109. an FBO that will allow, a pilot to fly recommends requiring at least three The FAA proposed to change the title of solo in a multiengine aircraft without a cross-country flights, including one this section from ‘‘Airplane rating: multiengine rating. According to AOPA, flight of at least 250 nautical miles with aeronautical experience’’ to if the intent of the provision is to at least one leg of 100 nautical miles. ‘‘Aeronautical experience’’ to reflect the require an applicant to log supervised GAMA opposes the reduction of the consolidation of these requirements. pilot in command flight while the sole minimum supervised pilot-in-command The FAA also proposed separate occupant of the aircraft, this will result time to 5 hours for private pilots. GAMA aeronautical experience requirements in a serious obstacle to multiengine feels that flight time as the sole for each aircraft category and class training. The commenter states that this manipulator of an aircraft’s controls is rating. An applicant seeking a single- proposal is an example of how the critical to the development of a skilled, engine or multiengine airplane rating change of terminology from ‘‘solo’’ and safe pilot. GAMA agrees with the would be required to meet the ‘‘dual’’ to ‘‘training time’’ and proposal of NAFI and NATA to require aeronautical experience requirements in ‘‘supervised pilot in command’’ results at least 15 hours of supervised pilot-in- a single-engine airplane, and an in confusion. command time. GAMA states that, applicant for a private pilot multiengine SSA believes that the proposal to while a minimum number of supervised rating would be required to meet these allow tailoring of instruction to more pilot in command cross-country hours is Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16265 not necessary, the number of required increased if this proposal were adopted. hours required for each certificate, flights should be revised to ensure GAMA states that the requirement provides instructors with flexibility in proper training and the fostering of skill would provide an important educational determining the amount of dual and and experience. GAMA recommends experience by exposing the pilot to a solo training required for each student. that the rule require a minimum of three much broader flight environment under The FAA has decided not to adopt the cross-country flights including two a supervised situation. concept of supervised pilot in command flights with a landing point more than AOPA generally supports placing as set forth in Notice No. 95–11, and has 50 nautical miles from the original greater emphasis on night training for therefore replaced references to departure point, and one flight of at private pilot applicants and states that ‘‘supervised pilot in command’’ time least 300 nautical miles, with landings the proposed night cross-country flight with ‘‘solo’’ time. at a minimum of three points, one of training requirement will increase The proposal does not compromise which should be at least 100 nautical safety. The commenter, however, safety because the total number of hours miles from the original departure point. requests clarification concerning the required for the issuance of a private GAMA states that because a term ‘‘duration’’ and asks whether the pilot certificate remains unchanged. The disproportionate number of accidents cross-country flight is intended to be rule should encourage increased involving private pilots occur at night, 100 miles total (50 miles out and 50 training and help reduce overall costs. requiring a dual, night cross-country miles return) or if the flight is to be 100 It appears that some commenters flight would add to the margin of safety. miles from the point of departure (200 misunderstood the proposal, because HAI points out that meeting the cross- miles total). AOPA supports a 100-mile their concerns implied that the total country flight requirement for round trip because the longer flight number of hours would be reduced, helicopters does not require a flight of would be difficult to achieve in the which is not the case. The FAA has, 50 miles between takeoff and landing summer months. The commenter would however, increased solo flight time points, and that the cross-country oppose the proposal if it required a requirements and solo cross-country definition in proposed § 61.1a(e), which flight of 200 miles total distance. flight distance requirements in the final specifies 50 miles, is not consistent with Some commenters suggest raising the rule in order to meet the minimum this provision. minimum flight hour requirements for requirements under Annex 1 to the Some individual commenters also the private certificate with a balloon Convention on International Civil disagree with changes to the proposed rating. One commenter suggests that 15 Aviation. supervised pilot in command cross- hours rather than 10 hours should be The FAA believes that night cross- country requirement, advocating required because much time is spent country training should be required for retention of the existing requirement for reviewing and relearning, apparently private pilot applicants because a 10 hours of cross-country time which due to weather-caused interruptions in private pilot may later be placed in includes at least one long cross-country training. Two commenters state that the circumstances where the pilot may flight. Some commenters state that the requirements of proposed inadvertently fly at night, without proposed supervised pilot in command § 61.109(d)(2)(i) for two flights within appropriate night training. This issue experience hour requirement is too low. 60 days of application for a private was identified as an area of concern in One commenter suggests that the balloon rating are excessive, because of the FAA’s Job Task Analysis. Increased requirement for one 100-nautical-mile the nature of balloon operations and night flight training will reduce the cross-country flight could be impractical scheduling difficulties. issuance of certificates with a night in certain areas during certain times of NAFI opposes the new requirements flying limitation, as well the associated the year. The commenter agrees with the under § 61.109(c) for airship instrument administrative costs to the FAA in proposal for 3 hours of instrument training because some ‘‘hot air blimps’’ reissuing such certificates when the training for private pilot applicants. currently are being built as ultralight limitation is removed. In response to Another commenter opposes the and experimental aircraft, and these AOPA’s request, the FAA has clarified proposed requirement in § 61.109 for 3 aircraft do not have sufficient electrical the cross-country requirements in this hours of instrument dual instruction in power for IFR instrumentation. NAFI section by replacing the word an airplane for private pilot training. states that the proposal would ‘‘duration’’ with the term ‘‘total Individual commenters take issue effectively eliminate all private pilot distance.’’ with the night flight proposals; some training for ‘‘hot air blimps,’’ and pilots Regarding the proposal for required state that night flight in a single-engine would be forced to operate the aircraft solo flight in multiengine aircraft for airplane is too hazardous. At least one as ultralights, possibly without the pilots seeking that rating, the FAA is commenter believes that the night cross- benefit of training from a certificated convinced by the commenters’ country flight training requirement flight instructor. NAFI comments that arguments and has modified the final proposed under § 61.109(a)(1) would this would not advance safety. One rule to require that an applicant not require that a flight instructor be on individual commenter also states that accomplish solo flight in an airplane. board, and suggests that a flight the instrument training proposed for This would allow an applicant for a instructor be required. Another opposes private pilot certification under multiengine rating to accomplish solo the night cross-country requirement for § 61.109(c) should not be required flight time requirements in a single- single-engine airplanes completely, because many airships are not equipped engine airplane. The FAA believes that while another advocates reducing the for instrument flight. a similar problem to that presented by requirement from 100 nautical miles to NAFI opposes the new night flight the commenters could arise for 50 nautical miles. requirements of proposed § 61.109(c) for powered-lifts, and has made a similar GAMA, NAFI, and NATA support the airship training. NAFI states that these modification to the regulations proposed night cross-country aircraft do not have sufficient electrical applicable to those aircraft requiring requirements and state that safety will power for navigation lights, in some that solo flight time be accomplished in be enhanced by the adoption. NATA cases. an airplane or powered-lift. The FAA also approves of the proposed night FAA Response: The FAA believes the recognizes HAI’s concern regarding an takeoff and landing requirements and change in the composition of dual and inconsistency with the definition of states that student confidence would be solo time, within the total number of ‘‘cross-country,’’ and has revised the 16266 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations cross-country requirements for rotorcraft required to comply with the night-flying section. No substantive comments were accordingly. requirements for the private certificate received. The final rule has been Currently the FAA requires training within the 12-calendar-month period modified to restore detailed provisions within 60 days of application for a after issuance of the certificate. If that from the existing rule that were practical test in a balloon. The FAA, in person did not comply with the inadvertently omitted in the proposed order to clarify what is meant by requirements within that period, the rule. ‘‘training,’’ is requiring a minimum of certificate would be suspended until the Section 61.113 Private pilot privileges two flights within 60 days of person complied the requirements. application. The FAA considers this Paragraph (b)(3) was proposed to and limitations: Pilot in command. requirement reasonable to ensure proper explain the night flying experience, In Notice No. 95–11, the FAA preparation for the practical test. endorsement, and practical test portion proposed to include the provisions of The FAA disagrees with NAFI requirements of § 61.109 that must be existing § 61.118 in proposed § 61.113. regarding night flight requirements for met in order to have the ‘‘night flying The revised aeronautical experience airships, and finds that the majority of prohibited’’ limitation removed. requirements for a rotorcraft category airships do have sufficient electrical Comments: AOPA states that, while it rating found in existing § 61.113 were power to operate at night. The FAA supports the added flexibility of the included in proposed § 61.109. believes that night flight training should night flying exception rule, it opposes Proposed paragraph (c) specified the be required for airships as these aircraft the language of § 61.110(b)(2) that flight operating expenses that a private currently operate at night in the NAS. would suspend the airman’s certificate pilot may share with passengers. A more Therefore, the FAA will require night if the pilot does not complete the night detailed discussion of this proposal, training in airships. training requirements within 12 including comments and FAA response, To address commenters’ arguments calendar months. AOPA states that the is addressed with regard to the similar against required instrument training in FAA certificates numerous pilots each proposed change to § 61.101(a). airships that may not be equipped for year with permanent night flight Proposed paragraph (d) modified the instrument flight, the FAA has modified restrictions, and there is no reason why requirements for participation in an the requirements to state only that Alaskan airmen should be singled out airlift sponsored by a charitable instrument training is required, without for suspension of their certificates organization. referring specifically to airships. simply because they fail to remove their In proposed paragraph (e), private The FAA also has modified the night flight restrictions. pilots were permitted to receive proposed requirements for the issuance FAA Response: The FAA points out reimbursement for expenses incurred of a glider rating to be consistent with that a change in the proposed and final while performing search and location the decision not to establish separate rules to § 61.109 will disqualify all operations for law enforcement agencies class ratings for powered and applicants from being issued certificates or other organizations that conduct nonpowered gliders. Additionally, the without meeting night flying these operations. FAA has included provisions as set requirements, unless they qualify for an Proposed paragraph (f) permitted a forth in Amendment No. 61–100, which exception under § 61.110. Therefore, the private pilot who met the requirements permit credit to be given for the use of 12-month limit of § 61.110 does not of proposed § 61.69 to act as pilot in an approved flight simulator or discriminate against Alaskan airmen, command when towing gliders. approved flight training device. but rather allows them a special Proposed § 61.113 eliminates specific privilege. In the final rule, the 12-month provisions permitting a salesman who Section 61.110 Night flying exceptions limitation remains, but the FAA has has logged at least 200 hours to for private pilot certification. deleted language referring to the demonstrate an aircraft in flight to a The FAA proposed to establish the issuance of a 12-month temporary prospective buyer. night flying exceptions for private pilot certificate, because existing FAA Comments: The commenter’s certification in § 61.110. temporary certificates are valid for 120 opposition to the proposed paragraph In proposed paragraph (a), an days. The FAA has also added a (c) definition of operating expenses that applicant with a medical restriction provision that a person seeking to obtain may be shared is discussed in the prohibiting the operation of an aircraft this exception must both receive the analysis of the proposed provision of at night would not be required to meet flight training for the certificate and § 61.101(a). the night flight training requirements reside in the State of Alaska. With respect to proposed paragraph and would be issued a certificate with By deleting the exception for pilots (e), the National Headquarters for the a limitation prohibiting night flying. who have night flying restrictions due to Civil Air Patrol (CAP) states that the It was proposed in paragraph (b) to medical conditions, these pilots will proposed rule fails to include permit an applicant who accomplishes now be required to have 3 hours of night maintenance expenses as reimbursable flight training in Alaska to have 12 flight training. However, the certificates for pilots flying humanitarian-type months after the issuance of the of such pilots will be issued with an missions, and that the rule incorrectly applicant’s temporary airman certificate operating limitation prohibiting night assumes that such activity is always to comply with the night flight training flying. The FAA has determined that under the direction of law enforcement requirements. Alaska is unique in that 6 safety will be enhanced because this agencies. The commenter states that, months out of the year there is limited requirement will reduce the likelihood depending on the definition of ‘‘airport nighttime. However, under proposed of pilots later being placed in expenditures,’’ the omission of paragraph (b)(2), an applicant who circumstances where they may be maintenance costs in the definition receives flight training in Alaska and is required to engage in flight at night might require the CAP to continue to unable to accomplish the night flying without appropriate night training. operate under an exemption in order to training required by proposed § 61.109 maintain current privileges. The would be issued a temporary pilot Section 61.111 Cross-country flights: commenter also requests that the rule be certificate for only 12 calendar months, Pilots based on small islands. modified to account for the agencies, with a limitation ‘‘night flying In Notice No. 95–11, the FAA only other than law enforcement, for which prohibited.’’ That person would be proposed minor editorial changes to this the CAP often flies missions. These Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16267 include the FAA, FEMA, the Red Cross, are identical to the exemption’s Section 61.121 Applicability. and State and local Emergency conditions and limitations, the FAA has The FAA did not propose any Management Agencies. AOPA supports codified those conditions and substantive changes for this section, nor adding search and rescue operations to limitations in this final rule. were any substantive comments After further review, the FAA has the list of operations for which private received. The FAA has adopted this decided to reinstate the provision pilots may receive reimbursement. In section as proposed. contrast, HAI objects to the search and allowing a private pilot who is an rescue provisions in proposed aircraft salesman and who has at least Section 61.123 Eligibility § 61.113(e). HAI contends that this 200 hours of logged flight time to requirements: General. proposal will only encourage the demonstrate an aircraft in flight to a In Notice No. 95–11, the FAA proliferation of this kind of activity. The prospective buyer. The FAA has proposed to revise this section and commenter believes that these kinds of concluded that these operations would include new eligibility requirements for operations are best dealt with through not be ‘‘incidental to business,’’ and commercial pilot applicants. the exemption process. therefore is reinstating this provision In proposed paragraph (b), the FAA SSA approves of proposed § 61.113(f) into the final rule. added a requirement that an applicant permitting private pilots who meet the be able to write in the English language. requirements of § 61.69 to act as pilot in Section 61.115 Balloon rating: In addition, applicants would have been command of an aircraft towing a glider. Limitations. required to meet the English language SSA points out that the explanation on Proposed § 61.115 includes the requirements, eliminating the existing page 41207 of the Notice No. 95–11 provisions of existing § 61.119. Also, the provision under which an applicant indicates that the pilot will be able to provisions of existing § 61.115 were who cannot read, speak, and understand log this time. SSA suggests that included in proposed § 61.109. the English language may receive a § 61.113(f) be modified to this effect. The proposed changes to this section FAA Response: In response to were the classification of balloons as certificate with an operating limitation, objections to the language of proposed either ‘‘gas balloons’’ or ‘‘balloons with as deemed necessary by the § 61.101(a) as well as § 61.113(c), the airborne heaters,’’ and the deletion of Administrator. FAA has decided to add ‘‘rental fees’’ to references to the terms ‘‘hot air balloon In proposed paragraph (c), the FAA this list of allowable shared expenses in without airborne heater’’ and ‘‘free proposed that an applicant only hold a both those sections, as discussed in the balloon.’’ The proposed rule also third-class medical certificate at the analysis for § 61.101(a). This language is incorporated the existing operating time of the practical test. However, as in therefore added to § 61.113(e) in the limitations for a private pilot who the existing rule, a commercial pilot was final rule. The CAP’s concerns regarding performs his or her practical test in a gas still required to hold a second-class types of agencies that conduct search balloon as opposed to those who medical certificate for operations and location missions were noted, and perform the test in a balloon with an requiring a commercial pilot certificate. the term ‘‘law enforcement’’ has airborne heater. The language of the Also in the proposed paragraph, the therefore been deleted from paragraph operating limitations specified in this existing medical requirements for (e)(1) in the final rule. section clarified that a person requesting applicants who desired a rating in a In response to CAP’s comments removal of the current operating glider or a balloon were revised. regarding the omission of any limitations from his or her certificate The FAA proposed in paragraph (d) to provisions permitting a private pilot to would be required to obtain the required require an applicant to specifically be reimbursed for maintenance costs, aeronautical experience in the specific receive an endorsement from the ground the proposed rule did not specifically type of balloon and receive a logbook or flight instructor who gave the provide for reimbursement of endorsement from an instructor who applicant training or reviewed the maintenance costs, and neither does the attests to the person’s accomplishment applicant’s home-study course, stating final rule. Any reimbursement for of the required aeronautical experience that the applicant is prepared for the compensation of maintenance costs will and ability to satisfactorily operate that knowledge test. be handled on a case-by-case basis balloon. Proposed paragraph (i) required an through the exemption process. In No substantive comments were applicant to hold a private pilot addition, CAP commented that the rule received, and the FAA has incorporated certificate, before applying for a be modified to account for agencies this section into the final rule with only commercial pilot certificate. other than law enforcement agencies for minor editorial changes. Comments: AOPA objects to the which it operates. In Notice No. 95–11, proposal in § 61.123(i) to require the FAA proposed to allow pilots under Section 61.117 Private pilot privileges commercial pilot applicants to hold a the direction and control of an and limitations: Second in command of private pilot certificate as a prerequisite ‘‘organization that conducts search and aircraft requiring more than one pilot. for taking the commercial pilot practical location operations’’ to be reimbursed. Proposed § 61.117 includes the examination for all classes and The FAA has determined that this provisions of existing § 61.120. No categories of aircraft. AOPA believes addresses CAP’s concerns and is substantive comments were received, that the requirements for the adopting the final rule as proposed. and the FAA has adopted this section as commercial certificate stand alone as In response to HAI’s comment that proposed. adequate preparation for any applicant search and location operations should for the commercial certificate regardless remain under the exemption process, Subpart F—Commercial Pilots of whether or not they have ever held since the early 1980’s the FAA has The proposal to establish separate another certificate. NAFI supports the permitted private pilots to perform subparts for student pilot certificates proposed requirement for commercial search and location operations, and has and recreational pilot certificates applicants to possess a private pilot continually reissued those exemptions required the regulations for commercial certificate. According to the commenter, without any known problems. Provided pilot certificates and ratings to be the time and experience acquired in that pilots comply with the relocated from subpart E in the existing preparation for the private is necessary requirements in this final rule, which rule to subpart F in the proposed rule. for pilots to learn their personal 16268 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations limitations. An individual commenter omitted and should be included in changes, the final rule is adopted as states that an instrument rating should § 61.125(b)(5). AOPA favors the concept proposed. be listed in the commercial pilot of teaching aeronautical decision Section 61.129 Aeronautical applicant eligibility requirements of making and judgment as part of experience. § 61.123. commercial pilot training, but it cannot FAA Response: For reasons discussed accept the proposed requirement In Notice No. 95–11, the FAA in section IV,G, the final rule inserts without a definition of what must be proposed to consolidate all aeronautical language restoring the option for the taught and to what standards. AOPA experience requirements for commercial Administrator to place an operating encourages the FAA to elaborate on the pilots in § 61.129. The FAA therefore limitation on an applicant’s pilot specific nature of this training in the proposed to change the title of the certificate, waiving the applicant’s preamble to the final rule. existing § 61.129 to ‘‘Aeronautical English language requirements based on FAA Response: In response to experience.’’ Within proposed § 61.129, medical reasons. As discussed in the GAMA’s concern regarding the the FAA organized these requirements analysis of § 61.23, the rule has placed exclusion of training in wake turbulence by category and class of aircraft. all medical requirements into that recognition and avoidance, the FAA Proposed paragraphs (a) through (g) section. notes that this training is required to be listed revised and separate aeronautical In response to AOPA’s comment, the provided to all private pilots as experience requirements for the airplane existing rule requires that persons specified in § 61.105(b)(7). The rule also single-engine rating, airplane seeking a commercial certificate in requires that all applicants for a multiengine rating, rotorcraft helicopter airplanes must either hold a private commercial pilot certificate possess a rating, rotorcraft gyroplane rating, glider pilot certificate or meet the private pilot certificate, thereby powered rating, glider nonpowered requirements for holding a private pilot ensuring that such training has been rating, lighter-than-air airship rating, certificate. A commercial pilot applicant received. Regarding AOPA’s concern on lighter-than-air balloon rating, and is therefore required to have completed the need for guidance material regarding powered-lift rating. the ground and flight training for a aeronautical decision making, the FAA The FAA proposed specific revisions private pilot certificate, and have passed points out that AC 60-22, ‘‘Aeronautical to the aeronautical experience the required knowledge and practical Decision Making,’’ contains such requirements for commercial pilots by tests before making an application for a guidance. establishing more flexible training commercial pilot certificate. Private requirements for commercial pilot pilot applicants are tested on a number Section 61.127 Flight proficiency. applicants and by integrating the of tasks that commercial pilot applicants In Notice No. 95–11, the FAA concept of supervised pilot in command are not tested on. The FAA wants to separated and revised areas of operation into the proposed aeronautical ensure that all commercial pilots the airplane single-engine rating, experience requirements. The proposal possess the aeronautical knowledge and airplane multiengine rating, rotorcraft decreased the amount of dual flight proficiency that must be mastered helicopter rating, rotorcraft gyroplane instruction time an applicant would be by all private pilots. The FAA has rating, glider nonpowered rating, glider required to possess prior to obtaining a determined that the requirement will category powered rating, lighter-than-air certificate. not be an additional regulatory burden airship rating, lighter-than-air balloon The proposal also established or economic burden because experience rating, and powered-lift rating. aeronautical experience requirements has shown that nearly all persons The proposal specifically required an for a powered-lift rating. The minimum seeking commercial pilot certificates applicant for a glider category rating to number of total hours required to obtain already possess at least a private pilot receive training on launches, a commercial pilot certificate remained certificate. In the final rule, other minor approaches, and landings if applying for unchanged. editorial and formatting changes to the a nonpowered class rating, in proposed Within the category-and class-specific proposed rule were also made. Except paragraph (g); and takeoffs, landings, paragraphs, where applicable, the FAA for these changes, the final rule is and go-arounds if applying for a revised the existing solo requirements, adopted as proposed. powered class rating, in proposed dual training time requirements, dual paragraph (h). No substantive comments cross-country requirements, night flight Section 61.125 Aeronautical in opposition to this proposal were requirements, and instrument training knowledge. received. time requirements, specifying that these The FAA proposed to establish FAA Response: In the final rule, the requirements actually should be aeronautical knowledge requirements proposed ‘‘ground reference performed in the appropriate category that are applicable to applicants for all maneuvers’’ were deleted from the areas and class of aircraft. Also, two new dual commercial pilot certificates. of operation for the gyroplane rating, cross-country requirements were added: In proposed paragraph (b), the FAA because it is not a task that is required one for day VFR and one for night VFR modified the aeronautical knowledge to be tested in gyroplanes and was flight. For airplanes, the FAA specified requirements to include training on inadvertently included in the proposal. that the complex airplane requirements additional subjects such as windshear As a result of the FAA’s decision not to must be class-specific, although a avoidance, and aeronautical decision adopt flight instructor certificates for the provision was added permitting the use making and judgment. lighter-than-air category, as discussed in of a turbine-powered airplane in lieu of Comments: GAMA supports the section IV, C, the areas of operation an airplane that has retractable landing addition of windshear recognition and associated with flight instruction have gear, flaps, and a controllable pitch avoidance, aeronautical decision been added to the required areas of propeller. making, and night and high-altitude operation for airship and balloon Comments: GAMA supports requiring operations to the commercial pilot ratings. The FAA also is not adopting applicants for commercial pilot aeronautical knowledge requirements. separate flight proficiency requirements certificates to have training and GAMA believes that the statement for powered and nonpowered gliders. demonstrate proficiency in the same ‘‘including recognition and avoidance of This issue is discussed in section IV,F. category and class of aircraft for which wake turbulence’’ was unintentionally Apart from these and minor editing a rating is sought. According to GAMA, Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16269 pilots who want to exercise commercial instructors who can provide the the option of obtaining a commercial privileges in these types of aircraft will required instrument training. The pilot certificate without an instrument need to undergo this training, so any commenter states that most helicopter rating was being eliminated. additional cost is minimal and the instructors are not instrument FAA Response: The FAA has retained margin of safety would be improved. instructors or even instrument rated, the requirements for class-specific NATA opposes the requirement in and, therefore, a transition period will training, however the final rule is proposed § 61.129 (a)(3)(ii) and (b)(3)(ii) be necessary to train instructors to give revised to permit certain requirements that 10 hours of complex training be this instruction. In addition, HAI such as the solo flight requirements for class specific in a single-engine airplane recommends deleting the instrument the multiengine airplane rating, to be and/or a multiengine airplane. NATA training requirement for gyroplanes in met in any class of aircraft within an believes that due to the high cost of proposed § 61.129(d)(3)(1) on the aircraft category. In response to HAI’s training in complex aircraft, the class- grounds that there are no instrument- comment regarding the performance of specific requirement greatly increases equipped gyroplanes at this time. emergency maneuvers without an the financial burden on students AOPA also references HAI’s instructor on board the aircraft, the FAA without additional training benefits. comments regarding rotorcraft notes that other training maneuvers The commenter specifically states that commercial pilot certification, and such as stalls and slow flight, that are the prior option available to students of expresses similar concerns with respect routinely performed in solo flight by using multiengine time to satisfy single- to the instrument requirements for the pilot applicants may, when improperly engine complex time requirements, commercial airship rating. AOPA performed, result in situations that would be eliminated without reiterates concerns similar to those adversely affect the safety of a flight. justification. The commenter contends raised in its comments regarding the The FAA contends that these maneuvers that neither aircraft training time nor requirements for supervised pilot in when properly performed pose no cross-country time requirements should command training for private pilots adverse risk to the safety of the flight. be class specific. with multiengine ratings. Flight instructors should ensure that In its comment, HAI objects to the Many individual commenters echoed emergency maneuvers, like other requirements in proposed § 61.129(a)(4), AOPA’s concerns regarding supervised maneuvers, only be performed in solo (b)(4), and (c)(4) for supervised pilot in pilot in command training for pilots flight after an instructor determines that command on the approved areas of seeking multiengine ratings. These such maneuvers may be safely operation listed in § 61.127. The commenters express concerns regarding performed by the applicant, and under commenter contends that the proposal the safety and ability to obtain any restrictions that may be established would require the performance of insurance coverage for such flights. One by the instructor to ensure the safety of emergency maneuvers that should not commenter states that the proposal the flight. be performed without an instructor. HAI contains requirements for training that The FAA acknowledges AOPA’s also questions the 5 hours of night are not appropriate to the category and argument that solo time in multiengine supervised pilot in command required class of aircraft specified. Some airplanes may be impractical due to in proposed § 61.129(a)(4)(iii), (b)(4)(iii), individual commenters also state that liability and insurance concerns, and is and (c)(4)(ii). The commenter questions the instrument training in proposed therefore replacing the term ‘‘supervised whether it is wise to have private or § 61.129(c)(3)(i) should not be required pilot in command flying’’ with ‘‘flight nonrated pilots flying at night without because many helicopters are not time performing the duties of pilot in an instructor. With regard to the equipped for instrument flight. For command with an authorized commercial helicopter rating, HAI example, a commenter notes that instructor’’ for multiengine airplanes. recommends removing proposed proposed § 61.129(d)(3) would require 5 The FAA has therefore deleted any §§ 61.129(c)(3)(iii) and 61.129(c)(4)(ii), hours of instrument training for the requirement for solo flight time in a and combining these sections into a new gyroplane rating, and a 2-hour cross- multiengine aircraft. paragraph (5) that would require 5 hours country flight. But the commenter states In response to the concerns of HAI of flight time in night VFR conditions, that there are no gyroplanes equipped and others regarding the hazards of which would include: one cross-country for IFR flight, and there are no increased night training, the FAA flight in a helicopter of at least 2-hours gyroplane instrument ratings or reiterates its view that safety will be duration and a total straight line instrument instructors. The commenter enhanced because it increased night distance of more than 50 nautical miles states that the only two certified training requirements, which will from the original point of departure; and gyroplanes used for training, the reduce the likelihood of pilots later 10 solo takeoffs and landings, each McCullock J2 and Air & Space 18A, are being placed in circumstances where involving an en route phase of flight. not capable of a 2-hour flight with they may be required to engage in flight Most helicopters are not equipped for reserves. The individual commenter at night without appropriate experience. instrument flight, and HAI contends also takes issue with the proposed The FAA concurs with the comments that its recommended change will requirement under § 61.129(d)(3) for 20 of HAI and others that instrument prevent the safety hazard of low-time hours of training in the areas of training may be impractical in helicopter pilots and students flying operation under § 61.127(e), stating helicopters and gyroplanes and has helicopters away from an airport at there is no reason to increase the accordingly removed category and class- night without an instructor on board the required training hours, especially given specific references to the instrument aircraft. that private pilot requirements would be training requirements in § 61.129 for HAI also addresses the proposed reduced. helicopters and gyroplanes. Similarly, instrument training requirements for SSA opposes proposed § 61.129(f) and in response to AOPA and other helicopters in § 61.129(c)(3)(i). The suggests different requirements for a commenters, the FAA has modified the commenter states that, while the need commercial certificate with a glider instrument requirements for airships. for instrument training in a helicopter is rating. Upon reviewing SSA’s comments, and necessary, the availability of helicopter Several individual commenters as a result of the FAA’s decision not to CFIs is very limited. HAI therefore opposed proposed § 61.129(a) adopt the proposed separation of the suggests expanding the types of flight requirements because they believed that glider category into powered and 16270 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations nonpowered classes in the final rule, as restriction prohibiting the operation of on cross-country flights of more than 50 discussed in section IV,F, the an aircraft at night would not have been nautical miles or at night. The same requirements for gliders are clarified required to meet the night flight training limitation was proposed for commercial and consolidated under one paragraph. requirements and be issued a certificate pilots with a powered-lift category The FAA has also included provisions with a limitation prohibiting night rating, without an instrument powered- set forth in Amendment No. 61–100, flying. In addition, an applicant who lift rating; and a lighter-than-air category which permit credit to be given for the accomplished flight training in Alaska and airship class rating, without an use of an approved flight simulator or would have had 12 months after the instrument airship rating. The FAA also approved flight training device. The issuance of a temporary airman proposed to revise the language ‘‘hot air FAA notes that Amendment No. 61–100 certificate to comply with the night balloon with airborne heaters’’ in inadvertently omitted the requirement flight training requirements. existing § 61.139, to ‘‘gas balloons’’ and for an applicant for a commercial pilot The provisions of prior § 61.131 ‘‘balloons with airborne heaters.’’ The certificate with an airplane rating to log ‘‘Rotorcraft ratings: Aeronautical proposal also revised the language for at least 100 hours of flight time in experience’’ were moved to § 61.129. the operating limitations that restrict the powered aircraft, at least 50 hours of Comments: AOPA is concerned about pilot privileges to the type of balloon in which must be in airplanes. This the special provisions regarding Alaskan which the person accomplishes the requirement has been reinstated in this airmen who hold temporary certificates practical test. final rule. with the limitation ‘‘night flying The FAA also eliminated from In addition, the FAA has added prohibited.’’ AOPA opposes the § 61.133(c) the privilege in existing language to the existing solo cross- wording of § 61.131(b)(2), which would § 61.139 for commercial pilots with a country requirements to ensure pilots suspend an airman’s certificate if the lighter-than-air category and associated meet minimum standards specified pilot does not complete the night class rating to give training in an airship under Annex 1 to the Convention on training requirements within 12 or free balloon, because of the proposed International Civil Aviation. The calendar months. AOPA states that the flight instructor certificate for the additional language requires that an FAA certificates numerous pilots each lighter-than-air category. applicant for a commercial pilot year with permanent night flight Comments: AOPA supports the certificate complete a solo cross-country restrictions, and there is no reason why clarification of the language in this flight of a total of not less than 300 Alaskan airmen should be singled out paragraph. nautical miles. The existing rule states for suspension of their certificates FAA response: Paragraph (a) is that a cross-country flight must have simply because they fail to remove their adopted as proposed with a minor landings at a minimum of three points, night flight restrictions. editorial change. As discussed in FAA Response: AOPA’s objection is one of which is at least a straight line section IV,D, the FAA has withdrawn noted and addressed in the FAA’s distance of 250 nautical miles from the the proposal for an instrument airship response to AOPA’s comment in original point of departure. All rating and, consequently, the language § 61.110. As in that section, the FAA has commercial pilot applicants with a relating to this rating was withdrawn eliminated the reference to a 12-month private pilot certificate currently meet from paragraph (b). As discussed in temporary certificate from § 61.131 in the total 300-nautical-mile requirement; section IV,C, the FAA has decided to the final rule, because current FAA however, private pilots certificated after withdraw the proposed flight instructor the effective date of this rule will not, temporary certificates are valid for 120 certificate and allow, in paragraph (c), due to the decrease in the solo cross- days. In addition, by deleting the commercial pilots with a lighter-than-air country flight requirements for private exception for pilots who have night category and associated class rating to pilots set forth in this rule. The FAA flying restrictions due to medical give training in an airship or free wants to ensure that the requirements conditions, these pilots will now be balloon. Except for the changes under Annex 1 to the Convention on required to have 3 hours of night flight previously discussed, as well as format International Civil Aviation are training. However, the certificates of and editorial changes, this section is specifically met, to facilitate the such pilots will be issued with an being adopted as proposed. acceptance of U.S. pilot certificates operating limitation prohibiting night internationally. flying. The FAA has determined that Subpart G—Airline Transport Pilots Additionally, because the FAA has safety will be enhanced because this Section 61.151 Applicability withdrawn the proposal to establish a requirement will reduce the likelihood separate airship instrument rating, the of pilots later being placed in In Notice No. 95–11, the FAA FAA is reinstating the instrument circumstances where they may be proposed to establish a section in aeronautical experience requirements required to engage in flight at night subpart G specifying the applicability of found in existing § 61.135(c) into without appropriate night training. the subpart. No substantive comments paragraph (g)(3) of the final rule. An were received on this section, and it is Section 61.133 Commercial pilot applicant seeking a commercial pilot adopted as proposed. privileges and limitations: General. certificate with an airship rating must The FAA proposed to clarify the Section 61.153 Eligibility have 40 hours of instrument time, of requirements: General which at least 20 hours must be in privileges for persons who hold a flight, with 10 hours of that flight time commercial pilot certificate with respect In § 61.153, the FAA proposed that an in airships. to the exercise of certificate privileges applicant for any ATP certificate hold a for compensation or hire issue. In commercial pilot certificate with an Section 61.131 Exceptions to the Notice No. 95–11, the FAA proposed to instrument rating that is appropriate to night-flying requirements for the add the limitation that was in existing the category and class of aircraft for the commercial pilot certificate. § 61.129 to proposed § 61.133(b), which rating sought. The FAA also proposed to Proposed § 61.131 deleted the prohibits commercial pilots with an delete the current provision that allows exception for applicants who are not airplane category rating, but without an an applicant to be concurrently enrolled seeking night flying privileges. instrument airplane rating, from in an instrument rating course upon However, an applicant with a medical carrying passengers for hire in airplanes application for the certificate. The Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16271 minimum age requirement of 23 years to go through the paperwork to obtain a held an ATP certificate with the take the practical test, but not to take the commercial certificate with an appropriate category rating. knowledge test, was retained. The FAA instrument rating if at the end of ATP Comments: GAMA supports the also proposed to permit an applicant for training the applicants will have inclusion of windshear and microburst an ATP certificate to hold only a third- exceeded those requirements. HAI awareness, identification and class medical certificate, while the first- proposes that the rule only require an avoidance, flight crewmember class medical certificate would continue applicant to ‘‘meet’’ these requirements physiological factors, aeronautical to be required to exercise the privileges instead of ‘‘holding’’ the commercial decision making, and flight deck of the certificate. In addition, the certificate and instrument rating. resource management in the proposal eliminated the existing Some individual commenters also aeronautical knowledge requirements requirement for an applicant to be able objected to the elimination of the high for ATP applicants. GAMA believes that to ‘‘speak [the English language] without school diploma requirement for an ATP the statement ‘‘including recognition accent or impediment of speech that applicant. Another commenter endorses and avoidance of wake turbulence’’ was would interfere with two-way radio the proposed changes under § 61.153. unintentionally omitted and should be conversation.’’ However, applicants FAA Response: In response to included in § 61.155. were required in the proposed rule to comments regarding the proposed AOPA cannot support the proposed read, speak, write, and understand the English language requirements the requirement for aeronautical decision English language to be eligible to apply provisions regarding English language making and judgment training until for the ATP certificate. The proposal proficiency have been standardized such time as the material and standards eliminated the requirement that an throughout part 61, as discussed in for this training are disclosed. AOPA applicant be a ‘‘high school graduate or section IV,G. The stated requirement for believes that consideration should have its equivalent in the Administrator’s an applicant for an ATP certificate to been given to training in air traffic opinion, based on the applicant’s possess only a third-class medical delays because ATPs are the pilots most general experience and aeronautical certificate has also been placed in likely to need this type of training. experience, knowledge, and skill.’’ In § 61.23 as have similar requirements for Approximately 40 comments address keeping with procedures for other other pilot certificates. A first class the general issue of requiring training in knowledge tests, proposed § 61.153 medical certificate however is still human factors, with more than half in permitted applicants to take the ATP required to exercise the privileges of the opposition. One individual commenter knowledge test before obtaining the ATP certificate. The FAA also contends calls the proposal ‘‘needless;’’ another aeronautical experience necessary for that all ATP applicants should possess states that while such training is the issuance of an ATP certificate. The the knowledge, skill, and experience worthwhile, it is not a regulatory issue. proposed rule also included required of a holder of a commercial ALPA, AsMA, and SSA support human requirements found in existing § 61.155 pilot certificate with an instrument factors training for all levels of pilot for applicants who are military pilots, rating. This level of initial proficiency certification. ALPA recommends adding and applicants who hold a pilot license in an ATP applicant can only be ‘‘pilot fatigue,’’ including both its causes issued by a member State of ICAO. ensured by requiring an applicant to and impact on operations, to the Comments: ALPA and NATA oppose meet the objective evaluation criteria for training curriculum. ALPA states that the deletion of the requirement for ATP the issuance of the commercial pilot the FAA should provide pilots and certificate applicants to have at least a certificate with an instrument rating. instructors with specific guidance and high school diploma. NATA states that Regarding ALPA’s and NATA’s references for study. SSA notes that the current requirement is necessary for comments on the elimination in this crew resource management applies even full comprehension of aircraft section of the requirement for a high to single-place aircraft by emphasizing information, and it can be used to school diploma, the FAA’s experience is the importance of an organized cockpit. encourage children who aspire to that ATP certificate applicants typically According to SSA, the soaring aviation careers to remain in school. achieve a higher level of education, community recognizes that hypoxia, ALPA comments that the complexity of which makes the existing requirement hypothermia, and other conditions modern air transport increases the need obsolete. affect the pilot, and training on the use for a strong academic background. A of oxygen is addressed in areas where Section 61.155 Aeronautical flights above 10,000 feet may be few individual commenters also knowledge. opposed deletion of this requirement. conducted regularly. SSA states that AOPA supports elimination of the Proposed § 61.155 combined the additional regulation in this area is not requirement that an applicant for an existing aeronautical knowledge required. ATP knowledge test must have 1,500 requirements of applicants for airplane FAA Response: The FAA purposely hours of flight time and possess a valid and rotorcraft ratings, and updated the deleted the recognition and avoidance first-class medical certificate. GAMA list of items of required aeronautical of wake turbulence as an aeronautical also supports the provision that permits knowledge for ATP applicants. These knowledge area for the ATP certificate. an applicant to hold only a third-class requirements would also apply to the This training was deleted because it is medical certificate when that person powered-lift rating. Proposed revisions provided at lower certificate levels applies for an ATP certificate, because included deleting references to air (student and private) and requiring it in it allows flexibility and encourages navigation facilities on Federal airways, § 61.155 would be duplicative of these training without decreasing safety. such as rotating beacons, course lights, requirements. The FAA, through this HAI opposes proposed § 61.153(e)(1) and radio ranges, and adding regulatory review, has made an effort to requiring an applicant for an ATP requirements such as physiological eliminate repetitive requirements, and certificate to hold at least a commercial factors, aeronautical decision making conform with the ‘‘step-by-step building pilot certificate and an instrument and judgment, windshear, and resource block’’ concept of pilot certification. rating. The commenter contends that it management. The proposal also clarified Also, the FAA has replaced the term is a burden to require applicants, that an applicant for a type rating would ‘‘flight crewmember physiological including foreign pilots entering an ATP not be required to take an additional factors’’ with ‘‘human factors’’ because program to upgrade their certificates, to knowledge test, if the applicant already the latter term encompasses the former, 16272 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations and is more commonly recognized and any check must be evaluated by a experience requirements for a rotorcraft understood in the aviation community. designated examiner or FAA inspector. category rating. No substantive As stated in the FAA’s previous comments were received. The section is Section 61.159 Aeronautical discussion of this issue, the FAA being adopted as proposed, and was experience: Airplane category rating. believes that training in human factors modified only to include provisions for and aeronautical decision making may The FAA proposed that § 61.159 the use of approved flight simulators decrease the number of accidents include the prior aeronautical and approved flight training devices. attributable to pilot error, because the experience requirements for an airplane implementation of similar training in air category rating with no substantive Section 61.163 Aeronautical carrier operations has decreased changes. experience: Powered-lift category rating. accident rates. This is further discussed Comments: AOPA states that although Proposed § 61.163 sets forth the in section IV,H. In response to ALPA’s this section was not changed in Notice aeronautical experience requirements comment, the FAA provides pilots and No. 95–11, proposed § 61.159(a)(3), for an ATP certificate with a powered- instructors with guidance materials which is based on an existing lift category rating. Existing § 61.161, regarding human factors and § 61.155(a)(3), is the source of ‘‘Rotorcraft rating: Aeronautical skill,’’ aeronautical decision making in: AC 67– considerable misinterpretation by was eliminated, and its existing 2, ‘‘Medical Handbook for Pilots’’; AC airmen and FAA personnel, and should provisions were covered in proposed 61–107, ‘‘Operations of Aircraft at be clarified. The problem lies in the use § 61.153. Altitudes Above 25,000 feet MSL and/ of the phrase ‘‘in actual flight,’’ which Comments: AOPA and NAFI object to or MACH numbers (Mmo) Greater Than has been interpreted incorrectly to mean the proposed section because of their .75’’; and in the Airline Transport Pilot, that the hours must be flown in actual objection to the FAA’s decision to Aircraft Dispatcher, and Flight IMC. AOPA requests that the rule be establish a powered-lift category rating. Navigator Knowledge Test Guide. changed to reflect the ‘‘correct and FAA Response: The FAA responded documented interpretation’’ that an to objections against the establishment Section 61.157 Flight proficiency. applicant for an ATP must have 75 of the proposed powered-lift category Proposed § 61.157 established the hours of instrument time in actual or rating in section IV,F. In the final rule, flight proficiency requirements for simulated IMC, 25 hours of which may the FAA removed the reference to applicants for airplane and rotorcraft have been obtained in a simulator or ‘‘actual’’ flight and changed the section ratings, and included separate and flight training device. AOPA also objects to include provisions for the use of revised areas of operation for the to proposed § 61.159(c) because there is approved flight simulators and airplane single-engine rating, airplane no provision for crediting second in approved flight training devices. multiengine rating, rotorcraft helicopter command time such as safety pilot time. rating, and the proposed powered-lift AOPA states that the FAA sought to Section 61.165 Additional aircraft rating. The proposed rule also included rectify this situation in Amendment 61– category and class ratings. specific approved areas of operation for 71, which ‘‘clearly states that all second Proposed § 61.165 contained the each rating. In addition, the proposed in command time that meets the provisions of existing § 61.165, rule clarified that the type ratings on a requirements of the current § 61.153(c) ‘‘Additional category ratings,’’ and superseded pilot certificate would be may be credited toward the ATP included provisions for a powered-lift elevated to the ATP certificate level, for aeronautical experience requirements.’’ category rating. the category and class of aircraft in FAA Response: The FAA agrees with Comments: AOPA and NAFI object to which a pilot satisfactorily AOPA’s arguments regarding the the proposed section because of their accomplished the ATP practical test. confusion produced by the phrase ‘‘in objection to the FAA’s decision to No substantive comments to this actual flight’’ and has deleted the word establish a powered-lift category rating. section were received. This section has ‘‘actual.’’ An incorrect reference to part FAA Response: The FAA responded been adopted as proposed and modified 119 certificate holders was also to objections against the establishment to include the provisions of §§ 61.153 eliminated. The FAA also agrees with of the proposed powered-lift category and 61.158, which pertain to the use of AOPA’s comment regarding safety pilots rating in section IV,F. The FAA adopted approved flight simulators or approved logging second in command time, and this section as proposed, with minor flight training devices to obtain an has added § 61.159(c)(1)(iii), which editorial changes. airplane or helicopter rating. The permits a safety pilot to credit second in Section 61.167 Privileges. changes were set forth in Amendment command time toward the total flight No. 61–100. The proposal has also been time requirements for an ATP Proposed § 61.167 contained the modified to include the provisions for certificate. In addition, the provisions of provisions of existing § 61.171. the use of approved flight simulators or proposed § 61.167(b) and (c) were Proposed § 61.167(b) also contained the approved flight training devices to placed in § 61.159(d) and (e) in the final limitations found in existing obtain a rating in a powered-lift. This rule. Provisions for the use of approved § 61.155(d). Those limitations applied to section also has been revised to include flight simulators and approved flight applicants who credit second in appropriate limitations for appropriate training devices were also included as command or flight engineer time in tests not taken under instrument flight set forth in the final rule, Amendment meeting the total time requirement for rules. No. 61–100. an ATP certificate. No substantive The FAA notes that Amendment No. comments were received to this section, 61–100 permits a proficiency check Section 61.161 Aeronautical therefore, the FAA is implementing the conducted under § 121.441 or checks experience: Rotorcraft category and proposed changes. However, the conducted under §§ 135.293 and helicopter class rating. provisions of § 61.167(b) and (c) in the 135.297 to satisfy the requirements of Proposed § 61.161 sets forth the proposed rule were moved to § 61.157. This final rule specifies that aeronautical experience requirements § 61.159(d) and (e) in the final rule, and these checks must include all for an applicant seeking an ATP the title of the section was changed from maneuvers and procedures required for certificate with a rotorcraft helicopter ‘‘General privileges and limitations’’ to the issuance of a type rating, and that rating. It includes the aeronautical ‘‘Privileges’’ because there are no Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16273 limitations in this paragraph. After respect to helicopters, and adds that the recreational pilot certificate. This was further review, the FAA has decided to shortage of helicopters equipped for an addition to the existing requirement restate the privileges in existing § 61.169 instrument training would make the for a flight instructor applicant to log in order to clarify that an ATP can requirement burdensome. If the instruction on the aeronautical continue to provide instruction in air proposal were implemented, HAI knowledge areas relating to the private transportation service and to include recommends a 2-year transition period and commercial pilot certificates. provisions for providing instruction in during which a CFI could continue to Proposed paragraph (b)(2) required a approved flight simulators and teach. flight instructor applicant to receive and approved flight training devices. Other With respect to proposed paragraph log ground training on the aeronautical clarifying and terminology changes were (j), SSA supports the requirement that a knowledge areas in which ground also made to this section. pilot must log at least 15 hours of pilot- training is required for an instrument in-command time in the category and rating, if that person is applying for a Subpart H—Flight Instructors class of aircraft prior to receiving an flight instructor certificate in the Section 61.181 Applicability. initial flight instructor certificate, but following categories and classes of feels it is an excessive requirement in aircraft: airplane single-engine, airplane No substantive changes were the case of additional ratings. The multiengine, airship, powered-lift, or proposed for this section, and it is commenter states that while the any instrument flight instructor rating. adopted as proposed. economic impact of the 15-hour Comments: NAFI approves of Section 61.183 Eligibility requirement for an initial instructor proposed § 61.185(a) requiring a logbook requirements. rating is minimal, the impact would be entry for aeronautical knowledge significant for additional ratings. SSA training, but the association feels In proposed § 61.183, the FAA revised proposes a minimum of 20 hours pilot strongly that this requirement should be the existing eligibility requirements for in command flight time and 5 hours in waived for certificated teachers. No flight instructors. In paragraph (b), the category for an instructor seeking to add other substantive comments were FAA proposed that an applicant be able a glider rating to a flight instructor received. to speak and understand the English certificate. FAA Response: The FAA agrees with language. The existing rule requires an FAA Response: The FAA concurs NAFI’s comment and has incorporated applicant to converse fluently. with the views of AOPA, HAI, and NAFI language in this section that excepts In proposed paragraph (c), the FAA that requiring an applicant for a flight certain individuals, including added requirements for an applicant for instructor certificate with a helicopter certificated teachers, from meeting the a flight instructor certificate with a possess an instrument rating is requirements of paragraph (a) of this helicopter, airship, or powered-lift unnecessary and burdensome. The FAA section. Additionally, minor editorial rating to hold an instrument rating. This is therefore deleting this proposed changes have been made to the final was in addition to the existing requirement from the final rule. As the rule. requirement, which only specified that FAA has decided not to establish a an applicant for a flight instructor flight instructor rating for airships, the Section 61.187 Flight proficiency. certificate with an airplane or proposed requirement that an applicant The FAA proposed to move to instrument rating hold an instrument for a flight instructor rating for an § 61.195 the existing requirement within rating on his or her pilot certificate. airship possess an instrument rating has this section addressing the minimum Proposed paragraphs (d) through (g) also been withdrawn. However, the experience requirements for a flight revised existing requirements, FAA has decided that the proposal instructor who can train first-time flight specifying that an applicant would be remains valid for powered-lift and instructor candidates. required to receive from the ground instrument ratings. In response to SSA’s In Notice No. 95–11, the FAA instructor or flight instructor who gave comment regarding 15 hours of pilot in proposed paragraphs to list those the applicant training or reviewed the command experience in category and specific areas of operation in which an applicant’s home-study course, an class for an additional flight instructor applicant must receive and log flight endorsement that states the applicant is rating, the FAA notes that this is an instruction or ground instruction prior prepared for the knowledge test, and existing requirement as found in to taking any practical test for a flight receive from the flight instructor who § 61.191(b). Additionally, the FAA instructor rating. The specific areas of gave the applicant training, an revised the rule to permit an applicant operation are listed for flight instructors endorsement that states the applicant is to forego taking the knowledge test with ratings in the following categories prepared for the practical test. specified in § 61.185(a) if certain and classes of aircraft: airplane single- Proposed paragraph (j) required equivalent conditions are met by the engine, airplane multiengine, rotorcraft applicants to have logged at least 15 applicant. The FAA did not propose to helicopter, rotorcraft gyroplane, hours of pilot-in-command time in the change this requirement. Except for powered glider, nonpowered glider, category and class of aircraft that is these changes and other editorial airship, balloon, and powered-lift. appropriate to the flight instructor rating changes to include the use of approved Comments: Substantive comments sought. The existing requirement only flight simulators and approved flight objected only to the creation of applies to flight instructors seeking an training devices, the final rule is proposed new categories, classes, and/or additional rating. adopted as proposed. ratings. Comments: AOPA and NAFI object to FAA Response: As discussed in proposed § 61.183(c)(2)(iii) and (c)(2)(iv) Section 61.185 Aeronautical section IV,H, the FAA replaced existing requirements for flight instructors with knowledge. flight proficiency requirements for helicopter ratings or airship ratings to In Notice No. 95–11, the FAA certificates and ratings with general have an instrument rating, because there proposed to add the requirement for areas of operation. As discussed in is no safety problem under the current flight instructor applicants to receive section IV,F, the FAA has decided not system, and because most operations in and log ground training on the to adopt the proposal for separate these aircraft are conducted under VFR. aeronautical knowledge areas in which powered and nonpowered glider class HAI expresses the same opposition with ground training is required for a ratings, and therefore the final rule 16274 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations consolidates proposed glider areas of minor editorial changes, the final rule reflect the requirements contained in operation within one category. As has been adopted as proposed. this section. discussed in section IV,C, the final rule Section 61.191 Additional flight Section 61.195 Flight instructor does not adopt the proposal for flight instructor ratings. limitations and qualifications. instructor certificates in the lighter- than-air category, therefore, the No substantive changes to this section The FAA proposed revising the title associated areas of operation have been were proposed. The requirement in of this section from ‘‘Flight instructor deleted. Except for these changes, and existing § 61.191(a) that a flight limitations’’ to ‘‘Flight instructor other editorial changes to include the instructor applicant for an additional limitations and qualifications.’’ use of approved flight simulators and rating must hold a pilot certificate with The FAA proposed to revise, in approved flight training devices, the ratings appropriate to the flight proposed paragraph (a), the prior final rule is adopted as proposed. instructor rating sought was placed in limitation that a flight instructor may proposed § 61.183, which pertains to not conduct more than 8 hours of flight Section 61.189 Flight instructor eligibility requirements. The training in a 24-hour period. The FAA records. requirement in existing § 61.191(b) that also proposed to limit a flight instructor In Notice No. 95–11, the FAA a flight instructor applicant for an to a total of no more than 8 hours of proposed that a flight instructor must additional rating must have at least 15 flight training and commercial flying in use and retain a syllabus to train all hours of pilot-in-command time in the a 24-hour period. students. category and class of aircraft that is Proposed paragraph (b)(2) clarified Comments: AOPA opposes the appropriate to the flight instructor the current requirement that to give requirement in proposed § 61.189(a) that certificate sought was also placed in training in an aircraft that requires a an instructor must sign the logbook of proposed § 61.183. type rating, the flight instructor must each person to whom ground training is Comments: As discussed in reference hold a type rating in that aircraft. The given. According to AOPA, the proposal to proposed § 61.183, SSA opposes existing rule implied that the flight would require an instructor giving a applying the requirement for 15 hours of instructor is required to hold a type presentation to an audience of hundreds pilot in command in appropriate rating on the instructor’s pilot and flight to give an endorsement to all attendees. category and class for additional flight instructor certificates. The proposal AOPA further opposes the requirement instructor ratings. HAI objects to specified that a flight instructor is in § 61.189(b)(2) that a flight instructor proposed § 61.191 because it no longer required to hold a type rating on his or must maintain a record of the results of requires a flight instructor to take a her pilot certificate and not the each practical test or knowledge test for knowledge test for additional flight instructor certificate. which an endorsement was provided. It instructor ratings. The commenter Proposed paragraph (c) clarified that a is AOPA’s position that it is not an recommends retention of the existing flight instructor who gives instrument instructor’s responsibility to keep track rule, ‘‘with a shortened knowledge test flight training for the issuance of an of a student’s test results, especially for for additional category ratings.’’ instrument rating or a type rating that is instructors in weekend ground schools FAA Response: SSA’s concerns are not limited to VFR is required to hold and seminars. The commenter opposes addressed in the FAA comments to the instrument rating for the category the proposed requirement in proposed § 61.183. With respect to and class of aircraft for which the § 61.189(b)(3) that a copy of each HAI’s concern, the FAA points out that instrument training is being given, on syllabus used for training be retained, the knowledge test requirements are the instructor’s pilot certificate and and AOPA asks if this refers to the incorporated into § 61.183, and that flight instructor certificate. course syllabus or to each syllabus used § 61.183(f) requires a flight instructor Proposed paragraph (d) revised the for individual students. In addition, applicant to pass a knowledge test on existing flight instructor endorsements. AOPA objects to the proposed the aeronautical knowledge areas listed The requirement for a flight instructor to § 61.189(b)(4) requirement that all in § 61.185 (b) and (c) that are endorse a student pilot’s certificate and records listed in § 61.189 be retained for appropriate to the rating on the flight logbook for supervised pilot in 3 years. NAFI and NATA similarly instructor certificate sought. The final command cross-country flight was object to the requirement for an rule is adopted as proposed. clarified in paragraph (d)(1). Under this instructor to keep copies of the syllabus, proposal, the flight instructor was stating that this would be a burden on Section 61.193 Flight instructor required to determine that the flight instructors and a potential source of privileges. could be performed within any litigation. NATA states that student In Notice No. 95–11, the FAA limitations in the student’s logbook that responsibility could best be ensured by proposed revising the title of this the instructor considered necessary for requiring the student to present a copy section from ‘‘Flight instructor the safety of flight. The intent of the of the syllabus to the designated authorizations’’ to ‘‘Flight instructor proposal was to ensure that the flight examiner during a practical test. endorsements and authorizations.’’ instructor providing the endorsement is Individual commenters echoed these The proposal deleted the existing aware of any special limitations associations’ views. detailed listing of types of instructor pertaining to an individual student. FAA Response: The FAA endorsements. The listing was replaced Proposed paragraphs (d)(5) and (d)(6) acknowledges the concerns of AOPA by more general language, although a clarified that the flight instructor who regarding logbook entry requirements detailed list of the certificates and endorses a pilot’s logbook for a flight and the retention of test results, but ratings for which these endorsements review or an instrument proficiency test points out that these are existing apply was provided. must have conducted that flight review requirements. The FAA has withdrawn Although no substantive comments or instrument proficiency test in the proposal for flight instructors to were received, the final rule was revised accordance with all applicable follow a written syllabus; therefore, the from the proposed rule to eliminate requirements. recordkeeping requirements of this redundant language. Also, the title of Proposed paragraph (f) expanded the section pertaining to syllabuses have this section was revised to read ‘‘Flight existing rule that requires a flight been eliminated. Apart from these and instructor privileges’’ to more accurately instructor to have at least 5 flight hours Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16275 of operating experience as a pilot in flying and flight training. The two pilot seats, of the same category and command in the specific make and commenter does not believe that the class, and that has ‘‘similar flight model of multiengine airplane or FAA has demonstrated a need for such characteristics of the single-place helicopter, to include powered-lifts. The a restriction. According to AOPA, flight aircraft.’’ AOPA contends that this complexity and flight characteristics of instructors are the lowest paid aviation language is very subjective and could be these aircraft require that a flight professionals in the industry, and they a source of litigation. The association instructor be proficient in the aircraft usually cannot afford to instruct on a recommends deleting this requirement. and requires that the flight instructor full-time basis. AOPA fears that the On a similar issue, an individual requirements for powered-lifts parallel restriction will force more instructors to commenter states that § 61.195(g)(2)(ii) those requirements for multiengine leave the profession. HAI also objects to should provide for cases in which an airplanes and helicopters. this proposal and recommends that a owner of a single-place powered glider The FAA proposed in paragraph (g)(1) flight instructor have the same duty- may receive supervised pilot in to require a flight instructor to give all time requirements as other commercial command flight training in that aircraft. training from a control seat that meets pilots. Commenting on § 61.195(c), HAI AOPA and NAFI oppose the existing the requirements of § 91.109. Proposed asks for clarification as to whether a CFI and proposed requirement in paragraph (g)(2) clarified that the can give the instrument training for a § 61.195(h) that a pilot be an instructor aircraft in which training is given private certificate or commercial for at least 24 months before teaching an should have at least two pilot seats and certificate. instructor applicant. These commenters be of the same category and class for With apparent reference to proposed state that a minimum amount of which the rating is sought. The proposal paragraph (f), SPA recommends instructional experience requirement required a flight instructor who trains a additional requirements for seaplane may be appropriate, but the FAA has person who desires to fly a single-place instructors. The commenter failed to prove the need for the specified aircraft to perform the pre-solo training recommends not only a minimum of 5 200 hours or 24 months of experience in an aircraft that has two pilot seats, is hours of pilot in command in category required of a flight instructor training a of the same category and class as the and class but, to ensure that an first-time flight instructor applicant in single-place aircraft, and has similar instructor has appropriate floatplane or an airplane, rotorcraft, or powered-lift. flight characteristics to that of the flying boat experience, a minimum of 5 SSA supports the proposal’s elimination single-place aircraft. hours of training in the type of aircraft of the prior phrase ‘‘immediately Proposed paragraph (h) revised the in which instruction will take place. preceding’’ from the provisions of minimum experience requirements for a SPA also states that the present system existing § 61.87(b), because instructors flight instructor who can train first-time fails to limit the authority of a pilot with years of experience, but who have flight instructor candidates. In the trained in either floatplanes or flying been relatively inactive over the existing rule, such requirements are boats ‘‘to act immediately as pilot in preceding 2 years, would still be eligible contained in § 61.187. The FAA added command in the other class without any to pass that experience to a new minimum ground training experience further training.’’ An individual instructor candidate. SSA states that requirements for an instructor training a commenter suggests a requirement these instructors may even be more first-time instructor applicant, and under § 61.195(f) for a flight instructor qualified than an instructor who has clarified the requirement that a person to have 5 hours experience as pilot in only 2 years experience. not serving as an instructor in an FAA- command in the make and model of AOPA and GAMA suggested that the approved course and providing flight seaplane and/or gyroplane to give FAA accomplish its objectives regarding training to a flight instructor candidate, instruction in that aircraft. single-engine and multiengine have a minimum of 24 months of One individual commenter opposes proficiency for instrument flight experience as a flight instructor. The the proposed paragraph (g)(1) instructors by means of a limitation in FAA also proposed that, in FAA- requirement that an aircraft have dual this proposed section, as an alternative approved courses, flight instructors who flight controls for instruction, because to the proposed separation of the give training to applicants for an initial this may discourage pilots who own instrument instructor rating into single- flight instructor certificate may, in lieu Beechcraft Bonanzas and Barons with engine and multiengine classes. of meeting the previously discussed throwover control wheels from FAA Response: The objections of requirements, have a record of having receiving instruction in their own AOPA and HAI to the proposed flight endorsed at least five applicants for a aircraft. Another commenter opposes instructor duty time limitations were pilot certificate, with at least 80 percent the requirement that all flight training reviewed. The FAA agrees, and has having passed the practical test on the must be given from a control seat. The decided to delete the proposed wording first attempt; and must have given at commenter cites instances where this ‘‘or any combination of commercial least 400 hours of instruction in would not be necessary, such as flying and flight training’’ in the final airplanes, rotorcraft, or powered-lifts; instrument instruction with a qualified rule. The FAA acknowledges the 100 hours in gliders; or 40 hours in safety pilot in the right seat and the objections of AOPA and NAFI to the lighter-than-air category aircraft. instructor in a jump seat, pilot upgrade existing and proposed 200-hour, 24- In paragraph (i) of the proposal, the training with a qualified pilot serving as month experience requirements for FAA clarified that a flight instructor the other crewmember, and instrument instructors who train first time may not make any self-endorsement for instructor training while giving an instructor applicants. The FAA did not the furtherance of a certificate, rating, instrument student concurrent propose changes to the provisions to the proficiency test, flight review, instruction. existing rule; therefore, AOPA and authorization, operating privilege, AOPA expresses a concern regarding NAFI’s recommendations are beyond practical test, or knowledge test. the requirement in proposed the scope of this rulemaking. Comments: AOPA opposes proposed § 61.195(g)(2)(ii) that if supervised pilot Regarding SPA’s comment to require § 61.195(a) restricting the number of in command flight is to be conducted in 5 hours of experience as pilot in hours a flight instructor may fly in a 24- a single-place aircraft, then all pre- command in a seaplane or gyroplane for hour period to 8 hours of flight training supervised pilot in command training instructors providing flight training in or any combination of commercial must be conducted in an aircraft with these aircraft, the FAA did not propose 16276 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations this change in Notice No. 95–11; check pilot, chief flight instructor, check instructor certificates for renewal therefore, the recommended change is airman, or flight instructor in an without accomplishing a practical test. beyond the scope of this rulemaking. operation conducted under part 121 or Another commenter advocates With respect to objections to the part 135, or a comparable position including activity as a flight instructor proposed dual control requirements, the involving the regular evaluation of at a pilot school approved under part FAA points out that throwover yokes pilots. The existing rule does not 141. are permitted for instrument instruction. include a provision permitting an AOPA expresses support for proposed The requirement for instruction in an instructor to renew the certificate by § 61.197(c), which states that if an aircraft with dual flight controls is an presenting a satisfactory record ‘‘in a instructor takes any of the steps existing requirement in § 91.109, and comparable position involving the this rule merely incorporates that regular evaluation of pilots,’’ but rather outlined in § 61.197 within 90 days of requirement into the provisions of this in ‘‘other activity involving the regular a certificate’s expiration date, then the section. The FAA agrees with the evaluation of pilots.’’ The FAA also renewal requirements are considered commenter regarding the proposed proposed that satisfactory completion of accomplished within the month due rule’s provisions that require all training renewal requirements within 90 days of rather than in the month of renewal. to be given from a control seat. the certificate expiration date would be The commenter states that the current Therefore, the FAA has eliminated deemed to have been accomplished in regulation penalized an instructor for provisions from the rule that required a the month of expiration. renewing a certificate early. flight instructor to occupy a control seat Comments: Approximately 100 FAA Response: The FAA points out when providing flight training. The comments address the proposed that completion of a flight instructor FAA has concluded that operational modifications to the flight instructor refresher clinic will continue to remain requirements and accident/incident data renewal requirements. Approximately a valid renewal option under this final do not establish a sufficient safety 75 percent of the commenters oppose rule, and that its completion may be justification for this increased regulatory the changes, though in some cases used for any number of successive and economic burden. Regarding opposition might be based on a renewals. In response to AOPA and AOPA’s comment on the proposal to misunderstanding of the proposal. A NAFI’s objection to the removal of require the use of aircraft with similar number of commenters state they provisions that allow flight instructors believe flight instructors might lose flight characteristics when providing to renew by demonstrating competence their certificates if they are presolo training to a pilot seeking solo to the local FSDO, the FAA notes that insufficiently active or fail to endorse flight privileges in a single-place it did not remove these provisions, and aircraft, the FAA has determined that the requisite number of students for a that they have been included in the proposed language is vague and has practical test. Some comments reflect § 61.197(a)(2). This paragraph lists what removed it in the final rule. In addition, the perception that flight instructor must be contained in an individual’s the FAA replaced the phrase ‘‘pilot refresher courses could be used for only seats’’ with ‘‘pilot stations’’. The FAA two consecutive renewals. Several record of instruction and establishes made this change to accommodate commenters state that experienced flight specific criteria upon which certificate balloon category aircraft, which do not instructors may not endorse many renewal will be based. In response to have seats, and therefore make students for practical tests, but the elimination of the term ‘‘pilot in applicable all categories and classes of nevertheless remain active giving flight command’’ from the proposed rule, the aircraft. In response to AOPA and reviews, training in tailwheel or high- FAA notes that deletion of the term GAMA, with respect to separate single- altitude airplanes, and instrument ‘‘comparable position’’ from proposed engine and multiengine flight instructor competency checks. Another paragraph (b)(2) would continue to instrument ratings, the FAA has commenter states that flight instructor permit a pilot other than a ‘‘check withdrawn the proposal as further refresher courses are not sufficient for airman’’ who is involved in the regular discussed in section IV,D. References to instructors to maintain competency, and evaluation of pilots to renew a flight all flight instructor certificates that were the instructors should demonstrate instructor certificate under that proposed, but not adopted, have also knowledge and competency to an FAA paragraph’s provisions. been deleted. Additionally, paragraph (j) inspector or examiner for certificate In paragraphs (a)(2)(iii) and (b) of the was added in accordance with renewal. final rule, the FAA has replaced the AOPA and NAFI object to the removal provisions set forth in Amendment No. words ‘‘expiration date’’ with of the provision that allows flight 61–100. Except for these changes, and ‘‘expiration month’’. The proposed instructors to renew their certificates by various formatting and editing changes, change, for example, would permit a the final rule is adopted as proposed. demonstrating competence to the local FAA office. NAFI states that this option certificated flight instructor whose Section 61.197 Renewal of flight is generally used by CFIs in an approved certificate expired on April 30, 1997, to instructor certificates. instructor course without a problem. renew that certificate if the person In Notice No. 95–11, the FAA AOPA comments that it is unaware of accomplished any one of the renewal proposed to revise the existing any safety problems or administrative options specified in § 61.197 as early as requirements of § 61.197 for the renewal burdens associated with this option, January 2, 1997. The renewal date for of flight instructor certificates. The which is used by full-time instructors at the new certificate would be April 30, proposal clarified that a record of part 141 schools. An individual 1999. This change reflects existing FAA training students used as a method of commenter notes that proposed policy. Additionally, paragraph (c) was renewal should indicate that the § 61.197(b)(2) eliminates the regulation’s added to permit the practical test for a instructor trained at least five students, current inclusion of pilots in command flight instructor certificate or additional with at least 80 percent having passed of aircraft operated under part 121, rating to be conducted in an approved a practical test on the first attempt. The stating that all but ‘‘check airmen’’ flight simulator or approved flight FAA also proposed to permit a flight would be deleted by the proposal’s training device. Except for these instructor to renew the certificate listing of air carrier-related activity that changes, the final rule is adopted as presenting a satisfactory record as a would qualify holders of flight proposed. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16277

Section 61.199 Expired flight proposed in § 61.201 should require an operation of the aircraft. This change is instructor certificates and ratings. ‘‘unexpired’’ flight instructor certificate discussed in greater detail in section No substantive changes were as a prerequisite for conversion. IV,G. FAA Response: Upon review of the proposed in this section. No substantive This subpart reflects existing comments, as discussed in sections comments were received, and except for requirements with editorial and format IV,C; IV,D; and IV,F, the FAA has minor editorial changes, the final rule is changes to clarify the privileges and decided not to adopt any new flight adopted as proposed. limitations of the ground instructor instructor ratings. Therefore, no ratings, and to permit a seamless Section 61.201 [Reserved.] conversion provisions are needed. The integration of part 143 into part 61. proposed section is therefore deleted in The FAA proposed that this section Part 141—Pilot Schools be titled ‘‘Conversion to the current the final rule. The FAA notes that Amendment No. flight instructor ratings.’’ The FAA Subpart A—General 61–100 reinstated the requirement for proposed that existing § 61.201 include ‘‘24 hours of ground and flight training Section 141.1 Applicability. provisions for current certificate holders for a flight instructor refresher clinic.’’ to obtain new flight instructor The proposed section contained only Paragraph (a)(2)(iii) of this final rule format revisions. No substantive certificates and ratings that were does not contain that requirement. proposed in Notice No. 95–11. The comments were received on this section; proposed certificates are discussed in Subpart I—Ground Instructors it is adopted in the final rule with formatting changes. sections IV,C; IV,D; and IV,F. In Notice No. 95–11, the FAA Comments: NAFI objects to the proposed to include revised ground Section 141.3 Certificate required. creation of the new flight instructor instructor certificates and ratings in part In Notice No. 95–11, the FAA ratings and the proposed conversion 61. The FAA also proposed establishing proposed minor format changes. No requirements for current instructors to ground instructor certificates that were substantive comments were received on obtain those ratings. According to NAFI, category specific (airplane, rotorcraft, many instructors will be unable to meet glider, lighter-than-air, and instrument). this section; it is adopted in the final the conversion requirements, and for The proposal contained eligibility rule as proposed. some of the ratings, few if any will requirements for ground instructor Section 141.5 Requirements for a pilot qualify, effectively revoking the majority certificate applicants, including a school certificate. of existing FAA flight instructor requirement that all applicants read, In Notice No. 95–11, the FAA certificates. The commenter states that write, speak, and understand the proposed to revise pilot school quality the FAA has failed to show a safety English language. problem with the existing system of Comments: Most commenters oppose of training requirements. instruction. NAFI asks that all current the category-specific ground instructor The FAA proposed to replace the instructors be ‘‘grandfathered’’ into the ratings. Many commenters also oppose existing title ‘‘Pilot school certificate’’ equivalent new certificates without any the English language requirement with ‘‘Requirements for a pilot school additional requirements. because of its affect on deaf instructors. certificate.’’ AOPA also opposes not only the new FAA response: The FAA is adopting Proposed paragraph (a) specified that flight instructor ratings, but the the proposal to move the ground the application is to be completed in a proposed conversion scheme method for instructor requirements to part 61. manner prescribed by the current flight instructor certificates. However, the FAA is not adopting the Administrator. AOPA comments that the proposed category-specific ground instructor In proposed paragraph (b), the FAA method is not a conversion at all but certificates as discussed in the analysis clarified that an applicant for a pilot rather a complete set of new of § 61.5(d). Therefore, this subpart has school certificate must hold a requirements that cannot be met except been rewritten to restore the existing provisional pilot school certificate for at by a small number of instructors. The basic, advanced, and instrument ground least 24 calendar months prior to commenter contends that a large instructor ratings. The proposed applying for a pilot school certificate. percentage of the country’s instructor sections on aeronautical knowledge, The FAA proposed in paragraph (d) to certificates are being effectively revoked ground instructor proficiency, ground modify existing pilot school quality of by the proposal, imposing significant instructor records, additional ground training requirements, which must be economic and administrative burdens instructor ratings, ground instructor met within 24 calendar months prior to on flight instructors. AOPA believes that endorsements and authorizations, the application. The existing rule states the FAA has not demonstrated a safety recency of experience for the holder of that an applicant must train at least 10 problem with the existing system and a ground instructor certificate, and students for a pilot certificate or rating, insists that all current flight instructors conversion to current system of ground and that at least 8 of the school’s 10 (including commercial balloon pilots) instructor ratings are not adopted in the most recent graduates pass the practical should be granted any equivalent new final rule. Therefore, a section-by- test the first time. The FAA proposed to certificate without any additional section analysis of those proposals is require that the applicant train and experience, training, or testing not included. recommend 10 students, either for: (1) a requirements. NAFI echoes the views of In response to commenters’ concerns knowledge or practical test for a pilot, AOPA. regarding the English language flight instructor, or ground instructor With respect to the proposed requirements, the FAA has added certificate or rating, in which case at multiengine rating for instrument flight language to § 61.213(a)(2) providing that least 80 percent of the applicants must instructors, NATA states that although it if an applicant is unable to meet one of have passed the test on the first attempt is opposed to the proposal, all CFIIs the English language proficiency on a test conducted by an FAA who are also MEIs should be given the requirements for medical reasons, the inspector, or an examiner who is not a new certificate. Administrator may place operating school employee; or (2) an end-of-course An individual commenter states that limitations on the applicant’s pilot test for a training course specified in the conversion of certificates provisions certificate that are necessary for the safe appendix K to this part. 16278 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Comments: The operator of a balloon received. The final rule is adopted as school and a student should be left to school suggests eliminating the proposed. the legal system. NBAA recommends requirement in proposed § 141.5(d)(1) deleting the language concerning ‘‘good Section 141.9 Examining authority. that the examiner be independent of the faith,’’ because it would create new school. The commenter states that the No modifications were proposed for problems for the FAA involving discussion of part 141 issues indicates this section, nor were any substantive ‘‘contract arbitration between flying that the intent was to require schools comments received. Except for a minor schools and disgruntled students.’’ A that train to a standard to have 80 editorial change, the final rule is balloon school also expresses percent of their students pass a adopted as proposed. opposition to the ‘‘good faith’’ language. knowledge test or practical test given by Section 141.11 Pilot school ratings. FAA Response: After review of the an FAA inspector or designated comments, the FAA has decided to examiner not employed by the school. The FAA proposed to change this withdraw proposed paragraph (a)(5) The commenter states that there is no section by reorganizing the certificate because of the concerns expressed by indication that the intention was to courses in the existing rule and the commenters. In addition, the FAA require students of all schools to be eliminating the test courses. No deleted the language ‘‘otherwise examined by nonemployees of the substantive comments were received. terminated’’ from proposed paragraphs school, but the language of proposed The final rule, however, adds the (a) and (c) because the use of the phrase § 141.5(d)(1) would so require. The corresponding appendix references to is redundant. commenter states that this would create the list of courses for clarification The proposal is adopted with these a hardship on balloon schools because purposes. This section is adopted in the changes. of the relative scarcity of qualified, final rule, with these changes. active balloon examiners. The Section 141.18 Carriage of narcotic Section 141.13 Application for drugs, marihuana, and depressant or commenter states that the nearest issuance, amendment, or renewal. independent examiner to its school is a stimulant drugs or substances. competitor, and the nearest FAA Proposed § 141.13 revised the The FAA proposed only editorial inspector who also is a qualified balloon requirement in the existing rule that changes to this section, and no examiner is 500 miles away. Another requires a pilot school to submit three substantive comments were received on flight school commenter states similar copies of a training course outline for the proposal. After further review, the objections to the same paragraph for the issuance or amendment of a pilot FAA has decided to retain the language flight schools in general. According to school certificate or rating. The FAA used in existing § 141.18 and not to the commenter, the selection process for believes that two copies of the training adopt the language proposed in Notice FAA-designated examiners, as well as course outline are sufficient. No No. 95–11. the quality of training requirements substantive comments were received, specified are an adequate check against and this section is adopted in the final Section 141.19 Display of certificate. an examiner failing to be impartial. rule as proposed. In Notice No. 95–11, the FAA Flight schools and students could suffer Section 141.15 Location of facilities. proposed format revisions to this time and cost burdens due to difficulties section. No substantive comments were in scheduling check rides. In Notice No. 95–11, the FAA received on this proposal, and it is FAA Response: Because of the size of proposed more permissive language for adopted as proposed. some part 141-approved schools, the this section consistent with the FAA does not have sufficient personnel proposed changes in § 61.2. No Section 141.21 Inspections. resources to respond to all the demands substantive comments were received on The FAA proposed format changes to that would be generated by this this proposal, and it is adopted as this section. No substantive comments proposal. In addition, the FAA proposed. were received on this proposal, and it is considers designated examiners to be Section 141.17 Duration of certificate adopted with a minor editorial change. representatives of the Administrator, and examining authority. rather than employees of a school, when Section 141.23 Advertising they are conducting practical tests. This The FAA proposed to change the title limitations. does not preclude these examiners from of this section and to add paragraph The FAA proposed to revise this otherwise being employed by a school. (a)(5), which stated that a pilot school section to clarify that courses are To prevent confusion, the FAA has or provisional pilot school certificate approved under part 141. No deleted from paragraph (d)(i) the expires whenever ‘‘the Administrator substantive comments were received on following language: ‘‘a test that was has determined a school has not acted this proposal. After review, the FAA has conducted by an FAA inspector or an in good faith with a student to whom it decided to delete the language examiner who is not an employee of the has a contractual agreement to provide ‘‘otherwise terminated’’ from paragraph school’’, and replaced this language training.’’ The proposal also included (c)(2) because the use of the phrase is with ‘‘the required test’’. In addition, the minor editorial and format changes. redundant. The proposal is adopted FAA reformatted this section and added Comments: GAMA, HAI, and NATA with this change. the phrase ‘‘or any combination of those oppose the proposal to permit the FAA Section 141.25 Business office and tests,’’ to reflect the FAA’s intent with to revoke a school’s authority if the operations base. respect to pass rates. Except for these Administrator determines that the changes, the final rule is adopted as school has not acted in good faith with The FAA proposed only minor format proposed. a student. HAI states that the issue of changes to this section. No substantive ‘‘good faith’’ is not a regulatory issue. comments were received addressing this Section 141.7 Provisional pilot school GAMA believes that the FAA should section, and it is adopted as proposed. certificate. judge a part 141 school by the quality The FAA did not propose any of its training, the performance of its Section 141.26 Training agreements. substantive changes for this section, nor students, and its adherence to the FAR. Although the FAA did not propose were any substantive comments GAMA states that disputes between a this section in Notice No. 95–11, the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16279 section was adopted in Amendment No. Subpart B—Personnel, Aircraft, and air-rating. In response to the 61–100. It is included in this final rule Facilities Requirements commenter’s concerns regarding paragraph (d), the FAA notes that the as previously adopted. Section 141.31 Applicability. rule explicitly requires a student Section 141.27 Renewal of certificates and No substantive changes were enrollment of at least 50 students at the ratings. proposed for this section, however, the time designation is sought. The FAA has In Notice No. 95–11, the FAA existing rule was reformatted. determined that 50 students is the Comments: A balloon school operator proposed revisions to the certificate maximum for which one chief instructor states that the proposed § 141.31(b)(2) renewal requirements of § 141.27. or assistant chief instructor could language ‘‘must have: a written lease reasonably provide checks, and, Proposed paragraph (a)(1) eliminated agreement of the...airport’’ imposes a therefore, permits a pilot school or the current requirement that the renewal requirement to lease an airport. The provisional pilot school to designate of a certificate must be obtained no less commenter states that this language check instructors for conducting student than 30 days prior to the expiration of should be deleted, because it is not stage checks, end-of-course tests, and the pilot school certificate. The less possible for it to lease an airport. instructor proficiency checks. restrictive wording ‘‘may apply ...within FAA Response: The FAA concurs The proposed rule is adopted with 30 days’’ was proposed. with the commenter’s concern and has these changes and other minor editorial edited the relevant language in the final Proposed paragraph (a)(2) specified changes. rule. that renewal of a pilot school certificate Section 141.35 Chief instructor and rating is contingent on the Section 141.33 Personnel. qualifications. Administrator determining that the Proposed paragraph (c) clarified that In Notice No. 95–11, the FAA school meets the requirements of this the assistant chief instructor would be proposed to delete the existing part with respect to its personnel, required to meet the requirements of requirement that a person who applies aircraft, facility and airport, approved proposed § 141.36. for the position of chief ground training courses, and training records, as Proposed paragraph (d) permitted a instructor have 1 year of experience as well as the recent training activity and pilot school to designate check a ground instructor at a certificated pilot training quality requirements of instructors to conduct student stage school. proposed § 141.5(d). The existing rule is checks, end-of-course tests, and No substantive comments were more general, stating only that the instructor proficiency checks, subject to received on this proposal. Paragraph (e) Administrator has to determine that the specified conditions. was added to the section in the final school meets the requirements Comments: NATA states that the rule. This paragraph reflects the existing prescribed for this part. The addition of language in proposed requirement in § 141.35(e), which requirement to meet § 141.5(d) § 141.33(a)(2) appears to mandate the provides that to be eligible for employment of dispatchers, aircraft effectively modified the school’s quality designation as chief instructor for a handlers, or line service personnel. of training requirements for renewal. ground school course, a person must NATA contends the current language have at least 1 year of experience as a Proposed paragraph (a)(3) clarified only requires that these personnel be ground school instructor in a that a school that does not meet the trained ‘‘if’’ they are employed. HAI and certificated pilot school. The FAA proposed renewal requirements may NBAA echo NATA’s opposition to this believes it is necessary for instructors to apply for a provisional pilot school proposed rule. NATA also recommends be more experienced. Except for this certificate if the school meets the that the current requirement for a part change and other editing and formatting requirements of proposed § 141.7 of this 141 school to provide a copy of the changes, the final rule is adopted as part. school’s safety procedures and practices proposed. be reinstated in the new rule. Individual The FAA also proposed minor Section 141.36 Assistant chief editorial and format changes to commenters, including a flight school, express the same concern. instructor qualifications. paragraph (b). The provisions in proposed paragraph In this section, the FAA proposed to Comments: A flight school states that (d) for designating a check instructor delete the existing requirement for a the limitations inherent in the proposed apparently confuse certain commenters person who applies as an assistant chief rule on the use of school-employed who may be unsure whether it is an ground instructor to have 1 year of examiners are not justified, and could optional change or a mandatory change. experience as a ground instructor at a delay checkrides at great cost to the One commenter asks for clarification certificated pilot school. student. The commenter states that ‘‘the regarding the intent, as well as whether No substantive comments were school’s POI should be allowed to the 50 students are to be enrolled at a received on this proposal. continue the best course of action given time or within the past year, and Upon further review, the FAA has concerning the certification process.’’ whether the proposal means a part 141 decided to reinstate the requirement in school with fewer than 50 students existing § 141.36(e). However, this FAA Response: The FAA enrolled cannot conduct flight requirement has been modified to acknowledges the commenter’s concern, instructor proficiency checks and stage provide that to be eligible for and points out that the requirement in checks. designation as an assistant chief § 141.5 that tests be conducted by an FAA Response: The FAA did not instructor for a ground school course, a FAA inspector or an examiner who is intend to mandate the employment of person must have 6 months experience not an employee of the school has been the personnel listed in paragraph (a)(2), as a ground school instructor in a withdrawn from the final rule. The only that, if employed, they be properly certificated pilot school, as opposed to proposed rule is adopted as proposed trained. The final rule modifies this the 1-year experience requirement in the with minor editorial and format language. The final rule also includes existing rule. The proposed rule is changes. references in paragraph (a)(1) and (a)(3) adopted with this change, and other to commercial pilots with a lighter-than- minor editing and formatting changes. 16280 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Section 141.37 Check instructor nonpermanent lighting or shoreline GAMA also comments on proposed qualifications. lighting is available for night seaplane § 141.39 and states that it does not The FAA proposed to include the takeoff and landing operations. provide part 141 schools with the No substantive comments were existing requirements of § 141.37, option of maintaining and inspecting received. Except for the addition of the ‘‘Airports,’’ in proposed § 141.38. their aircraft to part 91 standards. word ‘‘seaplane base’’ in the provisions Proposed § 141.37, ‘‘Check instructor GAMA believes that part 91 for seaplane training in the final rule qualifications,’’ established the maintenance requirements and and other editorial changes, the final inspections are adequate for this proposed qualifications required for a rule is adopted as proposed. segment of the training industry. The person to be designated as a check commenter contends that the proposal instructor. Section 141.39 Aircraft. would provide little benefit but would The FAA proposed to permit certain In Notice No. 95–11, the FAA place a heavy financial burden on an schools approved under part 141 to proposed to expand aircraft important segment of the aviation designate check instructors to conduct maintenance requirements and reformat industry. stage checks and end-of-course tests, this section. An individual commenter states that and instructor proficiency checks. The Proposed paragraph (a)(2) revised the the revised maintenance requirements designated check instructors would be airworthiness certificate requirement. would constitute a hardship for smaller required to hold appropriate flight or The existing rule requires a standard schools; both the progressive inspection ground instructor certificates. airworthiness certificate, except for system and the system of 100-hour/ Comments: A flight school states that aircraft used for flight instruction and annual inspections work well, the the proposal is an ‘‘excellent solo flights in a course of training for commenter states. improvement’’ that will facilitate agricultural aircraft operations, external HAI and NBAA express concern about completion of stage checks and end-of- load operations, and similar aerial work proposed § 141.39(a)(5), which requires course tests for large flight schools and operations. The revised language was that a school’s aircraft used for the reduce costs by not requiring assistant more general and required either a demonstration of instrument skills be chief instructors to travel to FSDOs for standard or primary airworthiness equipped and maintained for IFR testing and approval. The commenter certificate, unless the Administrator operations. NBAA states that most light also states it will reduce the workload determined that, due to the nature of the helicopters used in instrument training, of annual standardization for chief approved course, an aircraft without such as the Robinson R–22, are not instructors of large flight schools. such a certificate may be used. certificated or economically capable of Another commenter requests deletion Proposed paragraph (a)(3)(i) stated being certificated for IFR operations. of the proposed requirement under that aircraft used by a pilot school These commenters suggest that the § 141.37(a)(2)(iii) that a check instructor certificate or a provisional pilot school proposal be modified to ensure that the hold a second-class medical certificate. certificate holder be maintained in rule does not impact instrument training A flight school commenter questions accordance with subpart E of part 91. In under VMC. Specifically, the why only a chief instructor, and not a proposed paragraph (a)(3)(ii), a new commenters propose adding the assistant chief instructor, can give the requirement was proposed. The school’s following language: ‘‘However, for required proficiency test proposed in aircraft were required to be maintained instruction in the control and precision paragraph (a)(2)(vi). under an inspection program for each maneuvering of an aircraft by reference FAA Response: References to medical airframe, aircraft engine, propeller, to instruments, the aircraft may be certificate requirements in this section appliance, and component part equipped as provided in the approved have been deleted from the final rule. maintained. The details of the required course of training. Aircraft not certified For further discussion, see the analysis inspection program were listed in for IFR operations may be used for of § 61.23. After further review, the FAA proposed paragraph (b). instrument training provided the flight has decided to permit the assistant chief Proposed paragraph (a)(4) retained the is conducted under VMC.’’ Individual to give a proficiency test. The assistant existing requirement that aircraft used commenters joined in HAI’s concerns. chief instructor was included as an in flight training must be at least two- Several commenters reference the individual able to give proficiency tests place aircraft with engine-power proposed and existing requirement for because, the FAA has determined that controls and flight controls easily access from either pilot station to engine an assistant chief instructor has the reached and operated from both pilot and flight controls. These commenters qualifications necessary to give stations. state that balloons do not have such proficiency tests to check instructors. Proposed paragraph (a)(5) required controls, and that requiring easy access The final rule reflects this change. that the school’s aircraft used for the to flight controls prevents instruction in demonstration of instrument skills be aircraft with throwover yokes, such as Section 141.38 Airports. equipped and maintained for IFR the Beechcraft Bonanza. The FAA proposed to include the operations. FAA Response: Commenters’ requirements of the existing § 141.37 in Comments: NATA suggests deleting concerns over the proposed inspection this section. The proposed section also the new maintenance requirements for program were noted. Upon reviewing revised the existing rule by permitting an ‘‘inspection program’’ contained in the issue, the FAA has decided not to pilot schools at airports used for night proposed § 141.39(a)(3) and (b). The adopt the proposal in the final rule. The training flight in seaplanes to use commenter states that singling out part inspection program was not proposed adequate nonpermanent lighting or 141 aircraft is discriminatory and for other operations that engage in shoreline lighting approved by the without safety benefits. NATA contends similar types of training under part 61, Administrator. The FAA believes that that this proposal would increase the and would have increased costs with no the existing regulation for permanent cost of training at part 141 schools and commensurate safety benefit. The FAA lighting at all airports used by a pilot may force many students to switch to has determined that compliance with school for night training is not necessary part 61 training. HAI and NBAA voice subpart E of part 91 ensures an adequate at an airport or seaplane base used for similar concerns over this proposed level of safety. Furthermore, the night training flight. Adequate rule. proposal placed part 141 schools at an Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16281 unwarranted economic disadvantage. Comments: A balloon school operator courses to and modify their school The concerns of HAI, NBAA, and objects to the wording in proposed certificate. others, regarding aircraft used for paragraph (a) requiring ‘‘use of a The proposed rule was adopted with instrument training, also were briefing area located at each airport,’’ these changes. considered. In response, the FAA has because balloon schools and some other modified the requirement to apply only types of flight schools may be located at Section 141.55 Training course: to aircraft used in a course involving an area other than an airport, or there Contents. IFR en route operations and instrument may be off-airport briefing areas. The In Notice No. 95–11, the FAA approaches. In response to comments on commenter requests that balloon proposed to change the title of this the required accessibility of flight schools be excluded from the section. In addition, the FAA proposed controls, the words ‘‘flight controls’’ requirement. to permit pilot schools to seek approval have been deleted to accommodate FAA Response: The FAA notes that of training courses that train to a throwover yokes. The reference to ‘‘two- the commenter refers to an existing performance standard and to modify a place aircraft’’ has been changed to requirement. The FAA did not propose pilot school’s quality of training ‘‘two-pilot stations’’ to include training to change this requirement, therefore requirements. in balloons. References to the proposed any change would be beyond the scope term ‘‘supervised pilot in command’’ of this rulemaking. The final rule is Section 141.55 (a), (b), and (c) have been replaced by ‘‘solo’’ as adopted as proposed. The FAA proposed formatting and discussed in the analysis of § 61.1. The Section 141.45 Ground training editorial changes to these sections. No FAA also renumbered this section in the facilities. substantive comments were received on final rule. these changes. The rule is adopted with these Format modifications were proposed changes. for this section. No substantive Section 141.55(d) comments were received, and the final The FAA proposed that, to apply for Section 141.41 Flight simulators, flight rule is adopted as proposed. training devices, and training aids. initial approval of a course that trains students to a standard, the school would In Notice No. 95–11, the FAA Subpart C—Training Course Outline be required to meet the following proposed to change the title of the and Curriculum requirements: (1) hold a pilot school existing § 141.41, ‘‘Ground trainers and Section 141.51 Applicability. certificate and have held that certificate training aids,’’ to ‘‘Flight training for at least the prior 24 calendar months; devices and training aids.’’ The No modifications were proposed for and (2) have an FAA inspector or proposed section included no this section, and it is adopted as designated examiner who is not an substantive changes. proposed. Comments: A flight school refers to employee of the school give the Section 141.53 Approval procedures practical test or knowledge test. Under the proposed regulation on flight for a training course: General. training devices as ‘‘superfluous,’’ the proposal, a school could not request stating that it leads to confusion. In Notice No. 95–11, the FAA approval for a period longer than 24 According to the commenter, flight proposed to change the title of this calendar months. In addition, the training devices are well defined in ACs section. The proposal also required that proposal required pilot schools to 120–40 and 120–45, as amended. The two copies of each training course specify planned ground and flight commenter states that referencing flight outline be submitted to the FAA instead training time requirements for these training devices in this section puts the of the three copies required under the courses. FSDO at odds with the national existing rule. In addition, the proposal Comments: NATA strongly supports simulator program. Another flight required that, commencing 1 year after the FAA initiative of ‘‘training to a school states that the FAA is not doing the effective date of the rule, an standard’’ in part 141. NATA, however, enough to increase the use of flight applicant for a pilot school certificate or finds that the standards needed to meet training devices and simulators. The provisional pilot school certificate the minimum-hour waiver vary in each commenter proposes multiple levels of would only request approval for the local FSDO. The commenter feels that simulators and flight training devices, new training courses. The FAA also this creates unfair discrimination; depending on the task being simulated. proposed formatting changes to this therefore, NATA recommends that these FAA Response: The FAA recently section. standards be regulated and approved on published Amendment No. 61–100. The No substantive comments were a national level but maintained on a FAA has revised the title of this section received on this proposal. After further local level. GAMA also states that to include flight simulators and revised review, the FAA modified the proposal schools training to a standard should the section to conform with the to delete proposed paragraph (c) and not be regulated by a local FSDO definitions of ‘‘flight simulator’’ and replace it with a provision that provides because it leads to a situation where one ‘‘flight training device’’ as set forth in that a training course submitted for large part 141 school with multiple that rule. The proposed rule is adopted approval prior to the effective date of locations is regulated by several FSDOs, with these changes. Those flight training the rule shall, if approved, retain that all with different requirements and devices previously approved under the approval for 1 year. The new provision interpretations of the regulations. provisions of this section may continue further provides that an applicant for a GAMA also suggests regulating these to be used, provided that they continue pilot school certificate or provisional schools at the national level with one to meet the design criteria and pilot school certificate may request FSDO appointed as ‘‘lead’’ for all functional requirements for which they approval of the training courses listed in locations. According to GAMA, a were originally approved. 141.11(b). The FAA implemented this nationally standardized program would change in order to provide adequate be much more beneficial to students and Section 141.43 Pilot briefing areas. time for existing part 141 schools, and the training industry, and such a The FAA proposed formatting schools that are in the process of program would continue to provide a modifications for this section. obtaining approval, to add the new strong level of safety. 16282 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

HAI expresses concerns about the Therefore, in response to the train to a standard. Jeppesen-Sanderson requirements of proposed § 141.55(d). commenter’s question, all students must also opposes this provision. The FAA The commenter states that a small flight be examined by an FAA inspector or an has met with Jeppesen-Sanderson to school may not have 10 students examiner who is not an employee of the obtain clarification of its position on complete the course in the 24-month school. this issue and other issues addressed in period, and therefore the school will be The FAA deleted proposed paragraph its comment. unable to have an approved course with (f) from the final rule because, after One pilot school supports eliminating less than the part 61 requirements. HAI further review, the FAA has determined the interim check requirement for suggests adding language to permit a that this paragraph is unnecessary. The retention of examining authority. school to petition the Administrator for proposal is adopted with the changes FAA Response: After reviewing the provisional continuance for an discussed above, and other minor comments, the FAA continues to believe additional 24-month period in order to editorial changes. that it is important to prohibit pilot allow a small school to remain schools that train to standard from Section 141.57 Special curricula. competitive with a larger school. possessing examining authority. FAA Response: In implementing this No substantive changes were Permitting these schools to have proposal, the FAA intends to monitor proposed for this section, and it is examining authority would not provide the approval process to ensure that a adopted with a minor editorial change. an adequate system of checks and uniform national standard is Subpart D—Examining Authority balances. The proposal is adopted with maintained. FAA has added language to minor editorial changes. paragraph (d)(3) to clarify that a school Section 141.61 Applicability. may not hold examining authority for a Section 141.65 Privileges. training course conducted under this In Notice No. 95–11, the FAA proposed format modifications to this The FAA proposed to permit a pilot paragraph. Regarding HAI’s concerns, if school with examining authority to a school is unable to meet the training section. No substantive comments were received on the proposal. Upon further recommend graduates for all pilot, flight activity requirements of part 141 it instructor, and ground instructor would not be allowed to hold a pilot review, the FAA has decided to retain the format of existing § 141.61. certificates. The proposal eliminated the school certificate. Therefore, the rule is restriction on examiners from adopted as proposed. Section 141.63 Examining authority performing practical tests for the flight Section 141.55(e) qualification requirements. instructor certificate, ATP certificate, and turbojet type ratings. Under the proposal, a school that In Notice No. 95–11, the FAA proposed to change the title of this No substantive comments were received initial approval could receive received on this proposal. The proposal final approval if the school had held section. The proposal also deleted the is adopted with minor editorial changes initial approval for at least 24 calendar requirement that a specific number of to delete those provisions also months and had trained at least 10 graduates pass interim tests for the contained in § 141.67. students for a pilot, flight instructor, or school to retain examining authority. ground instructor certificate or rating, The FAA proposed to modify the Section 141.67 Limitations and and at least 80 percent of those students quality-of-training requirements for a reports. pilot school with examining authority. passed the knowledge test or practical Section 141.67 (a), (b), (c), and (d) test on the first attempt. The test must The proposal required 90 percent of the have been conducted by an FAA graduates of a flight course, in which The FAA proposed to delete the inspector, or by a designated examiner the school desires to obtain or retain current requirement for a student at a who is not an employee of the school. examining authority, to pass a test on pilot school with examining authority to Pilot schools also would be required to the first attempt, given by an FAA complete all of the training course at the specify planned ground and flight inspector or by a designated examiner same school. The proposal permitted up training time requirements for the who is not an employee of the school. to one-half of a student’s credits to be courses. In addition, the proposal specified that transferred from another pilot school. Comments: A pilot school comments pilot schools would not receive The amount of credits that could be that it is unclear whether paragraphs (d) examining authority for training courses transferred would be based on the and (e) require a practical test or a that train to a performance standard. student’s performance on a test given by knowledge test to be administered by an Comments: GAMA and NATA oppose the receiving pilot school. FAA inspector, or an examiner who is the proposal preventing schools that Comments: A pilot school expresses not an employee of the school, for each train to a standard from possessing agreement with the proposal based on applicant or at least 10 students in each examining authority. NATA states that the assumption that the school from course of training. The school the FAA has sufficient expertise and which the student is transferring has recommends that the FAA inspector be manpower to ensure oversight of these examining authority. The school required to administer the minimum schools. GAMA notes that the FAA has comments that a student could do all of number of tests necessary. granted examining authority to a the instrument training at one school, FAA Response: The FAA has added number of schools that hold exemptions transfer to another school, take a final language to paragraph (e)(4) to clarify to train to a performance standard. stage check and graduate from the that a school may not hold examining GAMA suggests that § 141.63(b)(3) be commercial course of the second school, authority for a training course modified to permit schools that train to and never be tested according to the conducted under this paragraph because a standard to use examining authority or PTS on instrument flight skills. the FAA’s philosophy has been to include language ‘‘grandfathering’’ FAA Response: After review of the maintain a system of checks and schools with current examining proposed rule, the FAA has changed the balances to ensure that the schools authority. A number of pilot schools references in paragraphs (d)(1) and providing training do not have a conflict and individual commenters join in (d)(2) from ‘‘knowledge test’’ to ‘‘test’’ to of interest with respect to the objecting to the prohibition on make the language consistent with the administering of the practical test. examining authority for schools that introductory language of paragraph (d). Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16283

Section 141.67(e) Subpart E—Operating Rules other commenters. The FAA notes that the provisions for the transfer of credits The FAA proposed to revise the Section 141.71 Applicability. recordkeeping requirements of this set forth in the proposed rule restate the No modifications were proposed for section. The proposal required pilot existing requirements. However, in this section, and it is adopted as schools with examining authority to response to these concerns, the final proposed. maintain a record of all temporary rule includes a provision to allow for up airmen certificates it issues with a Section 141.73 Privileges. to 25 percent credit for pilot experience and knowledge that was not obtained in chronological listing of specific In Notice No. 95–11, the FAA a part 141-approved training course. information. In addition, the school proposed minor formatting and editing The proposal is adopted with this would be required to maintain a changes to this section. change, and other minor editing and photocopy record containing each The only substantive comments on formatting changes. student’s: (1) Graduation certificate; (2) this section concern the issue of airman application; (3) temporary examining authority for schools that Section 141.79 Flight training. airman certificate; (4) superseded train to a standard. These comments In Notice No. 95–11, the FAA airman certificate, if applicable; and (5) were addressed in the discussion of proposed revisions to the instructor knowledge test and practical test results. § 141.63. The proposal is adopted proficiency requirements of this section. The proposal also required that the without change. Proposed paragraph (c) required the school make the proposed record of all assistant chief instructors, in addition to temporary airman certificates available Section 141.75 Aircraft requirements. the chief instructor, to complete at least to the Administrator upon request and In Notice No. 95–11, the FAA added once every 12 calendar months, an to surrender the proposed record of all the proposed test pilot and special approved syllabus of training consisting temporary airman certificates to the operations courses to the list of courses of ground training or flight training, or Administrator on expiration of each for which an aircraft certificated in the both, or an approved flight instructor school’s examining authority. restricted category may be used. The refresher course. Upon further review, the FAA proposal also permitted the use of Proposed paragraph (d) revised the determined that a time limit for aircraft with a primary airworthiness flight and proficiency checks required of maintaining the records required by certificate. flight instructors. paragraph (e) should be added to the No substantive comments were Proposed paragraph (e) replaced the rule. Paragraph (e) is modified in the received on this proposal. In the final phrase ‘‘designated chief instructor or final rule to require that these records be rule, the term ‘‘solo’’ is substituted for his assistant’’ with the language ‘‘chief maintained for 1 year. This is current the term ‘‘supervised pilot in instructor, assistant chief instructor, or FAA policy under Order No. 8700.1, command’’ for reasons discussed in the check instructor’’. This change ‘‘General Aviation Operations analysis of § 61.1. The proposed rule is permitted the assistant chief instructor Inspector’s Handbook.’’ adopted with this change and other or check instructor, in addition to the chief instructor, to administer Section 141.67(f) minor editorial changes. proficiency checks to a school’s The FAA proposed to require pilot Section 141.77 Limitations. instructors. schools with examining authority to In Notice No. 95–11, the existing Comments: HAI opposes the submit each graduate’s application for reference to ‘‘flight check or written test, requirement in proposed § 141.79 that an airman certificate within 7 days after or both’’ was replaced with the phrase both the chief and assistant chief flight the graduate passes the required ‘‘proficiency test or knowledge test or instructors must attend refresher knowledge test or practical test. both’’. The tests could include a flight training. HAI recommends retaining the Comments: A pilot school states that check, a review of the student’s current requirement that only the chief it may not always be possible to meet aeronautical knowledge, or both. The instructor must attend such training. the 7-day requirement because a student FAA also proposed minor editing and The commenter also recommends the may take the practical test without formatting changes to existing addition of the wording ‘‘or an meeting all graduation requirements, for provisions for the transfer of credits equivalent level of training acceptable to example, ground school may not be from one part 141-approved school to the Administrator,’’ to allow schools to completed. The school believes that the another part 141-approved school. conduct their own approved refresher requirement would place an undue Comments: HAI comments on training for all instructors. hardship on the school and the student proposed § 141.77(c) regarding the FAA Response: The final rule since all students would be attempting transfer of credits. The commenter includes references to commercial pilots to take the final practical test at the recommends retaining current rule with a lighter-than-air rating in same time. language and states that 100 percent of paragraphs (a), (b), and (d). With regard FAA Response: Upon further review, a student’s credits should transfer from to HAI’s comment, the rule does not the FAA has decided to delete the 7-day one part 141 school to another. If the require the chief or assistant chief flight requirement from the final rule. The student is transferring from a school not instructors to attend a commercially FAA notes that the schools should certificated under part 141, then 50 sponsored refresher training course. It submit the required documents to the percent of the credits should transfer. has always been the FAA’s position that FAA in a timely fashion. The FAA also The operator of a balloon school and schools could develop their own has retained the existing requirement for repair station states that proposed refresher training for chief instructors or a school to submit a graduate’s training § 141.77(c)(2), which provided that only assistant chief flight instructors. These record. In the final rule, the FAA added previous training from a part 141- courses may be submitted to the FAA the training record to the list of approved school could be credited in a for approval. Regarding the proposal for documents that must be submitted after transfer to a new school, would be a the assistant chief instructor to receive a student passes the knowledge test or disincentive to students. annual training, the FAA believes that practical test. The proposal is adopted FAA Response: The FAA in light of the responsibilities and duties with minor editorial changes. acknowledges the concerns of HAI and of the assistant chief instructor it is 16284 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations necessary to require that person to of another chief instructor. The proposal because this information is already maintain currency and proper permitted the assistant chief instructor recorded in the school records and the qualification. or check instructor to perform stage student’s logbook. The proposed rule is adopted with checks and end-of-course tests during FAA Response: The commenter’s these changes, and editing and this time. Proposed paragraph (d) concerns are noted; however, the formatting changes. required a school to cease operations disputed language is a continuation of after 60 days if a new chief instructor an existing requirement. Except for Section 141.81 Ground training. has not been designated and approved. minor editing changes, the final rule is The FAA proposed minor editorial Proposed paragraph (e) set forth the adopted as proposed. and format changes to this section. The provisions for reinstatement of the Subpart F—Records proposal also replaced the phrase school’s certificate. ‘‘designated chief instructor or his No substantive comments were Section 141.101 Training records. assistant’’ with ‘‘chief instructor’’, received on this section, and it is ‘‘assistant chief instructor’’, or ‘‘check The FAA proposed to reformat this adopted as proposed with minor section. No substantive comments were instructor’’, as appropriate. editorial changes. No substantive comments were received, and, except for minor received on this section. The final rule Section 141.89 Maintenance of formatting and editing changes, the final includes references to commercial pilots personnel, facilities, and equipment. rule is adopted as proposed. with a lighter-than-air rating in In Notice No. 95–11, the FAA Appendix A—Recreational Pilot paragraph (a). The proposed rule is proposed editorial modifications to this Certification Course adopted with this change. section. The FAA also added references In this appendix, the FAA proposed to assistant chief instructor and check Section 141.83 Quality of training. to establish criteria for a certification instructors to proposed paragraph (b). course for recreational pilot certificates. The FAA proposed to reformat and No substantive comments were This addition was intended to revise the language of this section. The received on this section, and it is encourage further general aviation proposal also modified the quality of adopted as proposed with a minor training activity. The course in existing training requirements. Each pilot school editorial change. or provisional pilot school was required appendix A, ‘‘Private Pilot Certificate to provide training that meets the Section 141.91 Satellite bases. Course (Airplanes),’’ was moved to requirements of § 141.5(d). The FAA proposed minor editorial proposed appendix B. Under the No substantive comments were changes for this section. No substantive proposal, a person was also required to received on this proposal, and it is comments were received on this hold a student pilot certificate prior to adopted as proposed with minor proposal, and it is adopted as proposed enrolling in the flight portion of the editorial changes. with minor editorial changes. recreational pilot certification course. The proposed course required a Section 141.85 Chief instructor Section 141.93 Enrollment. minimum of 20 hours of ground training responsibilities. In this section, the FAA proposed to on the same aeronautical knowledge The FAA proposed to revise this eliminate the requirement for a pilot areas that were proposed in part 61 for section to clarify that the chief school to send a copy of each a recreational pilot certificate. The instructor serves in a supervisory role at enrollment certificate to the local FAA proposed course consisted of a a pilot school. The proposal replaced FSDO. However, the proposal required minimum of 30 hours of flight training, the existing requirements for the chief a school to maintain a monthly listing including 15 hours of training from an instructor to ‘‘conduct’’ checks and tests of persons enrolled in each course at the authorized flight instructor and 3 hours with language providing that the chief school. of supervised pilot in command instructor is to ‘‘ensure’’ these checks Comments: NATA opposes the training. The proposal set forth specific and tests are accomplished. In addition, proposed rule’s deletion of the prior areas of operation for each aircraft the FAA proposed paragraph (c) to requirement to furnish students with a category and class rating. permit the chief instructor to delegate copy of its safety procedures and The proposed course was designed to authority for conducting stage checks, practices, including items as specified allow schools flexibility in developing end-of-course tests, and flight instructor in the existing § 141.93(a)(3). their recreational pilot certification proficiency checks to the assistant chief FAA Response: The FAA course with the individual student in instructor or a check instructor. inadvertently omitted existing mind. For example, a student who had No substantive comments were paragraph (a)(3). This requirement is previous aviation experience and received on this section. In paragraph retained in the final rule. The proposed proved particularly competent may be (a)(2) of the final rule, the FAA replaced rule is adopted with this change. able to complete training for a the term ‘‘instructor’’ with ‘‘certificated recreational private pilot certificate with Section 141.95 Graduation certificate. flight instructor, certificated ground only the minimum 30 hours of flight instructor, and commercial pilot with a Minor editorial modifications were training time, including the required 15 lighter-than-air rating’’. The final rule is proposed for this section. hours of flight training time from an adopted with this change and other Comments: A balloon school states authorized flight instructor and 3 hours minor editorial changes. that the requirement in proposed of supervised pilot in command flight § 141.95(b)(7) that graduation time. However, a student pilot who did Section 141.87 Change of chief certificates contain ‘‘a statement not have previous aviation experience instructor. showing the cross-country training the or who trained infrequently may need The FAA proposed to revise this student received’’ does not make sense, more time than the minimum specified section to allow the assistant chief especially for balloon training, because hours of flight training time. The instructor to act in the capacity of the virtually all training entails cross- student pilot and flight instructor may chief instructor for 60 days while country flight. The commenter states need to tailor the training to include 27 awaiting the designation and approval that the requirement should be deleted, hours of flight training time from an Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16285 authorized flight instructor and 3 hours of course of training for a glider or permitting a maximum of 5 flight hours of supervised pilot in command flight balloon rating, had a signed and dated or 15 percent of the approved private time, or some combination of those application that the person had no pilot course total-hour requirement to be hours. known medical defects that made that credited, whichever is less. The FAA decided not to specify the person unable to pilot a glider or a HAI expresses concern that the maximum time that could be credited balloon. proposed supervised pilot in command for stage checks and end-of-course tests The proposed minimum ground provisions require students to perform for the approved training course training requirements consisted of the maneuvers involving emergency requirements. The FAA believed that same aeronautical knowledge areas as procedures. A flight school states that the individual school, along with the proposed in part 61 for a private pilot the 5-hour minimum supervised pilot in local FAA FSDO, were better able to certificate. The proposal set forth command requirement is inadequate for determine how much time should be specific flight training requirements for airplane single-engine and multiengine permitted for stage checks and end-of- each aircraft category and class rating. courses. The commenter suggests 7 course tests for each syllabus. After The proposed flight training hours, with at least two cross-country receiving course approval, the FAA and requirements consisted of the same flights to different locations, and the school would continue to monitor approved areas of operation proposed in landings at three airports for each cross- the average length of time that it takes part 61 for a private pilot certificate. The country flight. Several flight schools and to conduct a specific stage check or end- proposal included reductions in solo individual commenters express similar of-course test, and would be prepared to flight training time, but preserved the concerns regarding the reduced solo and modify the syllabus when needed. minimum total time requirements in the cross-country time requirements. One Comments: EAA and NAFI support existing rule. As discussed in the flight school recommends at least 10 the addition of a recreational pilot analysis of appendix A, the proposed hours of solo time. Another flight school certification course to part 141. course was designed to allow schools commenter opposes the proposed FAA Response: In the final rule, flexibility in developing course requirement for 3 hours of instrument references to the proposed term requirements with the individual training, stating that this is an especially ‘‘supervised pilot in command’’ are student in mind, the FAA proposed to heavy burden on part 141 schools replaced with the term ‘‘solo’’ for the permit each school to tailor the course transitioning students to instrument reasons discussed in the analysis of requirements around the student’s training immediately upon completion proposed § 61.1. The proposed term needs. of the private pilot curriculum. This ‘‘authorized flight instructor’’ is Existing appendix A requires an commenter requests permitting part 141 replaced with the term ‘‘certificated applicant for a private pilot certificate students to complete the requirement in flight instructor’’ to indicate that only with an airplane category rating to simulators. instructors certificated under part 61 perform five takeoffs and five landings Jeppesen expresses concern regarding may provide the training specified in at night, as the sole manipulator of the the overall principle of class-specific this section. Proposed paragraph (b) of controls. The FAA proposed to require training in appendixes B through J. The section No. 2, which required that a an applicant for a private pilot commenter is concerned that the new signed and dated statement be affixed to certificate with an airplane, rotorcraft, system removes any remaining the application for a recreational pilot or powered-lift category rating to receive flexibility in part 141 regarding aircraft certificate certifying that no known at least 3 hours of night flight training, usage, effectively requiring flight medical defect exists that would make including one cross-country flight, and schools, for economic reasons, to offer the pilot unable to pilot an aircraft, is to perform 10 takeoffs and 10 landings their courses as either all single-engine deleted from the final rule. As discussed at night. The proposal included the courses or all multiengine courses. in section IV, A of this preamble, § 61.23 provisions of proposed § 61.110 of this According to the commenter, this could of the final rule includes medical chapter that exempt certain applicants place part 141 schools at a disadvantage certificate requirements for student from the night flying certification compared to part 61 schools, which pilots who seek recreational pilot requirements. retain greater flexibility. certificates. The proposal also required private A balloon school objects to the term pilot applicants for an airplane, ‘‘balloonport’’ in proposed paragraph Appendix B—Private Pilot Certification powered-lift, and airship rating to (4)(c)(9) because it is not a standardized Course complete at least 3 hours of instrument term, and is a proprietary name for a The FAA proposed criteria for a training in the same category and class balloon dealership. The term ‘‘Airport certification course for a private pilot of aircraft for which the rating is sought. and balloon launch site operations’’ is certificate for each aircraft category and As noted in appendix B, the FAA suggested. class rating. The course in existing decided not to specify the maximum FAA Response: In response to appendix B, ‘‘Private Test Course time that could be credited for stage NATA’s comment regarding the (Airplanes),’’ was eliminated. checks and end-of-course tests. requirement that an individual hold a Proposed appendix B included Comments: NATA states that there is student pilot certificate before enrolling courses found in existing appendixes A no safety evidence to support the in a part 141 private pilot certification and F. Proposed appendix B reflected requirement in proposed paragraph course, the FAA has determined that the proposals in part 61 to establish a (2)(a) that a person have a student pilot this requirement is not unduly powered-lift category rating, and to certificate before enrolling in a part 141 burdensome. Under § 61.23, a student establish separate class ratings for private pilot certification course. The pilot is required to obtain a third-class powered gliders and nonpowered commenter believes that the current medical certificate once he or she gliders. requirement to obtain the certificate conducts solo flight in an aircraft other The FAA proposed to require that a prior to a student’s first solo is adequate. than a glider or a balloon. person who desired to enroll in the NATA also opposes the reduction in The objections of some commenters to flight portion of a course hold: (1) a allowable flight training device credit to the reduction in solo flight time student pilot certificate, and (2) a third- 10 percent of the total flight training required were considered, but the FAA class medical certificate, or in the case hour requirements. NATA recommends has determined that safety will not be 16286 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations compromised by a reduction in solo training procedures exceeded normally Appendix C—Instrument Rating Course flight time because the total number of accepted industry practices. The FAA proposed criteria for an hours remains unchanged. The FAA Additionally, the FAA deleted solo instrument rating course. The proposed also notes that schools will have more flight requirements for a rating in a gas appendix included courses found in discretion in determining how best to balloon and an airship. In the final rule, existing appendixes C, F, and H, as well use required training time. the student is not required to meet any as courses for the proposed powered- In the final rule, the FAA deleted any solo flight training requirements, and lift, airship, airplane single-engine, and requirement for solo flight training in a must perform the duties of pilot in airplane multiengine instrument ratings. multiengine aircraft. The final rule command while under the supervision To enroll in the flight portion of the requires a student to perform the of a commercial pilot with the course, the FAA proposed that a student functions of a pilot in command while appropriate lighter-than-air rating. This hold: (1) a private pilot certificate with under the supervision of a certificated change was adopted because insurance an aircraft category and class rating flight instructor. A flight instructor may companies would not permit solo flights appropriate to the instrument rating for therefore accompany a student on board in gas balloons or airships by student which the course applies, and (2) at the aircraft during this flight time. The pilots. FAA notes that solo time in a least a third-class medical certificate. In response to concerns about the use The proposed ground training multiengine aircraft may be impractical of the word ‘‘balloonport,’’ that term has provisions included the same due to liability insurance concerns. been deleted from the final rule. The The helicopter and gyroplane solo aeronautical knowledge areas as FAA determined that ‘‘balloonport’’ is proposed in part 61 for an instrument cross-country provision is clarified to not a commonly used term, and has require that at least one segment of the rating, including windshear avoidance, replaced it with the term ‘‘airport’’. and aeronautical decision making and flight include a straight-line distance of The FAA has modified the appendix at least 25 nautical miles between the judgment. The proposal retained the to conform with the definitions of existing requirement for 30 hours of takeoff location and landing location. ‘‘flight simulator’’ and ‘‘flight training In response to HAI’s comment ground training for an initial instrument device’’ set forth in Amendment No. 61– regarding the performance of emergency rating. The FAA also proposed a 30- 100. In response to the objections maneuvers without an instructor on hour ground training requirement for an board the aircraft, the FAA notes that concerning credit for flight simulator initial instrument rating. The FAA other training maneuvers, such as stalls and flight training device time, the proposed a requirement for 20 hours of and slow flight, are routinely performed maximum possible credit for flight ground training for an additional in solo flight by pilot applicants that, simulators that meet the requirements of instrument rating, as opposed to the when improperly performed, may result § 141.41(a) is 15 percent in the final existing requirement of 15 hours in the in situations that adversely affect the rule. The maximum possible credit for test preparation course. The FAA safety of the flight. The FAA contends flight training devices that meet the believed the increase was necessary that these maneuvers, when properly requirements of § 141.41(b) is 7.5 because of proposed reductions in the performed, pose no adverse risks to the percent in the final rule. These changes pilot experience requirements, and the safety of the flight. Flight instructors correct an inadvertent reduction in the different knowledge, skills, and abilities should ensure that emergency time that could be credited for training required for each instrument rating. maneuvers, like other maneuvers, are received in a flight simulator or flight The proposal required flight training only performed in solo flight after an training device when the FAA changed on the same areas of operation as instructor determines that such the basis on which flight time could be proposed in part 61 for an instrument maneuvers may be safely performed by credited form hours to a percentage of rating. In addition, the proposed the applicant and under any restrictions the flight training time. The FAA also appendix clarified the existing that the flight instructor may establish notes that training received in a flight requirement for cross-country flight by to ensure the safety of the flight. simulator or flight training device may requiring a minimum straight-line The FAA has deleted from the final not be used to satisfy more than 15 distance between airports for one of the rule the exception to the night training percent of the flight training segments of the flight. requirement because the exception requirements in the final rule. A minimum of 35 hours of flight applies to the individual airman rather In the final rule, references to the training time was proposed for initial than to the course. The FAA also has proposed term ‘‘supervised pilot in instrument ratings. This is the minimum removed medical certificate command’’ are replaced with the term training time currently required for an requirements from this appendix ‘‘solo’’, where appropriate, for the instrument rating in an airplane or a because these requirements are reasons discussed in the analysis of helicopter. The proposal provided for a addressed in § 61.23. § 61.1. The proposed term ‘‘authorized percentage of the minimum flight Proposed provisions for separate instructor’’ is replaced with training hours to be obtained in a flight powered and nonpowered classes ‘‘certificated flight instructor or training device. within the glider category requirements commercial pilot with a lighter-than-air As discussed in appendix A, the FAA are consolidated under a single set of rating’’, as appropriate, because the term has decided not to specify the maximum requirements for the glider category for ‘‘authorized instructor,’’ while time that may be credited toward the reasons discussed in section IV,F. applicable to part 61, is too broad a term total hour course requirements for stage In the final rule, the FAA has for use in part 141. checks and end-of-course tests. decreased the ascent training With regard to Jeppesen’s concerns Comments: HAI states that a student requirements from 5,000 feet above the about class-specific training, the FAA should be able to concurrently enroll in surface to 3,000 feet above the launch notes that part 141 schools will not be private, instrument, and commercial site for gas balloons, and from 3,000 feet placed at a disadvantage because pilot certification courses, and therefore above the surface to 2,000 feet above the training conducted under part 61 is also the commenter recommends deletion of launch site for balloons with airborne class specific. paragraph (2)(a). HAI also suggests heaters. After further review, the FAA The rule is adopted with these modifying paragraph (b) of section No. has determined that the proposed ascent changes. 4 to require a minimum of 10 hours of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16287 the instrument training time in an for single-engine and multiengine pilot certificate. Proposed appendix D aircraft for an initial instrument rating, instrument ratings, the requirements for included courses found in the existing and a minimum of 5 hours of the the proposed multiengine instrument appendixes D and F. The proposed instrument training time in an airplane rating course are excessive. appendix included a powered-lift for an additional instrument rating. FAA Response: In response to HAI’s category rating and separate class HAI, NATA, and NBAA object to the comment regarding the requirement that ratings for powered gliders and provisions for the crediting of time pilots enrolling in an instrument rating nonpowered gliders. spent training in a flight training device. course hold at least a private pilot To enroll in the flight portion of the NATA and NBAA state that the 10 certificate, the FAA determined that the course, the proposal required a person percent credit for the use of flight minimum certificate level for persons to to hold: (1) a private pilot certificate training devices is insufficient. The be able to adequately understand with the category and class rating commenters argue that part 141 schools instrument training concepts is at the appropriate to the ratings for which the would be placed at a disadvantage private pilot certificate level. With course applies, and (2) at least a third- compared to schools conducting regard to HAI’s concerns about the class medical certificate, or present a training under part 61, and that trends instrument helicopter cross-country signed and dated statement by the in simulation technology dictate more, requirements, the FAA notes that it is person certifying that the person not less, use of flight training devices. the FAA’s intent to require a person to enrolling has no known medical defect NATA recommends a credit of 50 file an instrument flight plan and that makes that person unable to pilot percent of the total flight training time perform a flight under IFR, although not a glider or a balloon. of the approved instrument flight course necessarily under IMC. In addition, if the course was for a or of the section, whichever is less. With respect to objections to proposed rating in an airplane, a powered-lift, or NBAA asks for clarification on whether provisions for separate single-engine an airship, the proposal required the the 10 percent credit for training in a and multiengine airplane instrument student to: (1) hold an instrument rating flight training device also applies to ratings, the FAA notes that the separate appropriate to the aircraft category and recreational, private, and commercial instrument ratings were not adopted in class rating for which the course certificates and, if so, the commenter the final rule. This decision was applies, or (2) be concurrently enrolled recommends that those limits be discussed in section IV,D. The proposed in an instrument rating course for which changed to equal those authorized in provision for an instrument airship the course applies, and satisfactorily part 61. NBAA also comments that rating is deleted from the final rule for accomplish the required practical test Notice No. 95–11 does not go far enough the reasons discussed in section IV,D. prior to completing the commercial The FAA has modified the appendix to integrate personal computer-based pilot practical test. aviation training devices into all phases to conform with the definitions of The proposed ground training of flight training. These views are ‘‘flight simulator’’ and ‘‘flight training consisted of the same aeronautical echoed by several large flight schools, device’’ set forth in Amendment No. 61– knowledge areas as proposed in part 61 including ERAU and UND Aerospace, as 100. Regarding comments on credit for for a commercial pilot certificate. A well as Jeppesen and several individual training received in flight simulators minimum of 100 hours of ground commenters. These commenters state and flight training devices, the FAA did that the 10 percent limitation, especially not intend to remove the prior provision training was required for an airplane, in the case of the instrument rating, permitting up to one-half of the powered-lift, or airship rating. One drastically reduces the maximum instrument training time to be received hundred hours of ground training is available credit in comparison to the in an approved ground trainer. currently required for an airplane existing rule. One commenter states that Therefore, the maximum possible credit category rating. The proposal retained the proposed change would reduce the allowed for training in a flight simulator the existing hour requirements for quality of training and raise costs. The that meets the requirements of ground training for a rotorcraft, glider, commenter states that it can provide § 141.41(a) is 50 percent in the final or balloon rating. more quality training in Frasca 141 and rule. The maximum credit for training The proposed flight training included 142 training devices than in aircraft. in a flight training device that meets the the same areas of operation as proposed GAMA is concerned that under the requirements of § 141.41(b) is 25 percent in part 61 for a commercial pilot proposal it appears that the credit in the final rule. The FAA also notes certificate. The proposal set forth allowed for training received in a that training received in flight specific flight training requirements for simulator or flight training device in an simulators or flight training devices may each aircraft category and class rating. instrument rating course would be not be used to satisfy more than 50 The proposed minimum dual and solo drastically reduced. According to percent of the instrument flight training flight training time requirements were GAMA, more flight training device requirements in the final rule. far lower than those of the existing credit would be received under part 61 The reference to medical certificate appendix D. However, this proposed than under the proposed rule for part requirements in proposed paragraph (b) change was based on the assumption 141. GAMA believes that this would of section No. 2 is deleted because that the applicant would have to also discourage schools from applying for medical certificate requirements are meet the minimum time requirements part 141 approval. GAMA recommends now contained in § 61.23. See the for part 61. The proposal required that retaining the credit allowed under the analysis of § 61.23 for further a person meet the aeronautical existing rules. discussion. experience requirements of part 61 for a HAI objects to the instrument The proposed rule is adopted with commercial pilot certificate upon helicopter cross-country requirement in these changes and other minor editorial completion of the course. The proposed proposed paragraph (4)(c)(3)(i) because changes. appendix also included the training helicopters such as the modifications to the dual cross-country Robinson R–22 are not certificated for Appendix D—Commercial Pilot flight requirements in proposed part 61. IFR flight. Certification Course The FAA decided not to specify the ERAU states that, while it agrees with The FAA proposed criteria for a maximum time that may be credited for the principle of separate requirements certification course for a commercial stage checks and end-of-course tests for 16288 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations the same reasons discussed in the provide for a 250-nautical-mile flight, a balloon rating. The FAA notes that a analysis of appendix A. and recommends that these commercial pilot must hold a private The FAA proposal omitted provisions requirements be aligned with those of pilot certificate in order to enroll in a related to flight instruction in the part 61. The commenter also expresses commercial pilot certification course, specified areas of operation for the the same safety concerns regarding the therefore, the requirements in the final lighter-than-air category ratings because helicopter night solo requirements that rule are equivalent to the current separate instructor ratings were it expressed regarding similar requirements of appendix D. proposed for those classes. requirements in part 61. In the final rule, the FAA also has Comments: HAI states that a student A balloon school expresses several increased the dual flight training time should be able to concurrently enroll in objections to the commercial course requirements. The final rule provides a private, instrument, and commercial requirements. The commenter states for 55 hours of flight instruction for an pilot certification course. that no justification was presented for airplane, powered-lift, or airship rating, The Department of Veterans Affairs/ increasing the number of required and 30 hours of flight instruction for a Veterans’ Benefits Administration (VA) flights from 8 flights in the existing rule rotorcraft rating. For a glider rating, the states that it has received comments to 10 flights. The commenter similarly rule requires four hours of flight from pilot school organizations opposes the requirement for two flights instruction, including five flights regarding Notice No. 95–11. These in a balloon in preparation for the involving launch/tow procedures and comments express a concern that practical test. The commenter also states the training on appropriate areas of appendix D would ‘‘require a complete that the terms ‘‘weight and balance,’’ operation. The flight training and radical restructuring of current ‘‘air navigation facilities,’’ ‘‘performance requirements for a balloon course commercial pilot courses.’’ The maneuvers,’’ and ‘‘above the surface’’ remain as proposed, except the FAA has commenter, nonetheless, recommends are inappropriate for balloon operations. decreased the required ascent for gas revising paragraph (2)(a)(4) to make its The latter term should be replaced with balloons from 10,000 feet above the provisions clear, or that this issue be the phrase ‘‘above the launch site’’. The surface to 5,000 feet above the launch dealt with in the preamble. Several same commenter also shares HAI’s view site. For balloons with airborne heaters, individual commenters state that the VA that the proposed requirement for the ascent requirement was reduced prohibits concurrent enrollment in maneuvers involving emergency from 5,000 feet above the surface to separate flight training courses as operations in solo flight is hazardous. 3,000 feet above the launch site. After permitted by the proposal. FAA Response: In the final rule, the further review, the FAA has determined HAI states that there are no required aeronautical knowledge that the proposed ascent training advantages for part 141 schools if their training time has been modified. For the procedures exceeded accepted industry students must meet part 61 flight airplane category, powered-lift category, practice. training time requirements. GAMA and and airship class rating, the proposed The title of section No. 5 of this NATA express similar concerns and 100 hours has been reduced to 65 hours. appendix is changed in the final rule state that the proposal effectively For the rotorcraft category, the proposed from ‘‘supervised pilot-in-command increases the part 141 commercial pilot 65 hours have been reduced to 30 hours. training’’ to ‘‘solo training’’. As minimums from 190 hours to 250 hours. For the glider category, the proposed 25 previously discussed, the FAA has GAMA contends that since a private hours has been reduced to 20 hours. The decided to retain the term ‘‘solo’’ in the pilot certificate is a prerequisite for balloon class rating requirement final rule. For the reasons previously enrollment, the newly proposed remains unchanged from the 20 hours discussed, the FAA has withdrawn the commercial pilot certification course proposed. requirement for solo flight training in a would not include the elements of the The FAA did not intend to remove the multiengine airplane, an airship, and a private pilot certification course prior ability of pilots to obtain gas balloon. The final rule requires a currently allowed under part 141. certificates under part 141 with less student to perform the functions of pilot NATA believes that the proposal to than the aeronautical experience in command in a multiengine aircraft increase the minimum number of hours requirements specified in part 61. The while under the supervision of a in the commercial pilot certification FAA therefore has withdrawn the certificated flight instructor, or in an course could hurt the economic viability requirement that graduates of a part 141 airship or gas balloon while under the of many part 141 schools. Several flight commercial pilot certification course supervision of a commercial pilot with schools and other commenters echo meet the aeronautical experience an airship rating or balloon rating, as these concerns, stating that ‘‘directed requirements prescribed in part 61 for appropriate. training’’ at a part 141 school prepares commercial pilots. This provision The solo cross-country requirements applicants better than less regulated would have resulted in a major shift for helicopter and gyroplane ratings are training under part 61, and makes the from the FAA’s long standing position decreased in the final rule from 250 higher-hour requirement unnecessary that part 141 graduates, even though nautical miles to 50 nautical miles to for part 141 schools. they may not meet the requirements of conform with part 61 and existing part HAI opposes the provisions for the part 61, have training equivalent to the 141 requirements. The exception for crediting of training received in a flight training requirements of part 61. As a cross-country flights in Hawaii was training device. HAI references similar result of withdrawing this proposal, the deleted in light of the reduction in the comments it expressed on proposed FAA had to increase the aeronautical distance requirement. For the reasons appendix C. NATA recommends that experience requirements from the discussed in the analysis of appendix B, the rule permit a credit for a maximum requirements proposed in Notice No. the night flying exception of § 61.131 of 20 flight hours or 25 percent of the 95–11. The final rule provides for 155 was removed from section No. 5. approved commercial pilot course, hours of total flight training time for an The FAA has modified the appendix whichever is less. Flight schools and airplane, powered-lift, or airship rating; to conform with the definitions of individual commenters express similar 115 hours of total flight training time for ‘‘flight simulator’’ and ‘‘flight training views. a rotorcraft rating; 6 hours of total flight device’’ set forth in Amendment No. 61– HAI notes that the proposed training time for a glider rating; and 10 100. The maximum possible credit for helicopter cross-country requirements flight hours and eight training flights for flight training received in a flight Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16289 simulator that meets the requirements of The proposed ground training The FAA revised the proposed § 141.41(a) is 20 percent in the final requirements consisted of the same eligibility requirements for enrollment rule. For flight training devices meeting aeronautical knowledge areas proposed in an airline transport pilot certification requirements of § 141.41(b), the in part 61 for an ATP certificate, course by modifying proposed maximum credit is 10 percent in the including windshear avoidance, and paragraph (c) of section No. 2 to indicate final rule. The FAA also notes that aeronautical decision making and that an applicant must comply with the training received in flight simulators or judgment. The course continued to requirements of subpart G of part 61 flight training devices may not be used require 40 hours of ground training. prior to enrollment and not upon course to satisfy more than 50 percent of the The proposed flight training consisted completion as originally proposed. The flight training requirements in the final of the same approved areas of operation FAA has also retained the proposal set rule. as proposed in part 61 for an ATP forth in proposed paragraph (a)(2) of For the same reasons discussed in the certificate. The course continued to section No. 4 to require at least 25 hours analysis of proposed § 61.129, category- require 25 hours of flight training with of flight training on the approved areas and class-specific references to the at least 15 hours of instrument flight of operation. Fifteen hours of this required instrument training time for training. The FAA decided not to training is instrument training. The FAA helicopters and gyroplanes are deleted specify the maximum time that may be notes that these requirements are more in the final rule. credited for stage checks and end-of- stringent than those specified in part 61, In the final rule, the proposed course tests for the same reasons however, the FAA also notes that a references to medical certificate previously stated in appendix A. school may obtain approval for a course requirements were removed, because Comments: HAI opposes the proposal with fewer hours if the course is medical certificate requirements are in paragraph (4)(b), which provides for approved in accordance with the addressed § 61.23. See the analysis of the crediting of flight training received provisions of § 141.55. that section for further discussion. in a flight training device, and The final rule is adopted with these In response to HAI’s proposal to recommends that a minimum time of 10 changes and minor editing and permit student pilots to concurrently hours in an aircraft be specified for an formatting changes. enroll in a private, instrument, and ATP course. Several other commenters, Appendix F—Flight Instructor commercial pilot certification course, including some flight schools, stated Certification Course the FAA determined that the skills and that the 10 percent credit is insufficient. knowledge gained in a private pilot A flight school commenter objects to The FAA proposed to establish a certification course are necessary establishing more stringent separate appendix for flight instructor prerequisites to enrollment in an requirements for the ATP Certification certification courses. The proposed instrument or commercial pilot Course than are normally necessary for appendix included the proposals in part certificate course. training under part 61, and cites the 61 to establish: (1) A powered-lift With respect to concerns expressed requirement for 25 hours of flight category rating, (2) separate class ratings about concurrent enrollment in the training under part 141, when the for powered gliders and nonpowered commercial pilot course and the average flight training under part 61, gliders, and (3) a flight instructor instrument rating course, the FAA notes according to the commenter, is 10 certificate for the lighter-than-air that concurrent enrollment is not a hours. The commenter also cites the 40 category. requirement but an option an individual hours of ground training under part 141, To enroll in the flight portion of the may choose to exercise, depending on compared with no similar requirement course, the FAA proposed that a person his or her circumstances. under part 61. must hold: (1) A commercial certificate The proposed rule is adopted with FAA Response: The FAA has or an ATP certificate with an aircraft these and other editorial changes. modified the appendix to conform with category and class rating appropriate to the definitions of ‘‘flight simulator’’ and the rating for which the course applies, Appendix E—Airline Transport Pilot ‘‘flight training device’’ set forth in and (2) an instrument rating in an Certificate Course Amendment No. 61–100. Upon review aircraft that is appropriate to the aircraft The FAA proposed criteria for a of concerns regarding the credit category and class for which the course certification course for an ATP limitation on training received in a applies if the course was for an airplane, certificate with an airplane, helicopter, flight simulator or flight training device, airship, or powered-lift instructor rating. or powered-lift rating. The course in the maximum possible credit allowed The proposed ground training existing appendix E, ‘‘Commercial Test for training in a flight simulator that consisted of the same aeronautical Course (Airplanes),’’ was eliminated. meets the requirements of § 141.41(a) is knowledge areas as proposed in part 61 Proposed appendix E included 50 percent in the final rule. The for a flight instructor certificate. The requirements found in existing maximum credit for training in a flight course continued to require a minimum appendix H, and also included training device that meets the of 40 hours of ground training for an provisions for the proposed powered-lift requirements of § 141.41(b) is 25 percent initial flight instructor certificate and 20 category rating. in the final rule. The FAA notes that hours for an additional flight instructor To enroll in the flight portion of the training received in flight simulators or rating. course, the FAA proposed that a person flight training devices may not be used The proposed flight training consisted be required to: (1) Hold a commercial to satisfy more than 50 percent of the of the same areas of operation as pilot certificate with the category and flight training requirements of the final proposed in part 61 for a flight class ratings for which the course rule. These changes were necessary to instructor certificate. The minimum applies and hold no restrictions; (2) ensure that the credit provisions in the hours of required flight training varied hold at least a third-class medical final rule correspond to the existing with the category or class of aircraft. A certificate; and (3) upon completion of credit provision in appendix E. course for a rating in an airplane, a the course, meet the aeronautical As previously noted, the medical rotorcraft, a powered-lift, or an airship requirements in part 61 for an ATP certification requirements are required a minimum of 25 hours of certificate that is appropriate to the withdrawn because these requirements training. A course for a rating in a ratings for which the course applies. are addressed in § 61.23 of the final rule. powered glider required 10 hours of 16290 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations training. A course for a rating in a paragraph (3)(a)(1) of appendix F is The FAA has reviewed the comments nonpowered glider required 10 hours of excessive for balloons because requesting a reduction in the hour training and 10 training flights. A course applicants for the instructor rating will requirements for flight training and for a balloon class rating required 8 already hold a commercial certificate, finds that the comments have offered no training flights. and instruction will be focused on the significant justification for reducing Comments: HAI recommends that the fundamentals of instructing, which ‘‘can these hours. Furthermore, the FAA flight instructor course requirement in be effectively taught in 5 hours.’’ notes that the training requirements paragraph (2)(a) of appendix F be According to the commenter, this also reflect the current requirements in revised to require an applicant to either applies to the material contained in appendix H. hold a commercial certificate, or be ‘‘Areas of Operation’’ in paragraph The FAA also notes that the eligibility concurrently enrolled in a commercial (4)(c)(9) of appendix F. The same requirements for enrollment in a flight course and an instrument rating course. commenter states that the requirement instructor certification course were With regard to the minimum hour for eight flights in paragraph (4)(a)(4) of clarified to reflect that an ATP seeking requirements for the flight instructor appendix F is a meaningless measure for a flight instructor certificate possess certification course, NATA states that balloons because of the variability of instrument privileges in the aircraft the proposed minimum aeronautical flight time. The commenter category and class appropriate to that training hours are insufficient while the recommends that the requirement be certificate. proposed flight training hours are specified in hours instead, and proposes In response to the comment from a excessive. NATA recommends that the 4 hours for this purpose. Finally, this balloon school operator, the FAA notes aeronautical training requirement be commenter objects to the use of the term that all flight instructor ratings for the increased to 60 hours. ‘‘performance maneuvers’’ in paragraph lighter-than-air category have been NBAA states that the requirement, (4)(c)(9)(ix) of appendix F because the withdrawn as previously discussed. proposed in paragraph (5)(b) of term has no meaning for balloons. The FAA has also modified the appendix F, that all airplane flight FAA Response: In the final rule, appendix to conform with the instructor candidates receive spin references to the proposed term definitions of ‘‘flight simulator’’ and training, may be impossible to comply ‘‘supervised pilot in command’’ were ‘‘flight training device’’ set forth in with in the case of multiengine replaced with the term ‘‘solo’’ for Amendment No. 61–100. airplanes because few, if any, reasons discussed in the analysis of The rule is adopted with these multiengine airplanes are certificated § 61.1. Proposed provisions for separate changes. for spins. NBAA proposes changing the wording to require only ground training, powered and nonpowered classes, Appendix G—Flight Instructor not flight training, for spins in airplanes within the glider category requirements, Instrument (for an airplane, helicopter, other than gliders and single-engine have been consolidated under a single or powered-lift instrument instructor airplanes. set of requirements for the glider class rating) Certification Course In its comment, FSI recommends a for the reasons discussed in section IV, The FAA proposed a separate reduction to 15 hours for flight training F. The establishment of a flight appendix addressing certification required for the addition of an airplane instructor certificate for the lighter-than- courses for a flight instructor certificate single-engine or multiengine class rating air category has not been adopted in this with an instrument rating. This to a flight instructor certificate. The section for the reasons outlined in proposed appendix included the commenter states that it conducts a 12- section IV, C. proposals in part 61 to establish: (1) A hour part 61 flight instructor In response to comments regarding powered-lift category and instrument multiengine add-on course, as well as a the proposal for an applicant for a flight rating, (2) an instrument rating for flight instructor instrument rating add- instructor rating in a rotorcraft to airships, (3) instrument ratings for on course to the flight instructor possess an instrument rating, the FAA single-engine and multiengine certificate. Jeppesen states that reducing has determined that such a requirement airplanes, and (4) a flight instructor the part 141 hour requirement would is not warranted, and has withdrawn certificate for the lighter-than-air encourage students to train under an that proposal from the final rule. category. FAA-approved part 141 course instead In response to NATA’s comment that To enroll in the flight portion of the of under part 61. the aeronautical knowledge requirement course, the FAA proposed that a person University of North Dakota Aerospace should be increased to 60 hours, the hold: (1) a commercial certificate or an (UND) recommends training conducted existing rule requires 40 hours. The ATP certificate with an aircraft category to a proficiency level rather than to a FAA did not propose raising this and class rating appropriate to the rating specific flight-hour requirement for the requirement, and therefore NATA’s for which the course applies, and (2) a flight instructor certification course. recommendation is beyond the scope of flight instructor certificate with an ERAU also objects to the mandated this rulemaking. In response to NATA’s aircraft category and class rating that is hours, and states that the FAA should complaint that the proposed flight appropriate to the instrument rating for set forth the material to be taught and training hours are excessive, the FAA which the course applies. permit the school to propose the points out that this is an existing The proposed course required a required hours for FAA approval. ERAU requirement. minimum of 15 hours of ground training states that the appendix is unclear on Regarding NBAA’s comment on the same aeronautical knowledge how or what constitutes an original concerning spin training in multiengine areas as proposed in part 61 for a flight issuance of a certificate. The ability to airplanes, the FAA agrees that few instructor certificate. The proposed issue two ratings on one certificate at multiengine airplanes are certificated course also required a minimum of 15 one time allows for an economy of time for spins. It was never required or hours of flight training on the same and of expense for students. Training to proposed for this training to be approved areas of operation as proposed a standard could also save students conducted in a multiengine airplane. in part 61 for a flight instructor considerable time and money. This requirement can be accomplished certificate. A balloon school operator states that in a single-engine aircraft that is Comments: HAI recommends that the the 40 hours of training specified in certificated for spins. flight instructor course requirement in Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16291 paragraph (2)(a) of appendix G be In response to HAI’s recommendation a minimum of 10 hours of ground revised to require a person to either that the FAA revise the provisions for training. Existing appendix H, ‘‘Flight hold a commercial pilot certificate or be crediting training time received in a Instructor Certification Course,’’ concurrently enrolled in a commercial flight training device to meet training contained a provision that stated that course and instrument rating course. requirements, the FAA notes that the initial ground training requirements HAI opposes the ratio by which time purpose of establishing percentage could be lowered by one-half if an spent training in a flight training device computations was to encourage those applicant had prior related instructional is credited, and recommends deletion of schools that desire to submit courses experience. Notice No. 95–11 proposed the subparagraphs of paragraph (4)(b) of that ‘‘train to a standard.’’ The FAA has to apply this provision to ground appendix G. determined that for courses with less instructors as well. In its comment, NATA recommends than the minimum training hour No substantive comments were deletion of paragraph (2)(b) of appendix requirements of part 141, a specific ratio received. In the final rule, the proposed G, and requests that the FAA address between time spent in an aircraft and ground instructor ratings were deleted initial and add-on training requirements time spent in a flight training device and replaced with the ground instructor in a similar fashion to proposed should be maintained. The FAA has ratings provided for in existing part paragraphs (3)(a)(1) and (3)(a)(2) of also modified the appendix to conform 143—basic, advanced, and instrument. appendix F. This would allow with the definitions of ‘‘flight For a discussion of the reasons for these applicants to receive an instrument simulator’’ and ‘‘flight training device’’ changes to the final rule, see the flight instructor certificate without set forth in Amendment No. 61–100. analysis of subpart I of part 61. The holding a flight instructor certificate. To The FAA has considered NATA’s appendix is adopted with these changes. this end, NATA recommends a comments and decided to withdraw the Appendix I—Additional Aircraft minimum of 45 hours of aeronautical requirement that a person must hold a Category or Class Rating Course knowledge training for initial flight flight instructor certificate prior to instructor applicants, and 15 hours for enrolling in a flight instructor- The FAA proposed to establish additional flight instructor ratings. instrument certification course. The criteria for certification courses for UND objects to the economic burden FAA recognizes that it is possible under adding either a category rating or a class resulting from the establishment of existing rules for an individual to obtain rating on a pilot certificate. The course separate single-engine and multiengine an instrument flight instructor in this appendix appeared in sections II instrument instructor ratings, and certificate with an instrument-instructor and III of existing appendix F. The questions what the conversion process rating without holding a flight instructor proposed appendix included the would be for current multiengine certificate. The FAA also notes that the proposals to establish a powered-lift instrument instructors. eligibility requirements for enrollment category rating as well as separate class FAA Response: In the final rule, in a flight instructor-instrument ratings for powered and nonpowered references to the proposed terms certification course were clarified to gliders. ‘‘supervised pilot in command’’ were reflect that an ATP seeking a flight The FAA proposed that to enroll in replaced with the term ‘‘solo’’ for instructor certificate with an instructor- the flight portion of the proposed reasons discussed in the analysis of instrument rating possess instrument course, a person would be required to § 61.1. The establishment of an privileges in the aircraft category and hold: (1) The minimum level pilot instrument flight instructor rating for class appropriate to that certification. certificate that is appropriate to the the lighter-than-air category has not The rule is adopted with these changes additional category or class aircraft been adopted in this section for the and other minor editorial and format rating to which the particular course reasons outlined in section IV,C. changes. applies, and (2) at least a third-class Similarly, the proposed separation of medical certificate for aircraft ratings single-engine and multiengine Appendix H—Ground Instructor that require a medical certificate for that instrument instructor ratings has not Certification Course pilot certificate level. To obtain an been adopted for the reasons presented The FAA proposed to establish additional rating at the recreational pilot in section IV,D. criteria for approval of a certification certificate level or an additional glider In response to HAI’s comment course for a ground instructor or balloon rating, applicants would have recommending that the eligibility certificate. An equivalent course is not to provide a signed and dated statement provisions of paragraph (2)(b) be revised found in existing part 141 or part 143. certifying that they have no known to permit instrument flight instructor This proposed appendix included the medical defects that would make them applicants to be concurrently enrolled proposals in part 61 to: (1) Revise unable to pilot a glider or a balloon. in a commercial pilot certification and ground instructor ratings, (2) establish a Each course approved under this instrument rating courses, the FAA did powered-lift category rating, (3) appendix was required to consist of the not propose any changes to the current establish separate class ratings for minimum requirements found under eligibility requirements that are now powered gliders and nonpowered appendix A, B, C, D, or E for the contained in existing appendix H. In gliders, (4) establish an instrument category rating or class rating for which addition, the FAA questions the benefit rating for airships, and (5) establish the course was approved at the of HAI’s recommendation to permit an instrument ratings for single-engine and appropriate pilot certificate level. applicant to be concurrently enrolled in multiengine airplanes. No substantive comments were three different training courses. The The proposed course required ground received. This appendix is being FAA believes that if an applicant were training on the same aeronautical included in the final rule with changes permitted to be enrolled concurrently in knowledge areas as proposed in part 61. that reflect the elimination of the a commercial pilot certification course, A person who enrolls for an initial separate glider classes, as explained in instrument rating course, and flight ground instructor certificate was section IV,F. The appendix also reflects instructor-instrument rating course, the required to receive a minimum of 20 changes in the current definitions of applicant would be unable to obtain hours of ground training. A person who ‘‘flight simulator’’ and ‘‘flight training benefits comparable to enrolling in each enrolls in an additional ground device,’’ and other minor terminology course individually. instructor rating was required to receive changes. The references to medical 16292 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations certificates in proposed section No. 2 the existing requirements of 10 hours of rotorcraft-helicopter rating. Each were deleted because medical certificate ground training and 10 hours of flight student enrolled in these courses was requirements are now contained in training. required to satisfactorily accomplish § 61.23. See the analysis of § 61.23 for In response to UND’s stage checks and end-of-course tests to further discussion. The proposed rule is recommendation that this appendix graduate. adopted with the changes discussed should not provide any specific hourly The FAA also proposed to require that above, as well as minor formatting and training requirements, the FAA notes a person enrolling in the flight portion editing changes. that § 141.55 permits a school to submit of the course hold at least a third-class a course for approval that contains less medical certificate, if a medical Appendix J—Aircraft Type Rating training time than in part 141. With certificate was required in part 61 of this Course, for Other Than an Airline regard to UND’s recommendation to chapter, or a signed and dated statement Transport Pilot Certificate permit the use of flight training devices, by the person certifying that the person The FAA proposal established criteria the FAA notes that this appendix enrolling had no known medical defect for an aircraft type rating course, for provides for the crediting of training that makes that person unable to pilot other than an ATP certificate, for a time received in flight simulators and a glider or a balloon. person who desires to add a type rating flight training devices that meet the The proposed agricultural aircraft on his or her private or commercial pilot requirements of § 141.41 (a) and (b). operations required a minimum of 25 certificate. The proposed course in this Flight simulators may be used to receive hours of ground training and 15 hours appendix was found in existing credit for up to 50 percent of the total of flight training as found in section No. appendix F. The course included flight training hour requirements of this 8 of existing appendix H. This proposal provisions for the powered-lift category appendix, and flight training devices eliminated the option in appendix H to rating as proposed in part 61. may be used to receive credit for up to include up to 5 hours of supervised The FAA proposed that to enroll in 25 percent of the total flight training pilot in command practice. The ground the flight portion of the proposed requirements of this appendix. The FAA training requirements were clarified and course, a person must hold: (1) At least notes that training received in flight expanded to include training on: (1) a private pilot certificate; (2) at least a simulators and flight training devices Agricultural aircraft operations; (2) safe third-class medical certificate, if a may not be used to satisfy more than 50 operating procedures for handling and medical certificate is required for the percent of the flight training dispensing agricultural and industrial type of aircraft rating sought; and (3) an requirements of the final rule. chemicals, including operating in and instrument rating, or be concurrently The final rule deletes proposed around congested areas; and (3) enrolled in a course for an instrument paragraph (b) of section No. 2, which applicable provisions of part 137. The rating in the category and class that is referred to medical certificates because flight training requirements were appropriate to the aircraft type rating for the medical certificate requirements are clarified to include training on which the course applies (if the aircraft included in § 61.23. See the analysis of agricultural aircraft operations. does not hold a VFR limitation). A that section for further discussion. The proposed course on rotorcraft person who is concurrently enrolled in The proposed rule is adopted with external-load operations continued to a course for an instrument rating would these changes and other minor editorial require a minimum of 10 hours of be required to satisfactorily accomplish changes. ground training and 15 hours of flight the required practical test concurrently training, as found in section No. 9 of with the aircraft type rating practical Appendix K—Special Preparation existing appendix H. The ground test. Courses training requirements include: (1) A minimum of 15 hours of ground The FAA proposed to establish Rotorcraft external-load operations; (2) training was proposed. A minimum of criteria in appendix K for special safe operating procedures for external- 25 hours of flight training was proposed, preparation courses, similar to those in load operations, including operating in of which at least 15 hours was required existing appendix H, ‘‘Test Preparation and around congested areas; and (3) the to be instrument flight training in the Courses.’’ These proposed courses were applicable provisions of part 133. The aircraft for which the course applied. similar to the existing test preparation flight training requirements include Comments: UND Aerospace reiterates courses, but expanded the concept of training on external-load operations. its view, as expressed with respect to specialized courses. The proposed The FAA proposed to establish basic appendixes F and G, that there should appendix included the proposals in part criteria for a test pilot course. The be no specific hourly training 61 to: (1) certificate ground instructors proposed course requirements included requirement because training should be under part 61, (2) revise aeronautical ground training on the following: (1) conducted to a proficiency level. The knowledge areas, and (3) set forth Aircraft maintenance, quality assurance, commenter also recommends revising approved areas of operation. and certification test flight operations; the language of paragraph (4)(a)(1) to The proposed appendix included: (1) (2) safe operating practices and include a reference permitting the use of flight instructor refresher courses, (2) procedures for performing aircraft a flight training device instead of an ground instructor refresher courses, (3) maintenance, quality assurance, and aircraft. special operations courses, and (4) test certification test flight operations; (3) FAA Response: Upon further review pilot courses. applicable parts of the FAR that pertain of this appendix, the FAA noted an The FAA proposed that to enroll in to aircraft maintenance, quality error in the proposed ground and flight the flight portion of the proposed assurance, and certification tests; and training hour requirements. The courses, a person must hold a pilot (4) test pilot duties and responsibilities. proposed requirements of 15 hours of certificate appropriate to the operating The course also required a minimum of ground training and 25 hours of flight privileges or authorization sought. For 15 hours of flight training on test pilot training exceeded existing training example, if after graduation the person duties and responsibilities. requirements. The FAA has determined operates an aircraft under part 133, The FAA proposed to establish that there have been no safety problems ‘‘Rotorcraft External-Load Operations,’’ minimum criteria for special operations to require such an increase in training that person was required to hold at least courses, including pipeline patrol, time. Therefore, the final rule reflects a commercial pilot certificate with a shoreline patrol, and aerial Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16293 photography. The requirements of each In addition, the FAA proposed criteria Executive Order 12866 and the course were not specifically designated. for ground instructor refresher courses. Department of Transportation’s The intent of the proposal was to The proposed contents of this course regulatory policies and procedures. This provide an incentive to, and flexibility required ground training on: (1) rulemaking document was reviewed for, part 141 pilot schools to develop Aeronautical knowledge areas of part 61 under Executive Order 12866, specialized courses and improve that apply to student, recreational, ‘‘Regulatory Planning and Review.’’ business opportunities. private, and commercial pilot This section has been determined to be The FAA proposed to revise the pilot certificates and instrument ratings; (2) ‘‘significant’’ under the Department of refresher course in section No. 7 of aeronautical knowledge areas of part 61 Transportation’s regulatory policies and existing appendix H. The course that apply to ground instructor procedures. The FAA has prepared an continued to require 4 hours of ground certificates; (3) safe pilot operating economic assessment of the final rule. training and 6 hours of flight training. practices and procedures, including The FAA has evaluated the anticipated The proposed course did not airport operations and operating in the costs and benefits, which are specifically include the current option NAS; and (4) applicable provisions of summarized below. For more detailed for up to 2 hours of the 6 hours to be parts 61 and 91 that apply to pilots and economic information, see the full directed solo practice, but permitted the ground instructor certificates. regulatory evaluation contained in the school more flexibility in designing a Comments: A balloon school opposes docket. syllabus that best fits each student’s proposed paragraphs (11) and (12) of the Discussion of Comments needs. The ground training special preparation flight instructor and requirements included: (1) Aeronautical ground instructor refresher courses, In response to Notice No. 95–11, there knowledge areas that are applicable to which require 16 hours of ground and/ were many comments relating to pilot, each student’s pilot certificate level, or flight training. The commenter states flight instructor or ground instructor, aircraft category and class rating, or that, for balloon instructor training, and pilot school certification instrument rating, as appropriate; (2) such a course can be completed in 4 requirements. The FAA’s response to safe pilot operating practices and hours, and no flight training is the technical issues raised by procedures; and (3) applicable necessary. commenters are addressed in the provisions of parts 61 and 91 for pilots. FAA Response: The FAA preamble to the rule. The comments on The flight training requirements were acknowledges the balloon school’s the economic impact of the notice and clarified to include flight training on the concerns. As discussed in section IV,C, FAA’s response are discussed as approved areas of operation that are the FAA is not adopting the proposed follows: Part-time or ‘‘Free Lance Instructors’’. applicable to the level of each student’s flight instructor certificate for the One commenter (No. 30) states that the pilot certificate, aircraft category and lighter-than-air category, and therefore renewal requirements in the proposed class rating, or instrument rating, as the proposed appendix requirements rule will place unwarranted economic appropriate, for performing pilot in would not apply to that school’s command duties and responsibilities. burdens upon new flight instructors, instructors under the final rule. those flight instructors who instruct part On April 6, 1994, the FAA issued In the final rule, the medical Amendment No. 61–95, ‘‘Renewal of time, and those ‘‘free lance’’ instructors certificate requirements for eligibility unaffiliated with a fixed base operator Flight Instructor Certificates’’ (59 FR for a course under this appendix have 17646). In that final rule, the FAA (FBO). The commenter also does not been deleted because medical certificate revised § 61.197(c) by deleting the believe that the FAA provided any requirements are now contained in current 24-hour requirement for an supporting data explaining what safety § 61.23. See the analysis of § 61.23 for approved flight instructor refresher benefit will result from the proposed further discussion. Additionally, the course. In this appendix, the FAA conversion/renewal requirements. FAA has modified the appendix to proposed establishing a flight instructor FAA Response: The FAA believes that conform with the definitions of ‘‘flight refresher course consisting of at least 16 any proposal written would inherently simulators’’ and ‘‘flight training device’’ hours of ground training, flight training, favor some groups over other groups; set forth in Amendment No. 61–100. or any combination of ground and flight however, this proposal attempts to training. The ground training included Appendix L—Pilot Ground School minimize any bias. But the bias that the the: (1) Aeronautical knowledge areas of Course commenter is talking about already exists. (This commenter states that part- part 61 that apply to student, In proposed appendix L, the FAA set recreational, private, and commercial time or ‘‘free lance’’ instructors are forth the requirements for the Pilot pilot certificates and instrument ratings; currently a threat and potential source Ground School course found in existing (2) aeronautical knowledge areas that of lost revenue to FBOs. Consequently appendix G. The proposal included an apply to flight instructors; (3) safe pilot these instructors have found it difficult additional general requirement that operating practices and procedures, to conduct any instruction of any kind ground training include those including airport operations and in a multiengine airplane unless the aeronautical knowledge areas needed to operating in the NAS; and (4) applicable instructor or the student provides one.) ‘‘develop competency, proficiency, provisions of parts 61 and 91 that apply This specific issue is also outside the resourcefulness, self-confidence, and to holders of pilot and flight instructor scope of the final rule. self-reliance in each student.’’ certificates. The flight training course With regard to the renewal No substantive comments were included a review of the: (1) approved requirements, the FAA is stating what areas of operations that are applicable to received, and except for minor editorial has been past policy as identified in student, recreational, private, and changes, the final rule is adopted as FAA Order 8700.1. Moreover, the commercial pilot certificates and proposed. proposed rule (and this final rule) is instrument ratings; and (2) necessary Regulatory Evaluation Summary somewhat less restrictive than the skills, competency, and proficiency for existing rule. The existing rule states performing flight instructor duties and Cost Benefit Analysis that the flight instructor certificate is exercising flight instructor The FAA has considered the impact valid for 2 years from the expiration responsibilities. of this rulemaking action under date. Under the final rule, if the renewal 16294 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations date is for example, December 31, 1995, who passes, or the flight instructor must The FAA acknowledges, however, that then the flight instructor can renew his pass a practical test to have his/her the language contained in the preamble or her certificate 90 days prior to the flight instructor certificate converted to the proposed rule was unclear. The expiration date. The expiration date will under the proposed changes. The FAA has corrected the preamble in the be based on the December 31, 1995, date commenter argues that this does not rule. in certain cases. increase public safety but places a huge Sharing of Expenses. Commenters Redundancy of Separate Instrument financial burden on instructors. This (Nos. 3,320; 4,237; and 5,062) believe Ratings for Single Engine and commenter states that the cost of an that the FAA should clarify and relax Multiengine Airplanes. One commenter additional multiengine instrument the interpretation of ‘‘sharing (No. 82) states that separate instrument instructor practical test would easily expenses.’’ One commenter (No. 3,320) ratings for single-engine and approach $500 per instructor, which believes that pilots should be permitted multiengine airplanes seems to be includes the rental of a light twin- to share equally the costs of aircraft redundant. engine airplane at $150 per hour rental (or equivalent costs if the aircraft Another commenter (No. 3,800) states combined with an average fee of $150 to is owned by the pilot), and not simply that the proposed change adds $200 per designated pilot examiner. fuel and oil costs. This commenter significantly to the total cost of This commenter also states that flight states that his hourly cost (based on acquiring a commercial pilot certificate instructors as a whole are highly skilled. total direct cost—insurance, with single-engine and multiengine The commenter cites a report stating maintenance, fuel) runs about $65 per class ratings. This commenter states that that for 1994, while flight instruction hour, excluding depreciation for his the added costs to him would be about accounted for over 23 percent of flying Cessna 172. Fuel and oil costs are about $5,500. activity, it accounted for only 4.5 $25 per hour. The cost to rent a similar FAA Response: The FAA is percent of fatal accidents. He concludes aircraft in his area is about $70. This withdrawing this proposal. The FAA that flight instruction is one of the safest commenter states that strict pro rata will continue to enforce current policy of all aviation activities and therefore sharing of only fuel and oil costs and will further clarify that policy in the flight instructors do not need additional discourages pilots from using their final rule. testing. aircraft and maintaining piloting skills. Separate Instrument Rating Certificate FAA Response: The FAA agrees with Sharing only fuel and oil costs with one for Single-Engine and Multiengine the commenters and is withdrawing this passenger means that the pilot assumes Airplane Instructors. A commenter (No. proposal. 80 percent or more of the true cost of 639) argues that the FAA is imposing an Passing the Instrument Proficiency ‘‘sharing expenses.’’ Finally, the undue and unnecessary financial Test of § 61.57 in an Airship. A commenter states that the FAA should burden upon an already depressed commenter (No. 1,772) states that it is encourage pilots to use their skills, industry (by requiring instructors to costly and time consuming to take a rather than financially penalizing them obtain a special instrument instructor full-blown proficiency check in an for taking passengers who wish to travel certificate specifically for multiengine airship. Each instrument approach takes to a common destination. Other aircraft). Other commenters (e.g., No. 7 to 10 times the amount of time an commenters (e.g., No. 4,792) are also 4,765) provided similar comments. The airplane or helicopter would take to opposed to the revision regarding commenter argues that the proposed execute each maneuver, based on the shared expenses. rule will do nothing to improve the slow groundspeed of the airship. With Another commenter (No. 3,407) quality of multiengine training and will any wind component, additional time believes that the revised text ‘‘share have no impact on safety. Other on the ‘‘upwind’’ portion of the equally’’ will remove confusion from commenters (e.g., Nos. 933; 1,466; approach might bring air traffic control most private pilots. However, the 1,624; 1,661; 3,133) also state that to (ATC) useable airspace to a standstill proposed text does not specifically require a separate checkride for a during such operations. At a minimum address rental of an aircraft by a pilot certified flight instructor, instrument of $500 per hour, the operating costs for a flight with passengers, all of whom and multiengine (CFII MEI) would add involved during a proficiency check share a common purpose for taking the time and cost for the instructor with no would take in excess of 5 hours and cost flight. The commenter presents an significant increase in knowledge or over $2,500. He also argues that the example showing that the pilot would safety. This commenter states that philosophy extends to instrument pay a greater share of expenses than instrument work does not change with ‘‘currency’’ requirements. Ten to twelve each of the passengers. He estimates that the addition of an engine, and CFIs who instrument approaches in 2 hours flight a Cessna 172 rents for $50 per hour. The provide multiengine training must hold time is virtually impossible to complete airplane consumes 8 gallons of fuel per a commercial multiengine license with in a fast-moving airplane, much less in hour at $2 per gallon and one-half pint instrument privileges. a vehicle moving at less than 30 knots of oil at $3 per quart. The commenter FAA Response: The FAA agrees with and more, acutely affected by winds. concluded that the proposed rule would these commenters and has withdrawn FAA Response: The existing rule reduce revenue at a number of FBOs this proposal. (§ 61.57(e)(i)) covering instrument that depend on aircraft rental revenue Ratings for Flight Instructors. A experience states that the pilot must and will reduce pilot flight hours since commenter (No. 1,661) is opposed to the have logged at least 6 hours of many pilots will not take flights that requirement that existing flight instrument time under actual or would otherwise be affordable. instructors who hold instrument simulated IFR conditions, at least three FAA Response: The FAA has airplane and multiengine ratings on of which were in flight in the category rewritten the final rule to allow for the their flight instructor certificates must of aircraft involved, including at least sharing of all expenses specified in have given 20 hours of flight training in six instrument approaches. In other § 61.113(c). a multiengine airplane for the issuance words, the pilot currently must have 6 Glider Class Ratings and Testing. A of an instrument multiengine airplane hours of instrument experience. Under commenter (No. 3,707) opposes the FAA rating. In addition, the instructor must the current rule, the commenter is dividing the glider category into two have recommended at least one student required to take a proficiency check, classes for pilot certificates and ratings: for the instrument airplane practical test therefore this comment is unfounded. powered glider and nonpowered glider. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16295

He contends that converting current be reduced in size should the FAA aircraft to bring it up to IFR training glider pilot and flight instructor require a CFI rating for balloons. The capability. In addition, small operators certificates to the new class ratings over entry costs of flying balloons is about do not have helicopter CFIIs on staff, so a 2-year period does not keep with the $35,000 for new equipment. Adding the either these schools would have to train stated goal of promoting aviation and training costs to this would make these otherwise qualified instructors, or reducing the regulatory burden. He ballooning too expensive for most replace them with other individuals. If states that there are no more than 200 people. In addition, for every lesson a helicopter instructor is not aircraft that could be classified under completed, there are usually two or instrument-rated in another category, the proposed ‘‘powered glider’’ class. He three scheduled sessions that are the cost for the instrument rating would also states that 15,000 licensed glider ‘‘weathered out.’’ Another commenter be over $10,500 per instructor. pilots would have to be retested at $300 (No. 4,437), an employee of a hot air FAA Response: The FAA agrees with per pilot or $4.5 million total. He’s not balloon manufacturer, says that the this commenter. The final rule does not even sure that there are enough certified proposed rule would result in fewer require that the equipment be class flight instructors, ground (CFI–G’s) to do balloon sales. The commenter believes specific. An applicant can take the this in 2 years. that as many as 40 employees at their instrument training in any kind of SSA (No. 5,220) does not believe that facility would lose their jobs. Other aircraft, flight simulator, or other ground the FAA should establish a class rating commenters (Nos. 4,642 and 4,903) training device. for powered gliders. The commenter believe that any increase in costs would Cost of Medical. A commenter (No. believes that the proposed rule goes limit the growth in ballooning and that 144) who flies for pleasure argues that beyond the scope of lessening the it would be impossible to maintain an he flies high performance gliders and burden of regulatory reform to establish instructor certificate under the proposed self evaluates himself because of the a class rating for a minimal size group rule because the costs of maintaining a cost of obtaining a third-class medical to that has not shown a propensity to certificate would increase, and often a fly powered aircraft. The commenter denigrate safety. The commenter cites good flight instructor may only be able states that he had an angioplasty in 1988 statistics from the Soaring Safety to train one student per year and in and states that the required tests for a Foundation showing that during the some cases no students in a given year. third-class medical after his angioplasty period of 1981 through 1995, powered Another commenter (No. 2,807) states cost about $1,800–$2,000 more. He sailplanes were involved in nine that the creation of a lighter-than-air believes that it is as ‘‘safe for powered accidents which resulted in four flight instructor rating will make pilots, flying for pleasure, out of the fatalities. The commenter also states obtaining a gas balloon certificate so terminal area, VFR day light, with one that there are currently about 200 expensive that all but the very rich will passenger, maximum four place 180 licensed powered sailplanes, and by be eliminated from obtaining a H.P. as it is for me to fly high 2002 there will be about 214. There are certificate. The current cost of helium performance gliders, with one passenger also about 300 active members in the for one flight is approximately $3,600 for pleasure, and have the same self- American Soaring Society ‘‘checked delivered to the site. With a two flight certifying ability.’’ out’’ in powered sailplanes. This minimum as proposed within 60 days, A second commenter (No. 2,857) number is expected to increase to 321 the nominal cost of the certificate will states that he has chosen to fly under pilots by the end of 2002. However, approach $10,000. part 103 in an ultralight to avoid paying there are currently about 1,000 pilots FAA Response: The FAA agrees with the $1,000 per year medical testing. ‘‘checked out’’ in powered sailplanes. these commenters and is withdrawing FAA Response: The FAA carefully Another commenter (No. 5,411) states this proposal. The FAA is not considered these cost comments as well that glider class ratings are unnecessary. establishing a flight instructor certificate as other comments pertaining to the The commenter notes that a pilot who in the lighter-than-air category because proposal that pilots who hold took his or her test in a traditional operational requirements and accident/ recreational pilot privileges, student glider, and who owns and flies a incident data do not establish a pilots operating within the limitations powered glider would, under this sufficient safety justification for the of a recreational pilot certificate, and proposal, have to hire an instructor, increased regulatory and economic those higher-rated pilots who elect to receive training in an aircraft the pilot burden. exercise only recreational pilot is already flying, get an endorsement Small Business Impact. A commenter privileges be permitted to operate from the instructor, and take another (No. 4,307) questions the FAA aircraft without holding a medical test in his or her powered glider. This conclusion that there would not be a certificate. The FAA’s overriding commenter states that there are few significant economic impact on a concern is safety, and before such a powered glider instructors and that they substantial number of small entities in significant change can be adopted, the are costly. the helicopter industry (training). This FAA must determine that the level of FAA Response: The FAA will not commenter asks how many of those safety will not be degraded. The FAA create separate class ratings for powered entities may have the desire or the has decided, therefore, to withdraw the and nonpowered gliders. There is financial ability to equip and maintain proposed change from the final rule. insufficient safety justification to their aircraft to meet these new rules, The FAA intends to conduct additional support this change for separate class and if they could, would then be willing analysis on this proposal and may issue ratings. to place these aircraft in the areas of risk a separate rulemaking action in the CFI for Lighter-than-air Aircraft. A that are proposed in the new rules. The future. commenter (No. 4,283) opposes the FAA commenter also states that proposed Elimination of ‘‘Simulated Tow’’ creating a CFI rating for lighter-than-air § 61.129(5)(i) requires 5 hours of Option. A commenter (No. 2,295) argues aircraft for several reasons. The instrument training in a helicopter. The that the elimination of the ‘‘simulated commenter states that in the state of added cost would be $1,150 per tow’’ option found in proposed Michigan during the past 15 years, there instructor. The commenter further states § 61.69(c)(2) will place a serious have been only three balloon accidents that it would force the small operator to operational and financial hardship on and they were minor in nature with no purchase ready-equipped aircraft or many glider operations. The majority of fatalities. The balloon community will spend a minimum of about $15,000 per aircraft used for glider towing are single- 16296 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations place and many two-place aircraft are a model of the Bellanca (all FAA Response: The final rule has not well suited for this service. The taildraggers). This operator states that been changed to reflect the comments of commenter estimates that over 70 they own one Piper PA 25. The nearest these individuals. The FAA will allow percent of the glider towing in the two-seat airplane is a Maule, which is the use of flight training devices to bring United States is done with single-place 200 miles away. The estimated added students up to current requirements. aircraft. The club that the commenter cost is $200 for the Maule, and $300 for Students will be issued a certificate after belongs to checks out four to five new transportation, overnight completing the requirements for a part tow pilots each year and the closest two- accommodations, and meals. 141 course. There will be no additional place tow plane is several hundred After carefully reviewing this time requirement. miles away from their operation. He information, the FAA concludes that Economic Impact on the Industry. A estimates that the additional cost for the some operators may incur added costs commenter (No. 3,818) states that the elimination of the ‘‘simulated tow’’ associated with eliminating this option. economic impact of this proposed rule option will be $500 per tow pilot. Given the lack of safety benefits, the has not been addressed and that the cost SSA (No. 5,220) also does not agree FAA is withdrawing the proposal to of training will increase without any with the FAA’s belief that safety would eliminate the simulated tow option. clear indication that there will be any be better served by eliminating the Extensive Use of Ground Trainers and benefits. second method of tow endorsement in 250-Hour Experience Requirement for FAA Response: A summary of the current § 61.69. The commenter states Part 141 Schools. A commenter (No. regulatory evaluation to the proposed that there are numerous clubs and 2,388) uses ground trainers extensively. rule along with the proposed rule and commercial operators that tow with They have found that they can provide a copy of the regulatory evaluation is single-place tow planes and eliminating more quality training in this equipment available in the public docket. In the past decade (as discussed in the the second part of § 61.69 would create given the cost than they can in aircraft. regulatory evaluation) general aviation a severe limitation on those operators. It Their present part 141-approved accidents, both overall accidents and would require having an aircraft with instrument course has 30.9 hours in fatal accidents have decreased in two pilot seats and a tow hitch available airplanes and 28.7 hours in ground number as well as in rate per 100,000 to complete the checkout, or hiring a trainers. This commenter states that aircraft hours. However, the percentage multiplace tow plane with a tow hitch their trainers would meet the of total accidents where pilot error is to do the checkouts. requirements of proposed § 141.41(a)(1), FAA Response: After the comment cited as a causal factor has increased. but would only be valid for 10 percent period closed, the FAA specifically The analysis for Notice No. 95–11 of the course. Consequently, their cost discussed this issue with SSA in order concludes that although other areas of per student would increase by $1,000 to gather additional clarifying accident causes have been addressed, and training quality would be greatly information. There are about 350 pilot error has yet to be effectively reduced. Their present course is 58 soaring sites in the United States and controlled. hours total time, of which 28 hours are about 4 tow planes per site. Of the 1,500 The FAA focused on pilot-error in a ground trainer. Ten percent of 58 tow planes, about 1,000 are single-seat related accidents due to the focus of this is only about 6 hours, or 22 hours less and 500 are two-seat airplanes. Most rulemaking on pilot training. All than present. The commenter contends operators do not use the simulated accidents where pilot error was cited as that the only way to survive would be towing option. For those operators that a cause or a factor are counted in the to reduce their course time to 35 hours do, the cost of an approved tow kit is above stated percentage of pilot error with 3.5 hours in a ground trainer. about $600 for parts and another $600 accidents. For example, accidents Another commenter addressed the for labor. Some operators may not want occurring due to weather or equipment 250-hour experience requirement for to install tow kits on their airplanes failure may also be included in the part 141 FAA approved schools. This because it chops their airplane up. count of pilot error accidents. An commenter (No. 2,554) states that Consequently, some tow pilots may accident that occurs due to depletion of economically the only incentive to have to travel to other soaring sites to fuel that is a result of pilot error is cited retain part 141 status would be the 5- be checked out in a two-place tow plane as a causal factor. That way, the FAA hour reduction in flight time required with a hitch.1 defines the number of accidents to be After the comment period closed, the for the private pilot and instrument considered by eliminating accidents that FAA also contacted the Memphis rating courses. The small difference in are solely caused by weather, systems, Soaring Society (No. 2,295) to clarify flight hours would not offset the equipment, instruments, or some other their comment.2 The commenter claims internal cost of completing flight factor not addressed by the proposed that the most common single place tow instructor ground training requirements rule. aircraft are 235 horsepower Piper PA– and conducting flight competency check Biennial Flight Review Class Specific. 25s. This aircraft, originally built for rides. A commenter (No. 4,557) was under the agricultural operations, became A third commenter (No. 4,938) argues impression that the proposed rule available for glider towing when that proposed part 141 Appendix D— would have required BFRs to be class agricultural operators moved up to Commercial Pilot Certification Course specific. This commenter provided higher-powered turbine aircraft. Some would now require pilot flight time to substantial cost data to the FAA on his two-place tow planes are the Piper increase from 190 hours to 250 hours. costs should the FAA make BFRs class Super Cub, the Citabria, the Maule, and At his pilot school, this would increase specific. the cost of the commercial certificate for FAA Response: The FAA did not 1 Based on a record of conversation between Gary their students by $3,360 to $4,260 propose, nor does the final rule require, Becker, USDT, FAA, APO–310 and James Short, depending on the mix of dual or solo that BFRs be class specific. Chairman, SSA Government Liaison Board. April flight time. The only advantage of Additional Training Required for 16 and 17, 1996. training under part 141 would be Operating High Performance Airplanes. 2 Based on a record of conversation between Duke Shepard, USDT, FAA, APO–310 and Nathan examining authority by the pilot school AOPA (No. 5412) discusses the Lemmon, President, Memphis Soaring Society. and not having to pay a designated additional training required for March 27, 1996. examiner’s fee. operating high performance airplanes. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16297

The current regulation defines high services produced by these entities Paperwork Reduction Act performance as having an engine output would involve international trade flows of more than 200 horsepower. The of aviation products or services and thus Under the Paperwork Reduction Act proposed rule changed this definition to do not impact trade opportunities for of 1995, no persons are required to include aircraft of 200 horsepower or U.S. firms doing business overseas and respond to a collection of information more. AOPA believes that this change foreign firms doing business in the unless it displays a valid OMB control will impact thousands of pilots and United States. Thus, the changes will number. The valid OMB control number additional aircraft. have no impact on trade opportunities assigned to the collection of information According to AOPA, a significant for U.S. firms doing business overseas or for § 61.3 is 2120–0034. The valid OMB number of aircraft have been type foreign firms doing business in the control number assigned to the certified at 200 horsepower and United States. collection of information for §§ 61.13 currently are not included in the high through 61.197 is 2120–0021. The valid Regulatory Flexibility Determination performance endorsement requirement. OMB control number assigned to the By lowering the requirement only one The Regulatory Flexibility Act of 1980 collection of information for part 141 is horsepower, FAA would be placing new (Act) (Public Law 96–354; September 2120–0009. training requirements on a large portion 19, 1980) was passed by Congress to Unfunded Mandates Reform Act of the pilot community with no ensure that small entities are not overly Assessment justification presented for the change. burdened by government regulations AOPA urges the FAA to maintain the relative to large entities. Because laws Title II of the Unfunded Mandates current definition of high performance and regulations designed for large at more than 200 horsepower. Reform Act of 1995 (the Act), enacted as entities have been applied uniformly to Pub. L. 104–4 on March 22, 1995, FAA Response: The FAA has small businesses without regard to scale reviewed the information provided by requires each Federal agency, to the or resources, Federal rules may impose extent permitted by law, to prepare a this and other commenters. The FAA ‘‘unnecessarily and disproportionately has decided to require separate written assessment of the effects of any burdensome demands’’ upon small Federal mandate in a proposed or final endorsements for complex and high entities. performance aircraft. However, the FAA agency rule that may result in the will not go forward with the proposal to As a result, this Act required all expenditure by State, local, and tribal include airplanes with 200 horsepower Federal agencies, including the FAA to governments, in the aggregate, or by the as high performance airplanes. determine whether any proposed private sector, of $100 million or more regulation would have ‘‘a significant (adjusted annually for inflation) in any Costs and Benefits economic impact on a substantial one year. Section 204(a) of the Act, 2 The FAA estimates, based on an number of small entities.’’ The existence U.S.C. 1534(a), requires the Federal analysis by Gellman Research of such an impact might lead to agency to develop an effective process Associates, Inc.3 (GRA), information alternative regulatory approaches that to permit timely input by elected submitted to the public docket, that the would recognize differences between officials (or their designees) of State, present value cost of this final rule the ability of small and large entities to local, and tribal governments on a discounted 7 percent over 10 years is fulfill regulatory requirements. proposed ‘‘significant intergovernmental $310,000. The only provision adding All of the major changes to the rules mandate.’’ A ‘‘significant significant costs is final § 61.101. affect pilots, flight instructors, and intergovernmental mandate’’ under the Section 61.65, which modifies the ground instructors, who are individuals Act is any provision in a Federal agency flight time requirement for an rather than business entities or regulation that would impose an instrument rating provides the greatest government entities. The revisions that enforceable duty upon State, local, and cost savings at $14.6 million annually impact pilot schools do not exceed the tribal governments, in the aggregate, of ($102.54 million discounted or 38.6 cost-threshold level, as found in FAA $100 million (adjusted annually for percent of $265 million). Order 2100.14A, ‘‘Regulatory Flexibility inflation) in any one year. Section 203 The FAA has determined that the Criteria and Guidance’’ (September of the Act, 2 U.S.C. 1533, which final rule is cost-beneficial. 1986). In fact, as this report shows, the supplements section 204(a), provides International Trade Impact Analysis final rule would result in net annual that before establishing any regulatory cost savings of about $3,000 for all pilot requirements that might significantly or The Office of Management and Budget schools. The FAA has determined that uniquely affect small governments, the (OMB) requires Federal agencies to the revisions will not have a significant agency shall have developed a plan that, determine whether any rule or economic impact on a substantial regulation will have an impact on number of small entities. among other things, provides for notice international trade. The revisions to potentially affected small discussed in this report primarily affect Federalism Implications governments, if any, and for a the domestic operations of individual meaningful and timely opportunity to The regulation herein will not have pilots, flight instructors, and ground provide input in the development of substantial direct effects on the States, instructors, not of business entities. In regulatory proposals. on the relationship between the national the case of pilot schools or aircraft government and the States, or on the This proposed rule does not meet the operators, it is not likely that the distribution of power and cost thresholds described above. Furthermore, this proposed rule would 3 The basis for this analysis is Work Order No. responsibilities among the various 27 of Contract DTFA01–88–C–00059 by Gellman levels of government. Therefore, in not impose a significant cost on small Research Associates, Inc. (GRA), titled: ‘‘Regulatory accordance with Executive Order 12612, governments and would not uniquely Evaluation, Initial Regulatory Flexibility it is determined that this rule will not affect those small governments. Determination, and Trade Impact Assessment Therefore, the requirements of Title II of Notice of Proposed Rulemaking to Revise 14 CFR have sufficient federalism implications Part 61, 14 CFR Part 141, and 14 CFR Part 143.’’ to warrant the preparation of a the Unfunded Mandates Reform Act of Jenkinton, Pennsylvania. December 23, 1992. Federalism Assessment. 1995 do not apply. 16298 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Conclusion § 1.1 General definitions. 61.13 Issuance of airman certificates, ratings, and authorizations. For the reasons discussed in the * * * * * Balloon means a lighter-than-air 61.14 Refusal to submit to a drug or alcohol preamble, and based on the findings in test. the Regulatory Flexibility Determination aircraft that is not engine driven, and that sustains flight through the use of 61.15 Offenses involving alcohol or drugs. and the International Trade Impact 61.16 Refusal to submit to an alcohol test or Analysis, the FAA has determined that either gas buoyancy or an airborne to furnish test results. this regulation is a ‘‘significant heater. 61.17 Temporary certificate. regulatory action’’ under Executive * * * * * 61.19 Duration of pilot and instructor Order 12866. In addition, the FAA Flight time means: certificates. certifies that this rule will not have a (1) Pilot time that commences when 61.21 Duration of a Category II and a significant economic impact, positive or an aircraft moves under its own power Category III pilot authorization (for other negative, on a substantial number of for the purpose of flight and ends when than part 121 and part 135 use). small entities under the criteria of the the aircraft comes to rest after landing; 61.23 Medical certificates: Requirement and Regulatory Flexibility Act. This rule is or duration. considered significant under DOT Order (2) For a glider without self-launch 61.25 Change of name. 2100.5, ‘‘Policies and Procedures for capability, pilot time that commences 61.27 Voluntary surrender or exchange of certificate. Simplification, Analysis, and Review of when the glider is towed for the purpose 61.29 Replacement of a lost or destroyed Regulations.’’ A regulatory evaluation of of flight and ends when the glider airman or medical certificate or the rule, including the Regulatory comes to rest after landing. knowledge test report. Flexibility Determination and * * * * * 61.31 Type rating requirements, additional International Trade Impact Analysis, Pilot in command means the person training, and authorization requirements. has been placed in the docket. who: 61.33 Tests: General procedure. List of Subjects (1) Has final authority and 61.35 Knowledge test: Prerequisites and responsibility for the operation and passing grades. 14 CFR Part 1 safety of the flight; 61.37 Knowledge tests: Cheating or other unauthorized conduct. Air transportation. (2) Has been designated as pilot in command before or during the flight; 61.39 Prerequisites for practical tests. 14 CFR Part 61 and 61.41 Flight training received from flight instructors not certificated by the FAA. (3) Holds the appropriate category, Air safety, Aircraft, Aircraft pilots, 61.43 Practical tests: General procedures. class, and type rating, if appropriate, for Airmen, Airplanes, Aviation safety, 61.45 Practical tests: Required aircraft and Compensation, Education, Foreign the conduct of the flight. equipment. persons, Helicopters, Pilots, Rotorcraft, * * * * * 61.47 Status of an examiner who is Safety, Students, Teachers, Powered-lift means a heavier-than-air authorized by the Administrator to Transportation. aircraft capable of vertical takeoff, conduct practical tests. 61.49 Retesting after failure. 14 CFR Part 141 vertical landing, and low speed flight that depends principally on engine- 61.51 Pilot logbooks. Air safety, Air transportation, Aircraft driven lift devices or engine thrust for 61.53 Prohibition on operations during pilots, Airmen, Airplanes, Aviation lift during these flight regimes and on medical deficiency. safety, Balloons, Education, Educational nonrotating airfoil(s) for lift during 61.55 Second-in-command qualifications. facilities, Helicopters, Pilots, Rotorcraft, horizontal flight. 61.56 Flight review. Safety, Schools, Students, Teachers, 61.57 Recent flight experience: Pilot in * * * * * Transportation. command. 3. Part 61 is revised to read as follows: 61.58 Pilot-in-command proficiency check: 14 CFR Part 143 Operation of aircraft requiring more than PART 61ÐCERTIFICATION: PILOTS, Air safety, Air transportation, Airmen, one pilot. FLIGHT INSTRUCTORS, AND GROUND 61.59 Falsification, reproduction, or Airplanes, Aviation safety, Education, INSTRUCTORS Educational Facilities, Safety, Students, alteration of applications, certificates, logbooks, reports, or records. Teachers, Transportation. SPECIAL FEDERAL AVIATION 61.60 Change of address. REGULATIONS The Amendments Subpart B—Aircraft Ratings and Pilot In consideration of the foregoing and Authorizations SFAR 58 [NOTE] under the authority of 49 U.S.C. 44702, 61.61 Applicability. the FAA amends parts 1, 61, 141, and SFAR 73 61.63 Additional aircraft ratings (other than 143 of the Federal Aviation Regulations airline transport pilot). (14 CFR parts 1, 61, 141, and 143) as Subpart A—General 61.64 [Reserved]. follows: Sec. 61.65 Instrument rating requirements. 61.1 Applicability and definitions. 61.67 Category II pilot authorization PART 1ÐDEFINITIONS AND 61.2 Certification of foreign pilots, flight requirements. ABBREVIATIONS instructors, and ground instructors. 61.68 Category III pilot authorization requirements. 1. The authority citation for part 1 61.3 Requirement for certificates, ratings, and authorizations. 61.69 Glider towing: Experience and continues to read as follows: 61.4 Approval of flight simulators and flight training requirements. Authority: 49 U.S.C. 106(g), 40113, 44701. training devices. 61.71 Graduates of an approved training 61.5 Certificates and ratings issued under program other than under this part: 2. Section 1.1 is amended by revising this part. Special rules. the definitions of balloon, flight time, 61.7 Obsolete certificates and ratings. 61.73 Military pilots or former military and pilot in command, and adding the 61.9 [Reserved] pilots: Special rules. definition of powered-lift to read as 61.11 Expired pilot certificates and 61.75 Private pilot certificate issued on the follows: reissuance. basis of a foreign pilot license. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16299

61.77 Special purpose pilot authorization: 61.167 Privileges. manipulate the controls of a Robinson model Operation of U.S.-registered civil aircraft 61.169—61.171 [Reserved] R–22 or R–44 helicopter for the purpose of leased by a person who is not a U.S. Subpart H—Flight Instructors flight after April 26, 1995, unless the citizen. awareness training specified in paragraph 61.181 Applicability. (a)(3) of this section is completed and the Subpart C—Student Pilots 61.183 Eligibility requirements. person’s logbook has been endorsed by a 61.81 Applicability. 61.185 Aeronautical knowledge. certified flight instructor authorized under 61.83 Eligibility requirements for student 61.187 Flight proficiency. pilots. 61.189 Flight instructor records. paragraph (b)(5) of this section. 61.85 Application. 61.191 Additional flight instructor ratings. (3) Awareness training must be conducted 61.87 Solo requirements for student pilots. 61.193 Flight instructor privileges. by a certified flight instructor who has been 61.89 General limitations. 61.195 Flight instructor limitations and endorsed under paragraph (b)(5) of this 61.91 [Reserved] qualifications. section and consists of instruction in the 61.93 Solo cross-country flight requirements. 61.197 Renewal of flight instructor following general subject areas: 61.95 Operations in Class B airspace and at certificates. (i) Energy management; airports located within Class B airspace. 61.199 Expired flight instructor certificates (ii) Mast bumping; and ratings. Subpart D—Recreational Pilots (iii) Low rotor RPM (blade stall); 61.201 [Reserved] (iv) Low G hazards; and 61.96 Applicability and eligibility (v) Rotor RPM decay. requirements: General. Subpart I—Ground Instructors (4) A person who can show satisfactory 61.97 Aeronautical knowledge. 61.211 Applicability. 61.98 Flight proficiency. 61.213 Eligibility requirements. completion of the manufacturer’s safety 61.99 Aeronautical experience. 61.215 Ground instructor privileges. course after January 1, 1994, may obtain an 61.100 Pilots based on small islands. 61.217 Currency requirements. endorsement from an FAA aviation safety inspector in lieu of completing the awareness 61.101 Recreational pilot privileges and Authority: 49 U.S.C. 106(g), 40113, 44701– limitations. 44703, 44707, 44709–44711, 45102–45103, training required in paragraphs (a)(1) and (a)(2) of this section. Subpart E—Private Pilots 45301–45302. (b) Aeronautical Experience: 61.102 Applicability. SPECIAL FEDERAL AVIATION (1) No person may act as pilot in command 61.103 Eligibility requirements: General. REGULATIONS of a Robinson model R–22 unless that person: 61.105 Aeronautical knowledge. SFAR No. 58 (i) Has had at least 200 flight hours in 61.107 Flight proficiency. helicopters, at least 50 flight hours of which 61.109 Aeronautical experience. Editorial Note: For the text of SFAR No. were in the Robinson R–22; or 61.110 Night flying exceptions. 58, see part 121 of this chapter. (ii) Has had at least 10 hours dual 61.111 Cross-country flights: Pilots based SFAR NO. 73ÐROBINSON R±22/R±44 on small islands. instruction in the Robinson R–22 and has SPECIAL TRAINING AND EXPERIENCE received an endorsement from a certified 61.113 Private pilot privileges and REQUIREMENTS limitations: Pilot in command. flight instructor authorized under paragraph 61.115 Balloon rating: Limitations. Sections (b)(5) of this section that the individual has 61.117 Private pilot privileges and 1. Applicability. been given the training required by this limitations: Second in command of 2. Required training, aeronautical paragraph and is proficient to act as pilot in aircraft requiring more than one pilot. experience, endorsements, and flight review. command of an R–22. Beginning 12 calendar 61.118—61.120 [Reserved]. 3. Expiration date. months after the date of the endorsement, the Subpart F—Commercial Pilots 1. Applicability. Under the procedures individual may not act as pilot in command prescribed herein, this SFAR applies to all unless the individual has completed a flight 61.121 Applicability. persons who seek to manipulate the controls review in an R–22 within the preceding 12 61.123 Eligibility requirements: General. or act as pilot in command of a Robinson 61.125 Aeronautical knowledge. calendar months and obtained an model R–22 or R–44 helicopter. The 61.127 Flight proficiency. endorsement for that flight review. The dual requirements stated in this SFAR are in 61.129 Aeronautical experience. instruction must include at least the addition to the current requirements of part 61.131 Exceptions to the night flying following abnormal and emergency requirements. 61. procedures flight training: 61.133 Commercial pilot privileges and 2. Required training, aeronautical (A) Enhanced training in autorotation limitations. experience, endorsements, and flight review. procedures, 61.135—61.141 [Reserved] (a) Awareness Training: (B) Engine rotor RPM control without the (1) Except as provided in paragraph (a)(2) use of the governor, Subpart G—Airline Transport Pilots of this section, no person may manipulate the (C) Low rotor RPM recognition and controls of a Robinson model R–22 or R–44 61.151 Applicability. recovery, and helicopter after March 27, 1995, for the 61.153 Eligibility requirements: General. (D) Effects of low G maneuvers and proper 61.155 Aeronautical knowledge. purpose of flight unless the awareness recovery procedures. 61.157 Flight proficiency. training specified in paragraph (a)(3) of this (2) No person may act as pilot in command 61.158 [Reserved] section is completed and the person’s of a Robinson model R–44 unless that person: 61.159 Aeronautical experience: Airplane logbook has been endorsed by a certified category rating. flight instructor authorized under paragraph (i) Has had at least 200 flight hours in 61.161 Aeronautical experience: Rotorcraft (b)(5) of this section. helicopters, at least 50 flight hours of which category and helicopter class rating. (2) A person who holds a rotorcraft were in the Robinson R–44; or 61.163 Aeronautical experience: Powered- category and helicopter class rating on that (ii) Has had at least 10 hours dual lift category rating. person’s pilot certificate and meets the instruction in the Robinson R–44, and has 61.165 Additional aircraft category and experience requirements of paragraph (b)(1) received an endorsement from a certified class ratings. or paragraph (b)(2) of this section may not flight instructor authorized under paragraph 16300 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(b)(5) of this section that the individual has 22, or paragraph 2(b)(2)(i) of this SFAR for (b) For the purpose of this part: been given the training required by this the R–44; paragraph and is proficient to act as pilot in (iii) Has completed flight training in an R– (1) Aeronautical experience means command of an R–44. Beginning 12 calendar 22, R–44, or both, on the following abnormal pilot time obtained in an aircraft, months after the date of the endorsement, the and emergency procedures: approved flight simulator, or approved individual may not act as pilot in command (A) Enhanced training in autorotation flight training device for meeting the unless the individual has completed a flight procedures, appropriate training and flight time review in an R–44 within the preceding 12 (B) Engine rotor RPM control without the requirements for an airman certificate, calendar months and obtained an use of the governor, rating, flight review, or recency of flight endorsement for that flight review. The dual (C) Low rotor RPM recognition and experience requirements of this part. instruction must include at least the recovery, and following abnormal and emergency (D) Effects of low G maneuvers and proper (2) Authorized instructor means— procedures flight training: recovery procedures. (i) A person who holds a valid ground (A) Enhanced training in autorotation (iv) Been authorized by endorsement from procedures, instructor certificate issued under part an FAA aviation safety inspector or 61 or part 143 of this chapter when (B) Engine rotor RPM control without the authorized designated examiner that the use of the governor, instructor has completed the appropriate conducting ground training in (C) Low rotor RPM recognition and training, meets the experience requirements, accordance with the privileges and recovery, and and has satisfactorily demonstrated an ability limitations of his or her ground (D) Effects of low G maneuvers and proper to provide instruction on the general subject instructor certificate; recovery procedures. areas of paragraph 2(a)(3) of this SFAR, and (ii) A person who holds a current (3) A person who does not hold a rotorcraft the flight training identified in paragraph category and helicopter class rating must flight instructor certificate issued under 2(b)(5)(iii) of this SFAR. part 61 of this chapter when conducting have had at least 20 hours of dual instruction (c) Flight Review: in a Robinson R–22 helicopter prior to (1) No flight review completed to satisfy ground training or flight training in operating it in solo flight. In addition, the § 61.56 by an individual after becoming accordance with the privileges and person must obtain an endorsement from a eligible to function as pilot in command in limitations of his or her flight instructor certified flight instructor authorized under a Robinson R–22 helicopter shall be valid for certificate; or paragraph (b)(5) of this section that instruction has been given in those the operation of R–22 helicopter unless that (iii) A person authorized by the maneuvers and procedures, and the flight review was taken in an R–22. Administrator to provide ground (2) No flight review completed to satisfy instructor has found the applicant proficient training or flight training under SFAR to solo a Robinson R–22. This endorsement § 61.56 by individual after becoming eligible to function as pilot in command in a No. 58, or part 61, 121, 135, or 142 of is valid for a period of 90 days. The dual this chapter when conducting ground instruction must include at least the Robinson R–44 helicopter shall be valid for following abnormal and emergency the operation of R–44 helicopter unless that training or flight training in accordance procedures flight training: flight review was taken in the R–44. with that authority. (i) Enhanced training in autorotation (3) The flight review will include a review (3) Cross-country time means that of the awareness training subject areas of procedures, time obtained in flight in an aircraft (ii) Engine rotor RPM control without the paragraph 2(a)(3) of this SFAR and the flight training identified in paragraph 2(b) of this and, except as provided in paragraph use of the governor, (b)(3)(iv) of this section, each flight must (iii) Low rotor RPM recognition and SFAR. recovery, and (d) Currency Requirements: No person may include a landing at a point other than (iv) Effects of low G maneuvers and proper act as pilot in command of a Robinson model the point of departure, and— recovery procedures. R–22 or R–44 helicopter carrying passengers (i) The person must— (4) A person who does not hold a rotorcraft unless the pilot in command has met the category and helicopter class rating must recency of flight experience requirements of (A) Hold a pilot certificate issued have had at least 20 hours of dual instruction § 61.57 in an R–22 or R–44, as appropriate. under this part; and in a Robinson R–44 helicopter prior to 3. Expiration date. This SFAR expires (B) Use dead reckoning, pilotage, operating it in solo flight. In addition, the December 31, 1997, unless sooner electronic navigation aids, radio aids, or superseded or rescinded. person must obtain an endorsement from a other navigation systems to navigate to certified flight instructor authorized under paragraph (b)(5) of this section that Subpart AÐGeneral the landing point. instruction has been given in those (ii) For the purpose of meeting the maneuvers and procedures, and the § 61.1 Applicability and definitions. cross-country time eligibility instructor has found the applicant proficient (a) This part prescribes: requirements for a private pilot to solo a Robinson R–44. This endorsement (1) The requirements for issuing pilot, certificate (except with a rotorcraft is valid for a period of 90 days. The dual flight instructor, and ground instructor rating), commercial pilot certificate, or instruction must include at least the certificates and ratings; the conditions following abnormal and emergency an instrument rating, any point of under which those certificates and landing must be at least a straight-line procedures flight training: ratings are necessary; and the privileges (i) Enhanced training in autorotation distance of more than 50 nautical miles procedures, and limitations of those certificates and from the original point of departure. (ii) Engine rotor RPM control without the ratings. (2) The requirements for issuing pilot, (iii) For the purpose of meeting the use of the governor, cross-country time eligibility (iii) Low rotor RPM recognition and flight instructor, and ground instructor recovery, and authorizations; the conditions under requirements for a private pilot (iv) Effects of low G maneuvers and proper which those authorizations are certificate with a rotorcraft rating, any recovery procedures. necessary; and the privileges and point of landing must be at least a (5) No certified flight instructor may limitations of those authorizations. straight-line distance of more than 25 provide instruction or conduct a flight review (3) The requirements for issuing pilot, nautical miles from the original point of in a Robinson model R–22 or R–44 unless flight instructor, and ground instructor departure. that instructor: (i) Completes the awareness training in certificates and ratings for persons who (iv) For a commercial pilot, airline paragraph (2)(a) of this SFAR; have taken courses approved by the transport pilot, or a military pilot who (ii) Meets the experience requirements of Administrator under other parts of this is qualified for a commercial pilot paragraph 2(b)(1)(i) of this SFAR for the R– chapter. certificate under § 61.73 of this part, Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16301 cross-country time includes a flight that (i) Serves as a required pilot; existing U.S. flight instructor certificate; is at least a straight-line distance of (ii) Receives training from an or more than 50 nautical miles from the authorized instructor in an aircraft, (5) The certificate is for an addition of original point of departure and uses approved flight simulator, or approved a rating onto an existing U.S. ground dead reckoning, pilotage, electronic flight training device; or instructor certificate. navigation aids, radio aids, or other (iii) Gives training as an authorized (c) Training centers and their satellite navigation systems. instructor in an aircraft, approved flight training centers certificated under part (4) Examiner means any person who simulator, or approved flight training 142 of this chapter, may, outside the is authorized by the Administrator to device. United States— conduct a pilot proficiency test or a (13) Practical test means a test on the (1) Prepare and recommend practical test for an airman certificate or areas of operations for an airman applicants for additional ratings of and rating issued under this part, or a person certificate, rating, or authorization that endorsements to certificates issued who is authorized to conduct a is conducted by having the applicant under this part, and issue additional knowledge test under this part. respond to questions and demonstrate ratings and provide endorsements (5) Flight simulator means a device maneuvers in flight, in an approved within the authority granted to that that— flight simulator, or in an approved flight training center by the Administrator; (i) Is a full-size aircraft cockpit replica training device. and of a specific type of aircraft, or make, (14) Set of aircraft means aircraft that (2) Prepare and recommend U.S. model, and series of aircraft; share similar performance citizen applicants for airman (ii) Includes the hardware and characteristics, such as similar airspeed certificates, and issue certificates to U.S. software necessary to represent the and altitude operating envelopes, citizens within the authority granted to aircraft in ground operations and flight similar handling characteristics, and the that training center by the operations; same number and type of propulsion Administrator. (iii) Uses a force cueing system that systems. provides cues at least equivalent to § 61.3 Requirement for certificates, (15) Training time means training ratings, and authorizations. those cues provided by a 3 degree received— freedom of motion system; (i) In flight from an authorized (a) Pilot certificate. A person may not (iv) Uses a visual system that provides instructor; act as pilot in command or in any other at least a 45 degree horizontal field of (ii) On the ground from an authorized capacity as a required pilot of a civil view and a 30 degree vertical field of instructor; or aircraft of U.S. registry, unless that view simultaneously for each pilot; and (iii) In an approved flight simulator or person has a valid pilot certificate or (v) Has been evaluated, qualified, and approved flight training device from an special purpose pilot authorization approved by the Administrator. authorized instructor. issued under this part in that person’s (6) Flight training means that training, physical possession or readily other than ground training, received § 61.2 Certification of foreign pilots, flight accessible in the aircraft when from an authorized instructor in flight instructors, and ground instructors. exercising the privileges of that pilot in an aircraft. (a) Except as provided for in certificate or authorization. However, (7) Flight training device means a paragraph (b) of this section, an airman when the aircraft is operated within a device that— certificate may not be issued to a person foreign country, a current pilot license (i) Is a full-size replica of the who is not a citizen of the United States issued by the country in which the instruments, equipment, panels, and or a resident alien of the United States aircraft is operated may be used. controls of an aircraft, or set of aircraft, unless that person passes the (b) Required pilot certificate for in an open flight deck area or in an appropriate knowledge or practical test operating a foreign-registered aircraft. A enclosed cockpit, including the within the United States. person may not act as pilot in command hardware and software for the systems (b) A person who is not a citizen of or in any other capacity as a required installed, that is necessary to simulate the United States or a resident alien of pilot of a civil aircraft of foreign registry the aircraft in ground and flight the United States may be issued an within the United States, unless that operations; (ii) Need not have a force (motion) airman certificate, and the knowledge person’s pilot certificate: cueing or visual system; and test and practical test for that certificate (1) Is valid and in that person’s (iii) Has been evaluated, qualified, may be administered outside the United physical possession, or readily and approved by the Administrator. States when: accessible in the aircraft when (8) Ground training means that (1) The Administrator determines the exercising the privileges of that pilot training, other than flight training, person needs a pilot certificate to certificate; and received from an authorized instructor. operate as a required pilot crewmember (2) Has been issued under this part, or (9) Instrument approach means an of a civil aircraft of U.S. registry; has been issued or validated by the approach procedure defined in part 97 (2) The Administrator determines the country in which the aircraft is of this chapter. person needs a flight instructor registered. (10) Instrument training means that certificate or ground instructor (c) Medical certificate. (1) Except as time in which instrument training is certificate to train persons who are provided for in paragraph (c)(2) of this received from an authorized instructor citizens of the United States; section, a person who is acting as pilot under actual or simulated instrument (3) The certificate is for an addition of in command or in any other capacity as conditions. a category, class, instrument, or type a required crewmember under any part (11) Knowledge test means a test on rating onto an existing U.S. pilot of this chapter must have a current and the aeronautical knowledge areas certificate, provided the certificate is not appropriate medical certificate, or other required for an airman certificate or one that was issued on the basis of a documentation acceptable to the rating that can be administered in foreign pilot license; Administrator, that has been issued written form or by a computer. (4) The certificate is for an addition, under part 67 of this chapter and is in (12) Pilot time means that time in renewal, or reinstatement of a category, the person’s physical possession or which a person— class, or instrument rating onto an readily accessible in the aircraft. 16302 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(2) A person is not required to meet provided the training is given in (ii) Holds an airline transport pilot the requirements of paragraph (c)(1) of accordance with the privileges of the certificate with category and class this section if that person— certificate in a lighter-than-air aircraft; ratings for that aircraft; or (i) Is exercising the privileges of a (ii) The holder of an airline transport (iii) In the case of a civil aircraft of student pilot certificate while seeking a pilot certificate with a rating foreign registry, is authorized by the pilot certificate with a glider category appropriate to the aircraft in which the country of registry to act as second in rating or balloon class rating; training is given, provided the training command of that aircraft during (ii) Is holding a pilot certificate with is given in accordance with the Category II operations. a balloon class rating and is piloting or privileges of the certificate and (g) Category III pilot authorization. providing training in a balloon as conducted in accordance with an Except for a pilot conducting Category appropriate; approved air carrier training program III operations under part 121 or part (iii) Is holding a pilot certificate or a approved under part 121 or 135 of this 135, a person may not: flight instructor certificate with a glider chapter; (1) Act as pilot in command of a civil category rating, and is piloting or (iii) A person who is qualified in aircraft during Category III operations providing training in a glider, as accordance with subpart C of part 142 unless that person— appropriate; of this chapter, provided the training is (i) Holds a current Category III pilot (iv) Except as provided in paragraph conducted in accordance with an authorization for that category or class (c)(2)(iii) of this section, is exercising approved part 142 training program; of aircraft, and the type of aircraft, if the privileges of a flight instructor (iv) A flight instructor not certificated applicable; or certificate, provided the person is not by the FAA in accordance with § 61.41 (ii) In the case of a civil aircraft of acting as pilot in command or as a of this part; or foreign registry, is authorized by the required crewmember; (v) The holder of a ground instructor country of registry to act as pilot in (v) Is exercising the privileges of a certificate in accordance with the command of that aircraft in Category III ground instructor certificate; privileges of the certificate. operations. (vi) Is operating an aircraft within a (e) Instrument rating. No person may (2) Act as second in command of a foreign country using a pilot license act as pilot in command of a civil civil aircraft during Category III issued by that country and possesses aircraft under IFR or in weather operations unless that person— evidence of current medical conditions less than the minimums (i) Holds a valid pilot certificate with qualification for that license; or prescribed for VFR flight unless that category and class ratings for that (vii) Is operating an aircraft with a person holds: aircraft and a current instrument rating U.S. pilot certificate, issued on the basis (1) The appropriate aircraft category, for that category aircraft; of a foreign pilot license, issued under class, type (if required), and instrument (ii) Holds an airline transport pilot § 61.75 of this part, and holds a current rating on that person’s pilot certificate certificate with category and class medical certificate issued by the foreign for any airplane, helicopter, or powered- ratings for that aircraft; or country that issued the foreign pilot lift being flown; (iii) In the case of a civil aircraft of license, which is in that person’s (2) An airline transport pilot foreign registry, is authorized by the physical possession or readily certificate with the appropriate aircraft country of registry to act as second in accessible in the aircraft when category, class, and type rating (if command of that aircraft during exercising the privileges of that airman required) for the aircraft being flown; Category III operations. certificate. (d) Flight instructor certificate. (1) A (3) For a glider, a pilot certificate with (h) Category A aircraft pilot person who holds a flight instructor a glider category rating and an airplane authorization. The Administrator may certificate must have that certificate, or instrument rating; or issue a certificate of authorization for a other documentation acceptable to the (4) For an airship, a commercial pilot Category II or Category III operation to Administrator, in that person’s physical certificate with a lighter-than-air the pilot of a small aircraft that is a possession or readily accessible in the category rating and airship class rating. Category A aircraft, as identified in aircraft when exercising the privileges (f) Category II pilot authorization. § 97.3(b)(1) of this chapter if: of that flight instructor certificate. Except for a pilot conducting Category (1) The Administrator determines that (2) Except as provided in paragraph II operations under part 121 or part 135, the Category II or Category III operation (d)(3) of this section, no person other a person may not: can be performed safely by that pilot than the holder of a flight instructor (1) Act as pilot in command of a civil under the terms of the certificate of certificate with the appropriate rating on aircraft during Category II operations authorization; and that certificate may— unless that person— (2) The Category II or Category III (i) Give training required to qualify a (i) Holds a current Category II pilot operation does not involve the carriage person for solo flight and solo cross- authorization for that category or class of persons or property for compensation country flight; of aircraft, and the type of aircraft, if or hire. (ii) Endorse an applicant for a pilot, applicable; or (i) Ground instructor certificate. (1) flight instructor, or ground instructor (ii) In the case of a civil aircraft of Each person who holds a ground certificate or rating issued under this foreign registry, is authorized by the instructor certificate must have that part; country of registry to act as pilot in certificate in that person’s physical (iii) Endorse a pilot logbook to show command of that aircraft in Category II possession or immediately accessible training given; or operations. when exercising the privileges of that (iv) Endorse a student pilot certificate (2) Act as second in command of a certificate. and logbook for solo operating civil aircraft during Category II (2) Except as provided in paragraph privileges. operations unless that person— (d) of this section, no person other than (3) A flight instructor certificate is not (i) Holds a valid pilot certificate with the holder of a ground instructor necessary if the training is given by— category and class ratings for that certificate with the appropriate rating on (i) The holder of a commercial pilot aircraft and a current instrument rating that certificate or a person authorized by certificate with a lighter-than-air rating, for that category aircraft; the Administrator may— Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16303

(i) Give ground training required to in the aircraft when exercising the accomplishes the training and qualify a person for solo flight and solo privileges of that authorization. certification requirements for the rating cross-country flight; (l) Inspection of certificate. Each sought: (ii) Endorse an applicant for a person who holds an airman certificate, (1) Aircraft category ratings— knowledge test required for a pilot, medical certificate, authorization, or (i) Airplane. flight instructor, or ground instructor license required by this part must (ii) Rotorcraft. certificate or rating issued under this present it for inspection upon a request (iii) Glider. part; or from: (iv) Lighter-than-air. (iii) Endorse a pilot logbook to show (1) The Administrator; (v) Powered-lift. ground training given. (2) An authorized representative of (2) Airplane class ratings— (j) Age limitation for certain the National Transportation Safety (i) Single-engine land. operations. Board; or (ii) Multiengine land. (1) Age limitation. Except as provided (3) Any Federal, State, or local law (iii) Single-engine sea. in paragraph (j)(3) of this section, no enforcement officer. (iv) Multiengine sea. person who holds a pilot certificate (3) Rotorcraft class ratings— issued under this part shall serve as a § 61.4 Approval of flight simulators and (i) Helicopter. pilot on a civil airplane of U.S. registry flight training devices. (ii) Gyroplane. in the following operations if the person (a) Except as specified in paragraph (4) Lighter-than-air class ratings— has reached his or her 60th birthday— (b) or (c) of this section, each flight (i) Airship. (i) Scheduled international air simulator and flight training device (ii) Balloon. services carrying passengers in turbojet- used for training, and for which an (5) Aircraft type ratings— powered airplanes; airman is to receive credit to satisfy any (i) Large aircraft other than lighter- (ii) Scheduled international air training, testing, or checking than-air. services carrying passengers in airplanes requirement under this chapter, must be (ii) Turbojet-powered airplanes. having a passenger-seat configuration of approved by the Administrator for— (iii) Other aircraft type ratings more than nine passenger seats, (1) The training, testing, and checking specified by the Administrator through excluding each crewmember seat; for which it is used; the aircraft type certification (iii) Nonscheduled international air (2) Each particular maneuver, procedures. transportation for compensation or hire procedure, or crewmember function (6) Instrument ratings (on private and in airplanes having a passenger-seat performed; and commercial pilot certificates only)— configuration of more than 30 passenger (3) The representation of the specific (i) Instrument—Airplane. seats, excluding each crewmember seat; category and class of aircraft, type of (ii) Instrument—Helicopter. or aircraft, particular variation within the (iii) Instrument—Powered-lift. (iv) Scheduled international air type of aircraft, or set of aircraft for (c) The following ratings are placed services, or nonscheduled international certain flight training devices. on a flight instructor certificate when an air transportation for compensation or (b) Any device used for flight training, applicant satisfactorily accomplishes hire, in airplanes having a payload testing, or checking that has been the training and certification capacity of more than 7,500 pounds. determined to be acceptable to or requirements for the rating sought: (2) Definitions. (i) ‘‘International air approved by the Administrator prior to (1) Aircraft category ratings— service,’’ as used in paragraph (j) of this August 1, 1996, which can be shown to (i) Airplane. section, means scheduled air service function as originally designed, is (ii) Rotorcraft. performed in airplanes for the public considered to be a flight training device, (iii) Glider. transport of passengers, mail, or cargo, provided it is used for the same (iv) Powered-lift. in which the service passes through the purposes for which it was originally (2) Airplane class ratings— airspace over the territory of more than accepted or approved and only to the (i) Single-engine. one country. extent of such acceptance or approval. (ii) Multiengine. (ii) ‘‘International air transportation,’’ (c) The Administrator may approve a (3) Rotorcraft class ratings— as used in paragraph (j) of this section, device other than a flight training (i) Helicopter. means air transportation performed in simulator or flight training device for (ii) Gyroplane. airplanes for the public transport of specific purposes. (4) Instrument ratings— passengers, mail, or cargo, in which the (i) Instrument—Airplane. service passes through the airspace over § 61.5 Certificates and ratings issued (ii) Instrument—Helicopter. the territory of more than one country. under this part. (iii) Instrument—Powered-lift. (3) Delayed pilot age limitation. Until (a) The following certificates are (d) The following ratings are placed December 20, 1999, a person may serve issued under this part to an applicant on a ground instructor certificate when as a pilot in operations covered by this who satisfactorily accomplishes the an applicant satisfactorily accomplishes paragraph after that person has reached training and certification requirements the training and certification his or her 60th birthday if, on March 20, for the certificate sought: requirements for the rating sought: 1997, that person was employed as a (1) Pilot certificates— (1) Basic. pilot in operations covered by this (i) Student pilot. (2) Advanced. paragraph. (ii) Recreational pilot. (3) Instrument. (k) Special purpose pilot (iii) Private pilot. authorization. Any person that is (iv) Commercial pilot. § 61.7 Obsolete certificates and ratings. required to hold a special purpose pilot (v) Airline transport pilot. (a) The holder of a free-balloon pilot authorization, issued in accordance (2) Flight instructor certificates. certificate issued before November 1, with § 61.77 of this part, must have that (3) Ground instructor certificates. 1973, may not exercise the privileges of authorization and the person’s foreign (b) The following ratings are placed that certificate. pilot license in that person’s physical on a pilot certificate (other than student (b) The holder of a pilot certificate possession or have it readily accessible pilot) when an applicant satisfactorily that bears any of the following category 16304 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations ratings without an associated class (i) Student pilot certificate that is (ii) In the case of Category III rating may not exercise the privileges of issued outside the United States; or limitations, a limitation is removed as that category rating: (ii) Knowledge test or practical test for specified in the authorization. (1) Rotorcraft. a U.S. airman certificate or rating issued (4) To meet the experience (2) Lighter-than-air. under this part, if the test is requirement of paragraph (e)(3) of this (3) Helicopter. administered outside the United States. section, and for the practical test (4) Autogyro. (2) May be refused issuance of any required by this part for a Category II or U.S. airman certificate, rating, or a Category III pilot authorization, a § 61.9 [Reserved] authorization by the Administrator. flight simulator or flight training device § 61.11 Expired pilot certificates and (c) Except as provided in paragraph may be used if it is approved by the reissuance. (b)(2) of this section, an applicant who Administrator for such use. (a) No person who holds an expired satisfactorily accomplishes the training (f) Unless otherwise authorized by the pilot certificate or rating may: and certification requirements for the Administrator, a person whose pilot, (1) Exercise the privileges of that pilot certificate, rating, or authorization flight instructor, or ground instructor certificate or rating; or sought is entitled to receive that airman certificate has been suspended may not (2) Act as pilot in command or as a certificate, rating, or authorization. apply for any certificate, rating, or required crewmember of an aircraft of (d) Limitations. (1) An applicant who authorization during the period of the same category and class specified on cannot comply with certain areas of suspension. the expired pilot certificate or rating. operation required on the practical test (g) Unless otherwise authorized by the (b) The following pilot certificates and because of physical limitations may be Administrator, a person whose pilot, ratings have expired and may not be issued an airman certificate, rating, or flight instructor, or ground instructor reissued: authorization with the appropriate certificate has been revoked may not (1) An airline transport pilot limitation placed on the applicant’s apply for any certificate, rating, or certificate issued before May 1, 1949, or airman certificate provided the— authorization for 1 year after the date of an airline transport pilot certificate that (i) Applicant is able to meet all other revocation. contains a horsepower limitation; certification requirements for the airman § 61.14 Refusal to submit to a drug or (2) A private or commercial pilot certificate, rating, or authorization alcohol test. certificate issued before July 1, 1945; sought; (a) This section applies to an (ii) Physical limitation has been and employee who performs a function recorded with the FAA on the (3) A pilot certificate with a lighter- listed in appendix I to part 121 or applicant’s medical records; and than-air or free-balloon rating issued appendix J to part 121 of this chapter (iii) The Administrator determines before July 1, 1945. directly or by contract for a part 121 air that the applicant’s inability to perform (c) A pilot certificate issued on the carrier, a part 135 air carrier, or for a the particular area of operation will not basis of a foreign pilot license will person conducting operations as expire on the date the foreign license adversely affect safety. (2) A limitation placed on a person’s specified in § 135.1(a)(5) of this chapter. expires. (b) Refusal by the holder of a airman certificate may be removed, (d) An airline transport pilot certificate issued under this part to take provided that person demonstrates for certificate issued after April 30, 1949, a drug test required under the that bears an expiration date but does an examiner satisfactory proficiency in provisions of appendix I to part 121 or not contain a horsepower limitation the area of operation appropriate to the an alcohol test required under the may be reissued without an expiration airman certificate, rating, or provisions of appendix J to part 121 is date. authorization sought. grounds for: (e) A private or commercial pilot (e) Additional requirements for (1) Denial of an application for any certificate issued after June 30, 1945, Category II and Category III pilot certificate, rating, or authorization that bears an expiration date may be authorizations. (1) A Category II or issued under this part for a period of up reissued without an expiration date. Category III pilot authorization is issued to 1 year after the date of such refusal; (f) A pilot certificate with a lighter- by a letter of authorization as a part of and than-air or free-balloon rating issued an applicant’s instrument rating or (2) Suspension or revocation of any after June 30, 1945, that bears an airline transport pilot certificate. certificate, rating, or authorization expiration date may be reissued without (2) Upon original issue the issued under this part. an expiration date. authorization contains the following (g) A U.S. pilot certificate issued on limitations— § 61.15 Offenses involving alcohol or the basis of a foreign pilot license that (i) For Category II operations, the drugs. does not have an expiration date may be limitation is 1,600 feet RVR and a 150- (a) A conviction for the violation of issued without an expiration date. foot decision height; and any Federal or State statute relating to (ii) For Category III operations, each the growing, processing, manufacture, § 61.13 Issuance of airman certificates, initial limitation is specified in the sale, disposition, possession, ratings, and authorizations. authorization document. transportation, or importation of (a) An applicant for an airman (3) The limitations on a Category II or narcotic drugs, marijuana, or depressant certificate, rating, or authorization Category III pilot authorization may be or stimulant drugs or substances is under this part must make that removed as follows: grounds for: application on a form and in a manner (i) In the case of Category II (1) Denial of an application for any acceptable to the Administrator. limitations, a limitation is removed certificate, rating, or authorization (b) An applicant who is neither a when the holder shows that, since the issued under this part for a period of up citizen of the United States nor a beginning of the sixth preceding month, to 1 year after the date of final resident alien of the United States: the holder has made three Category II conviction; or (1) Must show evidence that the ILS approaches with a 150-foot decision (2) Suspension or revocation of any appropriate fee has been paid when that height to a landing under actual or certificate, rating, or authorization person applies for a— simulated instrument conditions. issued under this part. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16305

(b) Committing an act prohibited by incident or arose out of the same factual issued on the basis of a foreign pilot § 91.17(a) or § 91.19(a) of this chapter is circumstances related to a previously license may exercise the privileges of grounds for: reported motor vehicle action. that certificate only while that person’s (1) Denial of an application for a (f) Failure to comply with paragraph foreign pilot license is effective. certificate, rating, or authorization (e) of this section is grounds for: (d) Flight instructor certificate. A issued under this part for a period of up (1) Denial of an application for any flight instructor certificate: to 1 year after the date of that act; or certificate, rating, or authorization (1) Is effective only while the holder (2) Suspension or revocation of any issued under this part for a period of up has a current pilot certificate; and certificate, rating, or authorization to 1 year after the date of the motor (2) Except as specified in § 61.197(b) issued under this part. vehicle action; or of this part, expires 24 calendar months (c) For the purposes of paragraphs (d), (2) Suspension or revocation of any from the month in which it was issued (e), and (f) of this section, a motor certificate, rating, or authorization or renewed. vehicle action means: issued under this part. (e) Ground instructor certificate. A (1) A conviction after November 29, ground instructor certificate issued 1990, for the violation of any Federal or § 61.16 Refusal to submit to an alcohol under this part is issued without a State statute relating to the operation of test or to furnish test results. specific expiration date. a motor vehicle while intoxicated by A refusal to submit to a test to (f) Surrender, suspension, or alcohol or a drug, while impaired by indicate the percentage by weight of revocation. Any certificate issued under alcohol or a drug, or while under the alcohol in the blood, when requested by this part ceases to be effective if it is influence of alcohol or a drug; a law enforcement officer in accordance surrendered, suspended, or revoked. (2) The cancellation, suspension, or with § 91.17(c) of this chapter, or a (g) Return of certificates. The holder revocation of a license to operate a refusal to furnish or authorize the of any certificate issued under this part motor vehicle after November 29, 1990, release of the test results requested by that has been suspended or revoked for a cause related to the operation of a the Administrator in accordance with must return that certificate to the FAA motor vehicle while intoxicated by § 91.17(c) or (d) of this chapter, is when requested to do so by the alcohol or a drug, while impaired by grounds for: Administrator. alcohol or a drug, or while under the (a) Denial of an application for any § 61.21 Duration of a Category II and a influence of alcohol or a drug; or certificate, rating, or authorization Category III pilot authorization (for other (3) The denial after November 29, issued under this part for a period of up than part 121 and part 135 use). 1990, of an application for a license to to 1 year after the date of that refusal; (a) A Category II pilot authorization or operate a motor vehicle for a cause or a Category III pilot authorization expires related to the operation of a motor (b) Suspension or revocation of any at the end of the sixth calendar month vehicle while intoxicated by alcohol or certificate, rating, or authorization after the month in which it was issued a drug, while impaired by alcohol or a issued under this part. or renewed. drug, or while under the influence of § 61.17 Temporary certificate. (b) Upon passing a practical test for a alcohol or a drug. Category II or Category III pilot (a) A temporary pilot, flight (d) Except for a motor vehicle action authorization, the authorization may be instructor, or ground instructor that results from the same incident or renewed for each type of aircraft for certificate or rating is issued for up to arises out of the same factual which the authorization is held. circumstances, a motor vehicle action 120 days, at which time a permanent (c) A Category II or Category III pilot occurring within 3 years of a previous certificate will be issued to a person authorization for a specific type aircraft motor vehicle action is grounds for: whom the Administrator finds qualified for which an authorization is held will (1) Denial of an application for any under this part. not be renewed beyond 12 calendar certificate, rating, or authorization (b) A temporary pilot, flight months from the month the practical issued under this part for a period of up instructor, or ground instructor test was accomplished in that type to 1 year after the date of the last motor certificate or rating expires: aircraft. vehicle action; or (1) On the expiration date shown on (d) If the holder of a Category II or (2) Suspension or revocation of any the certificate; Category III pilot authorization passes certificate, rating, or authorization (2) Upon receipt of the permanent the practical test for a renewal in the issued under this part. certificate; or month before the authorization expires, (e) Each person holding a certificate (3) Upon receipt of a notice that the the holder is considered to have passed issued under this part shall provide a certificate or rating sought is denied or it during the month the authorization written report of each motor vehicle revoked. expired. action to the FAA, Civil Aviation Security Division (AMC–700), P.O. Box § 61.19 Duration of pilot and instructor § 61.23 Medical certificates: Requirement certificates. 25810, Oklahoma City, OK 73125, not and duration. later than 60 days after the motor (a) General. The holder of a certificate (a) Operations requiring a medical vehicle action. The report must include: with an expiration date may not, after certificate. Except as provided in (1) The person’s name, address, date that date, exercise the privileges of that paragraph (b) of this section, a person: of birth, and airman certificate number; certificate. (1) Must hold a first-class medical (2) The type of violation that resulted (b) Student pilot certificate. A student certificate when exercising the in the conviction or the administrative pilot certificate expires 24 calendar privileges of an airline transport pilot action; months from the month in which it is certificate; (3) The date of the conviction or issued. (2) Must hold at least a second-class administrative action; (c) Other pilot certificates. A pilot medical certificate when exercising the (4) The State that holds the record of certificate (other than a student pilot privileges of a commercial pilot conviction or administrative action; and certificate) issued under this part is certificate; or (5) A statement of whether the motor issued without a specific expiration (3) Must hold at least a third-class vehicle action resulted from the same date. The holder of a pilot certificate medical certificate— 16306 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(i) When exercising the privileges of requiring a recreational pilot certificate, (3) Another certificate with specific a private pilot certificate; a private pilot certificate, a flight ratings deleted. (ii) When exercising the privileges of instructor certificate (when acting as (b) Any request made under a recreational pilot certificate; pilot in command or a required paragraph (a) of this section must (iii) Except as specified in paragraph crewmember in operations other than include the following signed statement (b)(3) of this section, when exercising glider or balloon), or a student pilot or its equivalent: ‘‘This request is made the privileges of a student pilot certificate. for my own reasons, with full certificate; (2) A second-class medical certificate knowledge that my (insert name of (iv) When exercising the privileges of expires at the end of the last day of— certificate or rating, as appropriate) may a flight instructor certificate, except for (i) The 12th month after the month of not be reissued to me unless I again pass a flight instructor certificate with a the date of examination shown on the the tests prescribed for its issuance.’’ glider category rating, if the person is certificate for operations requiring a commercial pilot certificate or an air § 61.29 Replacement of a lost or destroyed acting as the pilot in command or is airman or medical certificate or knowledge serving as a required crewmember; or traffic control tower operator certificate; test report. (v) Except for a glider category rating and (a) A request for the replacement of a or a balloon class rating, prior to taking (ii) The period specified in paragraph lost or destroyed airman certificate a practical test that is performed in an (c)(3) of this section for operations issued under this part shall be made by aircraft for a certificate or rating at the requiring a recreational pilot certificate, letter to the Department of recreational, private, commercial, or a private pilot certificate, a flight Transportation, FAA, Airman airline transport pilot certificate level. instructor certificate (when acting as Certification Branch, P.O. Box 25082, (b) Operations not requiring a medical pilot in command or a required Oklahoma City, OK 73125, and shall be certificate. A person is not required to crewmember in operations other than accompanied by a check or money order hold a medical certificate: glider or balloon), or a student pilot for the appropriate fee payable to the (1) When exercising the privileges of certificate. (3) A third-class medical certificate FAA. a pilot certificate with a glider category (b) A request for the replacement of a for operations requiring a recreational rating; lost or destroyed medical certificate (2) When exercising the privileges of pilot certificate, a private pilot shall be made by letter to the a pilot certificate with a balloon class certificate, a flight instructor certificate Department of Transportation, FAA, (when acting as pilot in command or a rating; Aeromedical Certification Branch, P.O. (3) When exercising the privileges of required crewmember in operations Box 25082, Oklahoma City, OK 73125, a student pilot certificate while seeking other than glider or balloon), or a and shall be accompanied by a check or a pilot certificate with a glider category student pilot certificate issued— money order for the appropriate fee rating or balloon class rating; (i) Before September 16, 1996, expires payable to the FAA. at the end of the 24th month after the (4) When exercising the privileges of (c) A request for the replacement of a month of the date of examination shown a flight instructor certificate with a lost or destroyed knowledge test report on the certificate; or glider category rating; shall be made by letter to the (5) When exercising the privileges of (ii) On or after September 16, 1996, Department of Transportation, FAA, a flight instructor certificate if the expires at the end of: Airman Certification Branch, P.O. Box person is not acting as pilot in (A) The 36th month after the month 25082, Oklahoma City, OK 73125, and command or serving as a required of the date of the examination shown on shall be accompanied by a check or crewmember; the certificate if the person has not money order for the appropriate fee (6) When exercising the privileges of reached his or her 40th birthday on or payable to the FAA. a ground instructor certificate; before the date of examination; or (d) The letter requesting replacement (7) When serving as an examiner or (B) The 24th month after the month of of a lost or destroyed airman certificate, check airman during the administration the date of the examination shown on medical certificate, or knowledge test of a test or check for a certificate, rating, the certificate if the person has reached his or her 40th birthday on or before the report must state: or authorization conducted in an (1) The name of the person; date of the examination. approved flight simulator or approved (2) The permanent mailing address flight training device; or § 61.25 Change of name. (including ZIP code), or if the (8) When taking a test or check for a permanent mailing address includes a certificate, rating, or authorization (a) An application to change the name on a certificate issued under this part post office box number, then the conducted in an approved flight person’s current residential address; simulator or approved flight training must be accompanied by the applicant’s: (3) The social security number; device. (4) The date and place of birth of the (c) Duration of a medical certificate. (1) Current airman certificate; and (2) A copy of the marriage license, certificate holder; and (1) A first-class medical certificate court order, or other document verifying (5) Any available information expires at the end of the last day of— regarding the— (i) The sixth month after the month of the name change. (b) The documents in paragraph (a) of (i) Grade, number, and date of the date of examination shown on the this section will be returned to the issuance of the certificate, and the certificate for operations requiring an applicant after inspection. ratings, if applicable; airline transport pilot certificate; (ii) Date of the medical examination, (ii) The 12th month after the month of § 61.27 Voluntary surrender or exchange if applicable; and the date of examination shown on the of certificate. (iii) Date the knowledge test was certificate for operations requiring a (a) The holder of a certificate issued taken, if applicable. commercial pilot certificate or an air under this part may voluntarily (e) A person who has lost an airman traffic control tower operator certificate; surrender it for: certificate, medical certificate, or and (1) Cancellation; knowledge test report may obtain a (iii) The period specified in paragraph (2) Issuance of a lower grade facsimile from the FAA confirming that (c)(3) of this section for operations certificate; or it was issued and the: Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16307

(1) Facsimile may be carried as an is carrying another person, or is person is proficient to operate a airman certificate, medical certificate, or operated for compensation or hire. That complex airplane. knowledge test report, as appropriate, person also may not act as pilot in (2) The training and endorsement for up to 60 days pending the person’s command of that aircraft for required by paragraph (f)(1) of this receipt of a duplicate under paragraph compensation or hire. section is not required if the person has (a), (b), or (c) of this section, unless the (d) Aircraft category, class, and type logged flight time as pilot in command person has been notified that the ratings: Limitations on operating an of a complex airplane, or in an approved certificate has been suspended or aircraft as the pilot in command. To flight simulator or approved flight revoked. serve as the pilot in command of an training device that is representative of (2) Request for such a facsimile must aircraft, a person must: a complex airplane prior to August 4, include the date on which a duplicate (1) Hold the appropriate category, 1997. certificate or knowledge test report was class, and type rating (if a class rating (g) Additional training required for previously requested. and type rating is required) for the operating high-performance airplanes. aircraft to be flown; § 61.31 Type rating requirements, (1) Except as provided in paragraph (2) Be receiving training for the (g)(2) of this section, no person may act additional training, and authorization purpose of obtaining an additional pilot requirements. as pilot in command of a high- certificate and rating that are performance airplane (an airplane with (a) Type ratings required. A person appropriate to that aircraft, and be who acts as a pilot in command of any an engine of more than 200 under the supervision of an authorized horsepower), unless the person has— of the following aircraft must hold a instructor; or type rating for that aircraft: (3) Have received training required by (i) Received and logged ground and (1) Large aircraft (except lighter-than- this part that is appropriate to the flight training from an authorized air). aircraft category, class, and type rating instructor in a high-performance (2) Turbojet-powered airplanes. (if a class or type rating is required) for airplane, or in an approved flight (3) Other aircraft specified by the the aircraft to be flown, and have simulator or approved flight training Administrator through aircraft type received the required endorsements device that is representative of a high- certificate procedures. from an instructor who is authorized to performance airplane, and has been (b) Authorization in lieu of a type provide the required endorsements for found proficient in the operation and rating. A person may be authorized to solo flight in that aircraft. systems of the airplane; and operate an aircraft requiring a type (e) Exceptions. (1) This section does (ii) Received a one-time endorsement rating without a type rating for up to 60 not require a category and class rating in the pilot’s logbook from an days, provided: for aircraft not type certificated as authorized instructor who certifies the (1) The Administrator has authorized airplanes, rotorcraft, gliders, powered- person is proficient to operate a high- the flight or series of flights; lift, or lighter-than-air aircraft. performance airplane. (2) The Administrator has determined (2) The rating limitations of this (2) The training and endorsement that an equivalent level of safety can be section do not apply to: required by paragraph (g)(1) of this achieved through the operating (i) An applicant when taking a section is not required if the person has limitations on the authorization; practical test given by an examiner; logged flight time as pilot in command (3) The person shows that compliance (ii) The holder of a student pilot of a high-performance airplane, or in an with paragraph (a) of this section is certificate; approved flight simulator or approved impracticable for the flight or series of (iii) The holder of a pilot certificate flight training device that is flights; and when operating an aircraft under the representative of a high-performance (4) The flight— authority of an experimental or airplane prior to August 4, 1997. (i) Involves only a ferry flight, training provisional aircraft type certificate; and (h) Additional training required for flight, test flight, or practical test for a (iv) The holder of a pilot certificate operating pressurized aircraft capable of pilot certificate or rating; with a lighter-than-air category rating operating at high altitudes. (1) Except as (ii) Is within the United States; when operating a balloon. provided in paragraph (h)(3) of this (iii) Does not involve operations for (f) Additional training required for section, no person may act as pilot in compensation or hire unless the operating complex airplanes. (1) Except command of a pressurized aircraft (an compensation or hire involves payment as provided in paragraph (f)(2) of this aircraft that has a service ceiling or for the use of the aircraft for training or section, no person may act as pilot in maximum operating altitude, whichever taking a practical test; and command of a complex airplane (an is lower, above 25,000 feet MSL), unless (iv) Involves only the carriage of flight airplane that has a retractable landing that person has received and logged crewmembers considered essential for gear, flaps, and a controllable pitch ground training from an authorized the flight. propeller; or, in the case of a seaplane, instructor. The ground training must (5) If the flight or series of flights flaps and a controllable pitch propeller), include at least the following subjects— cannot be accomplished within the time unless the person has— (i) High-altitude aerodynamics and limit of the authorization, the (i) Received and logged ground and meteorology; Administrator may authorize an flight training from an authorized (ii) Respiration; additional period of up to 60 days to instructor in a complex airplane, or in accomplish the flight or series of flights. an approved flight simulator or (iii) Effects, symptoms, and causes of (c) Aircraft category, class, and type approved flight training device that is hypoxia and any other high-altitude ratings: Limitations on the carriage of representative of a complex airplane, sickness; persons, or operating for compensation and has been found proficient in the (iv) Duration of consciousness or hire. Unless a person holds a operation and systems of the airplane; without supplemental oxygen; category, class, and type rating (if a class and (v) Effects of prolonged usage of and type rating is required) that applies (ii) Received a one-time endorsement supplemental oxygen; to the aircraft, that person may not act in the pilot’s logbook from an (vi) Causes and effects of gas as pilot in command of an aircraft that authorized instructor who certifies the expansion and gas bubble formation; 16308 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(vii) Preventive measures for section, no person may act as pilot in § 61.35 Knowledge test: Prerequisites and eliminating gas expansion, gas bubble command of a tailwheel airplane unless passing grades. formation, and high-altitude sickness; that person has: (a) An applicant for a knowledge test (viii) Physical phenomena and (1) Received and logged flight training must have: incidents of decompression; and from an authorized instructor in a (1) Received an endorsement from an (ix) Any other physiological aspects of tailwheel airplane on the maneuvers authorized instructor certifying that the high-altitude flight. and procedures listed in paragraph (j)(2) applicant accomplished a ground- (2) Except as provided in paragraph of this section. training or a home-study course (h)(3) of this section, no person may act (2) Received an endorsement in the required by this part for the certificate as pilot in command of a pressurized person’s logbook from an authorized or rating sought and is prepared for the aircraft unless that person has— knowledge test; and (i) Received and logged training from instructor who found the person (2) Proper identification at the time of an authorized instructor in a proficient in the operation of a tailwheel application that contains the pressurized aircraft, or in an approved airplane, to include at least normal and applicant’s— flight simulator or approved flight crosswind takeoffs and landings, wheel training device that is representative of landings (unless the manufacturer has (i) Photograph; a pressurized aircraft, which includes recommended against such landings), (ii) Signature; normal cruise flight operations while and go-around procedures. (iii) Date of birth, which shows the operating above 25,000 feet MSL, proper (3) The training and endorsement applicant meets or will meet the age emergency procedures for simulated required by this paragraph is not requirements of this part for the rapid decompression without actually required if the person logged pilot-in- certificate sought before the expiration depressurizing the aircraft, and command time in a tailwheel airplane date of the airman knowledge test emergency descent procedures; and before April 15, 1991. report; and (ii) An endorsement in the person’s (k) Additional training required for (iv) Actual residential address, if logbook or training record from an operating a glider. (1) No person may different from the applicant’s mailing authorized instructor who found the act as pilot in command of a glider: address. person proficient in the operation of a (i) Using ground-tow procedures, (b) The Administrator shall specify pressurized aircraft. unless that person has satisfactorily the minimum passing grade for the (3) The training and endorsement accomplished ground and flight training knowledge test. required by paragraphs (h)(1) and (h)(2) on ground-tow procedures and of this section is not required if that § 61.37 Knowledge tests: Cheating or operations, and has received an other unauthorized conduct. person can document satisfactory endorsement from an authorized accomplishment of any of the following instructor who certifies in that pilot’s (a) An applicant for a knowledge test in a pressurized aircraft, or in an logbook that the pilot has been found may not: approved flight simulator or approved proficient in ground-tow procedures (1) Copy or intentionally remove any flight training device that is and operations; knowledge test; representative of a pressurized aircraft— (ii) Using aerotow procedures, unless (2) Give to another applicant or (i) Serving as pilot in command before that person has satisfactorily receive from another applicant any part April 15, 1991; accomplished ground and flight training or copy of a knowledge test; (ii) Completing a practical test for a on aerotow procedures and operations, (3) Give assistance on, or receive pilot certificate or rating before April 15, and has received an endorsement from assistance on, a knowledge test during 1991; an authorized instructor who certifies in the period that test is being given; (iii) Completing an official pilot in that pilot’s logbook that the pilot has (4) Take any part of a knowledge test command check conducted by the been found proficient in aerotow on behalf of another person; military services of the United States; or procedures and operations; and (5) Be represented by, or represent, (iv) Completing a pilot in command another person for a knowledge test; proficiency check under part 121, 125, (iii) Using self-launch procedures, (6) Use any material or aid during the or 135 of this chapter conducted by the unless that person has satisfactorily period that the test is being given, Administrator or by an approved check accomplished ground and flight training unless specifically authorized to do so airman. on self-launch procedures and by the Administrator; and (i) Additional training required by the operations, and has received an aircraft’s type certificate. No person may endorsement from an authorized (7) Intentionally cause, assist, or serve as pilot in command of an aircraft instructor who certifies in that pilot’s participate in any act prohibited by this that the Administrator has determined logbook that the pilot has been found paragraph. requires aircraft type-specific training proficient in self-launch procedures and (b) An applicant who the unless that person has: operations. Administrator finds has committed an (1) Received and logged type-specific (2) The holder of a glider rating issued act prohibited by paragraph (a) of this training in the aircraft, or in an prior to August 4, 1997 is considered to section is prohibited, for 1 year after the approved flight simulator or an be in compliance with the training and date of committing that act, from: approved flight training device that is logbook endorsement requirements of (1) Applying for any certificate, rating, representative of that type of aircraft; this paragraph for the specific operating or authorization issued under this and privilege for which the holder is already chapter; and (2) Received a logbook endorsement qualified. (2) Applying for and taking any test from an authorized instructor who has under this chapter. found the person proficient in the § 61.33 Tests: General procedure. (c) Any certificate or rating held by an operation of the aircraft and its systems. Tests prescribed by or under this part applicant may be suspended or revoked (j) Additional training required for are given at times and places, and by if the Administrator finds that person operating tailwheel airplanes. Except as persons designated by the has committed an act prohibited by provided in paragraph (j)(3) of this Administrator. paragraph (a) of this section. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16309

§ 61.39 Prerequisites for practical tests. the pilot in command aircraft required tasks on the practical test is (a) Except as provided in paragraphs qualification training program that is based on that applicant’s ability to (b) and (c) of this section, to be eligible appropriate to the certificate and rating safely: for a practical test for a certificate or sought. (1) Perform the tasks specified in the rating issued under this part, an (c) A person is not required to comply areas of operation for the certificate or applicant must: with the provisions of paragraph (a)(6) rating sought within the approved (1) Pass the required knowledge test of this section if that person: standards; within the 24-calendar-month period (1) Holds a foreign-pilot license (2) Demonstrate mastery of the aircraft preceding the month the applicant issued by a contracting State to the with the successful outcome of each completes the practical test, if a Convention on International Civil task performed never seriously in doubt; knowledge test is required; Aviation that authorizes at least the (3) Demonstrate satisfactory (2) Present the knowledge test report pilot privileges of the airman certificate proficiency and competency within the at the time of application for the sought; approved standards; practical test, if a knowledge test is (2) Is applying for a type rating only, (4) Demonstrate sound judgment; and required; or a class rating with an associated type (5) Demonstrate single-pilot (3) Have satisfactorily accomplished rating; or competence if the aircraft is type the required training and obtained the (3) Is applying for an airline transport certificated for single-pilot operations. aeronautical experience prescribed by pilot certificate or an additional rating (b) If an applicant does not this part for the certificate or rating to an airline transport pilot certificate in demonstrate single pilot proficiency, as sought; an aircraft that does not require an required in paragraph (a)(5) of this (4) Hold at least a current third-class aircraft type rating practical test. section, a limitation of ‘‘Second in medical certificate, if a medical (d) If all increments of the practical Command Required’’ will be placed on certificate is required; test for a certificate or rating are not the applicant’s airman certificate. The (5) Meet the prescribed age completed on one date, all remaining limitation may be removed if the requirement of this part for the issuance increments of the test must be applicant passes the appropriate of the certificate or rating sought; satisfactorily completed not more than practical test by demonstrating single- (6) Except as provided in paragraph 60 calendar days after the date on which pilot competency in the aircraft in (c) of this section, have an endorsement the applicant began the test. which single-pilot privileges are sought. in the applicant’s logbook or training (e) If all increments of the practical (c) If an applicant fails any area of record that has been signed by an test for a certificate or a rating are not operation, that applicant fails the authorized instructor who certifies that satisfactorily completed within 60 practical test. the applicant— calendar days after the date on which (d) An applicant is not eligible for a (i) Has received and logged training the applicant began the test, the certificate or rating sought until all the time within 60 days preceding the date applicant must retake the entire areas of operation are passed. of application in preparation for the practical test, including those (e) The examiner or the applicant may practical test; increments satisfactorily completed. discontinue a practical test at any time: (ii) Is prepared for the required (1) When the applicant fails one or practical test; and § 61.41 Flight training received from flight more of the areas of operation; or (iii) Has demonstrated satisfactory instructors not certificated by the FAA. (2) Due to inclement weather knowledge of the subject areas in which (a) A person may credit flight training conditions, aircraft airworthiness, or the applicant was deficient on the toward the requirements of a pilot any other safety-of-flight concern. airman knowledge test; and certificate or rating issued under this (f) If a practical test is discontinued, (7) Have a completed and signed part, if that person received the training the applicant is entitled credit for those application form. from: areas of operation that were passed, but (b) Notwithstanding the provisions of (1) A flight instructor of an Armed only if the applicant: paragraphs (a)(1) and (2) of this section, Force in a program for training military (1) Passes the remainder of the an applicant for an airline transport pilots of either— practical test within the 60-day period pilot certificate or an additional rating (i) The United States; or after the date the practical test was to an airline transport certificate may (ii) A foreign contracting State to the discontinued; take the practical test for that certificate Convention on International Civil (2) Presents to the examiner for the or rating with an expired knowledge test Aviation. retest the original notice of disapproval report, provided that the applicant: (2) A flight instructor who is form or the letter of discontinuance (1) Is employed as a flight authorized to give such training by the form, as appropriate; crewmember by a certificate holder licensing authority of a foreign (3) Satisfactorily accomplishes any under part 121, 125, or 135 of this contracting State to the Convention on additional training needed and obtains chapter at the time of the practical test International Civil Aviation, and the the appropriate instructor and has satisfactorily accomplished that flight training is given outside the endorsements, if additional training is operator’s approved— United States. required; and (i) Pilot in command aircraft (b) A flight instructor described in (4) Presents to the examiner for the qualification training program that is paragraph (a) of this section is only retest a properly completed and signed appropriate to the certificate and rating authorized to give endorsements to application. sought; and show training given. (ii) Qualification training § 61.45 Practical tests: Required aircraft requirements appropriate to the § 61.43 Practical tests: General and equipment. certificate and rating sought; or procedures. (a) General. Except as provided in (2) Is employed as a flight (a) Except as provided in paragraph paragraph (a)(2) of this section or when crewmember in scheduled U.S. military (b) of this section, the ability of an permitted to accomplish the entire flight air transport operations at the time of applicant for a certificate or rating increment of the practical test in an the practical test, and has accomplished issued under this part to perform the approved flight simulator or an 16310 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations approved flight training device, an (e) Aircraft with single controls. A awareness, spin entry, spins, and spin applicant for a certificate or rating practical test may be conducted in an recovery to an examiner during the issued under this part must furnish: aircraft having a single set of controls, retest. (1) An aircraft of U.S. registry for each provided the: required test that— (1) Examiner agrees to conduct the § 61.51 Pilot logbooks. (i) Is of the category, class, and type, test; (a) Training time and aeronautical if applicable, for which the applicant is (2) Test does not involve a experience. Each person must document applying for a certificate or rating; and demonstration of instrument skills; and and record the following time in a (ii) Has a current standard, limited, or (3) Proficiency of the applicant can be manner acceptable to the Administrator: primary airworthiness certificate. observed by an examiner who is in a (1) Training and aeronautical (2) At the discretion of the examiner position to observe the applicant. experience used to meet the who administers the practical test, the requirements for a certificate, rating, or § 61.47 Status of an examiner who is flight review of this part. applicant may furnish— authorized by the Administrator to conduct (i) An aircraft that has a current practical tests. (2) The aeronautical experience airworthiness certificate other than required for meeting the recent flight (a) An examiner represents the standard, limited, or primary, but that experience requirements of this part. Administrator for the purpose of otherwise meets the requirement of (b) Logbook entries. For the purposes conducting practical tests for certificates paragraph (a)(1) of this section; of meeting the requirements of (ii) An aircraft of the same category, and ratings issued under this part and paragraph (a) of this section, each class, and type, if applicable, of foreign to observe an applicant’s ability to person must enter the following registry that is properly certificated by perform the areas of operation on the information for each flight or lesson the country of registry; or practical test. logged: (b) The examiner is not the pilot in (iii) A military aircraft of the same (1) General— command of the aircraft during the category, class, and type, if applicable, (i) Date. practical test unless the examiner agrees for which the applicant is applying for (ii) Total flight time. to act in that capacity for the flight or a certificate or rating. (iii) Location where the aircraft (b) Required equipment (other than for a portion of the flight by prior departed and arrived, or for lessons in controls). An aircraft used for a practical arrangement with: an approved flight simulator or an (1) The applicant; or approved flight training device, the test must have: (2) A person who would otherwise act (1) The equipment for each area of location where the lesson occurred. as pilot in command of the flight or for operation required for the practical test; (iv) Type and identification of aircraft, a portion of the flight. (2) No prescribed operating (c) Notwithstanding the type of approved flight simulator, or approved limitations that prohibit its use in any aircraft used during the practical test, flight training device, as appropriate. of the areas of operation required for the (v) The name of a safety pilot, if the applicant and the examiner (and any practical test; required by § 91.109(b) of this chapter. other occupants authorized to be on (3) Except as provided in paragraph (2) Type of pilot experience or board by the examiner) are not subject (e) of this section, at least two pilot training— to the requirements or limitations on the stations with adequate visibility for each (i) Solo. carriage of passengers that are specified person to operate the aircraft safely; and (ii) Pilot in command. in this chapter. (4) Cockpit and outside visibility (iii) Second in command. adequate to evaluate the performance of § 61.49 Retesting after failure. (iv) Flight and ground training the applicant when an additional jump (a) An applicant for a knowledge or received from an authorized instructor. seat is provided for the examiner. practical test who fails that test may (v) Training received in an approved (c) Required controls. An aircraft reapply for the test only after the flight simulator or approved flight (other than a lighter-than-air aircraft) applicant has received: training device from an authorized used for a practical test must have (1) The necessary training from an instructor. engine power controls and flight authorized instructor who has (3) Conditions of flight— controls that are easily reached and determined that the applicant is (i) Day or night. operable in a conventional manner by proficient to pass the test; and (ii) Actual instrument. both pilots, unless the examiner (2) An endorsement from an (iii) Simulated instrument conditions determines that the practical test can be authorized instructor who gave the in flight, an approved flight simulator, conducted safely in the aircraft without applicant the additional training. or an approved flight training device. the controls being easily reached. (b) An applicant for a flight instructor (c) Logging of pilot time. The pilot (d) Simulated instrument flight certificate with an airplane category time described in this section may be equipment. An applicant for a practical rating or, for a flight instructor used to: test that involves maneuvering an certificate with a glider category rating, (1) Apply for a certificate or rating aircraft solely by reference to who has failed the practical test due to issued under this part; or instruments must furnish: deficiencies in instructional proficiency (2) Satisfy the recent flight experience (1) Equipment on board the aircraft on stall awareness, spin entry, spins, or requirements of this part. that permits the applicant to pass the spin recovery must: (d) Logging of solo flight time. Except areas of operation that apply to the (1) Comply with the requirements of for a student pilot acting as pilot in rating sought; and paragraph (a) of this section before being command of an airship requiring more (2) A device that prevents the retested; than one flight crewmember, a pilot may applicant from having visual reference (2) Bring an aircraft to the retest that log as solo flight time only that flight outside the aircraft, but does not prevent is of the appropriate aircraft category for time when the pilot is the sole occupant the examiner from having visual the rating sought and is certificated for of the aircraft. reference outside the aircraft, and is spins; and (e) Logging pilot-in-command flight otherwise acceptable to the (3) Demonstrate satisfactory time. (1) A recreational, private, or Administrator. instructional proficiency on stall commercial pilot may log pilot-in- Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16311 command time only for that flight time (ii) The name of the safety pilot, if to meet the requirements for the medical during which that person is— required. certificate necessary for the pilot (i) The sole manipulator of the (4) An approved flight simulator or operation. controls of an aircraft for which the approved flight training device may be (b) Operations that do not require a pilot is rated; or used by a person to log instrument flight medical certificate. For operations (ii) Except for a recreational pilot, time, provided an authorized instructor provided for in § 61.23(b) of this part, a when acting as pilot in command of an is present during the simulated flight. person shall not act as pilot in aircraft on which more than one pilot is (h) Logging training time. (1) A person command, or in any other capacity as a required under the type certification of may log training time when that person required pilot flight crewmember, while the aircraft or the regulations under receives training from an authorized that person knows or has reason to which the flight is conducted. instructor in an aircraft, approved flight know of any medical condition that (2) An airline transport pilot may log simulator, or approved flight training would make the person unable to as pilot-in-command time all of the device. operate the aircraft in a safe manner. flight time while acting as pilot-in- (2) The training time must be logged command of an operation requiring an in a logbook and must: § 61.55 Second-in-command airline transport pilot certificate. (i) Be endorsed in a legible manner by qualifications. (3) An authorized instructor may log the authorized instructor; and (a) Except as provided in paragraph as pilot-in-command time all flight time (ii) Include a description of the (d) of this section, no person may serve while acting as an authorized instructor. training given, the length of the training as a second in command of an aircraft (4) A student pilot may log pilot-in- lesson, and the instructor’s signature, type certificated for more than one command time when the student pilot— certificate number, and certificate required pilot flight crewmember or in (i) Is the sole occupant of the aircraft; expiration date. operations requiring a second in (ii) Has a current solo flight (i) Presentation of required command unless that person holds: endorsement as required under § 61.87 documents. (1) Persons must present (1) At least a current private pilot of this part; and their pilot certificate, medical certificate with the appropriate category (iii) Is undergoing training for a pilot certificate, logbook, or any other record and class rating; and certificate or rating, is acting as pilot in required by this part for inspection (2) An instrument rating that applies command of an airship requiring more upon a reasonable request by— to the aircraft being flown if the flight than one flight crewmember, or is (i) The Administrator; is under IFR. logging pilot-in-command flight time to (ii) An authorized representative from (b) Except as provided in paragraph obtain the pilot-in-command flight the National Transportation Safety (d) of this section, no person may serve experience requirements for a pilot Board; or as a second in command of an aircraft certificate or aircraft rating. (iii) Any Federal, State, or local law type certificated for more than one (f) Logging second-in-command flight enforcement officer. required pilot flight crewmember or in time. A person may log second-in- (2) A student pilot must carry the operations requiring a second in command flight time only for that flight following items in the aircraft on all command unless that person has within time during which that person: solo cross-country flights as evidence of the previous 12 calendar months: (1) Is qualified in accordance with the the required instructor clearances and (1) Become familiar with the second-in-command requirements of endorsements— following information for the specific § 61.55 of this part, and occupies a (i) Pilot logbook; type aircraft for which second-in- crewmember station in an aircraft that (ii) Student pilot certificate; and command privileges are requested— requires more than one pilot by the (iii) Any other record required by this (i) Operational procedures applicable aircraft’s type certificate; or section. to the powerplant, equipment, and (2) Holds the appropriate category, (3) A recreational pilot must carry his systems. class, and instrument rating (if an or her logbook with the required (ii) Performance specifications and instrument rating is required for the instructor endorsements on all flights limitations. flight) for the aircraft being flown, and when serving as pilot in command or as (iii) Normal, abnormal, and more than one pilot is required under a required flight crewmember for flights emergency operating procedures. the type certification of the aircraft or of more than 50 nautical miles from an (iv) Flight manual. the regulations under which the flight is airport where training was received. (v) Placards and markings. being conducted. (2) Except as provided in paragraph (g) Logging instrument flight time. (1) § 61.53 Prohibition on operations during (e) of this section, performed and logged A person may log instrument flight time medical deficiency. pilot time in the type of aircraft or in an only for that flight time when the person (a) Operations that require a medical approved flight simulator or approved operates the aircraft solely by reference certificate. Except as provided for in flight training device that represents the to instruments under actual or paragraph (b) of this section, a person type of aircraft for which second-in- simulated instrument flight conditions. who holds a current medical certificate command privileges are requested, (2) An authorized instructor may log issued under part 67 of this chapter which includes— instrument flight time when conducting shall not act as pilot in command, or in (i) Three takeoffs and three landings instrument flight instruction in actual any other capacity as a required pilot as the sole manipulator of the flight instrument flight conditions. flight crewmember, while that person: controls; (3) For the purposes of logging (1) Knows or has reason to know of (ii) Engine-out procedures and instrument flight time to meet the recent any medical condition that would make maneuvering with an engine out while instrument experience requirements of the person unable to meet the executing the duties of pilot in § 61.57(c) of this part, the following requirements for the medical certificate command; and information must be recorded in the necessary for the pilot operation; or (iii) Crew resource management person’s logbook— (2) Is taking medication or receiving training. (i) The location and type of each other treatment for a medical condition (c) If a person complies with the instrument approach accomplished; and that results in the person being unable requirements in paragraph (b) of this 16312 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations section in the calendar month before or § 61.56 Flight review. (h) A flight simulator or flight training the calendar month after the month in (a) Except as provided in paragraphs device may be used to meet the flight which compliance with this section is (b) and (f) of this section, a flight review review requirements of this section required, then that person is considered consists of a minimum of 1 hour of subject to the following conditions: to have accomplished the training and flight training and 1 hour of ground (1) The flight simulator or flight practice in the month it is due. training. The review must include: training device must be approved by the (d) This section does not apply to a (1) A review of the current general Administrator for that purpose. person who is: operating and flight rules of part 91 of (2) The approved flight simulator or (1) Designated and qualified as a pilot this chapter; and approved flight training device must be in command under part 121, 125, or 135 (2) A review of those maneuvers and used in accordance with an approved of this chapter in that specific type of procedures that, at the discretion of the course conducted by a training center aircraft; person giving the review, are necessary certificated under part 142 of this (2) Designated as the second in for the pilot to demonstrate the safe chapter. command under part 121, 125, or 135 of exercise of the privileges of the pilot (3) Unless the flight review is this chapter, in that specific type of certificate. undertaken in a flight simulator that is (b) Glider pilots may substitute a aircraft; approved for landings, the applicant minimum of three instructional flights must meet the takeoff and landing (3) Designated as the second in in a glider, each of which includes a requirements of § 61.57(a) or § 61.57(b) command in that specific type of aircraft flight to traffic pattern altitude, in lieu of this part. for the purpose of receiving flight of the 1 hour of flight training required (4) The approved flight simulator or training required by this section, and no in paragraph (a) of this section. approved flight training device used passengers or cargo are carried on the (c) Except as provided in paragraphs must represent an aircraft, or set of aircraft; or (d) and (e) of this section, no person aircraft, for which the pilot is rated. (4) Designated as a safety pilot for may act as pilot in command of an purposes required by § 91.109(b) of this aircraft unless, since the beginning of § 61.57 Recent flight experience: Pilot in chapter. the 24th calendar month before the command. (e) The holder of a commercial or month in which that pilot acts as pilot (a) General experience. (1) Except as airline transport pilot certificate with in command, that person has: provided in paragraph (e) of this the appropriate category and class rating (1) Accomplished a flight review section, no person may act as a pilot in is not required to meet the requirements given in an aircraft for which that pilot command of an aircraft carrying of paragraph (b)(2) of this section, is rated by an appropriately rated passengers or as a required pilot on provided the pilot: instructor certificated under this part or board an aircraft that requires more than (1) Is conducting a ferry flight, aircraft other person designated by the one pilot flight crewmember unless that flight test, or evaluation flight of an Administrator; and person has made at least three takeoffs aircraft’s equipment; and (2) A logbook endorsed by the person and three landings within the preceding (2) Is not carrying any person or who gave the review certifying that the 90 days, and— property on board the aircraft, other person has satisfactorily completed the (i) The person acted as the sole than necessary for conduct of the flight. review. manipulator of the flight controls; and (f) For the purpose of meeting the (d) A person who has, within the (ii) The required takeoffs and landings requirements of paragraph (b) of this period specified in paragraph (c) of this were performed in an aircraft of the section, a person may serve as second in section, passed a pilot proficiency check same category, class, and type (if a type command in that specific type aircraft, conducted by an examiner, an approved rating is required), and, if the aircraft to provided: pilot check airman, or a U.S. Armed be flown is an airplane with a tailwheel, (1) The flight is conducted under day Force, for a pilot certificate, rating, or the takeoffs and landings must have VFR or day IFR; and operating privilege need not accomplish been made to a full stop in an airplane with a tailwheel. (2) No person or property is carried on the flight review required by this (2) For the purpose of meeting the board the aircraft, other than necessary section. (e) A person who has, within the requirements of paragraph (a)(1) of this for conduct of the flight. period specified in paragraph (c) of this section, a person may act as a pilot in (g) Except as provided in paragraph section, satisfactorily accomplished one command of an aircraft under day VFR (h) of this section, the requirements of or more phases of an FAA-sponsored or day IFR, provided no persons or paragraph (b) of this section may be pilot proficiency award program need property are carried on board the accomplished in an approved flight not accomplish the flight review aircraft, other than those necessary for simulator that is— required by this section. the conduct of the flight. (1) Qualified and approved by the (f) A person who holds a current flight (3) The takeoffs and landings required Administrator for such purposes; and instructor certificate who has, within by paragraph (a)(1) of this section may (2) Used in accordance with an the period specified in paragraph (c) of be accomplished in an approved flight approved course conducted by a this section, satisfactorily completed a simulator or an approved flight training training center certificated under part renewal of a flight instructor certificate device that is— 142 of this chapter. under the provisions in § 61.197 need (i) Approved by the Administrator for (h) An applicant for an initial second- not accomplish the 1 hour of ground landings; and in-command qualification for a training specified in paragraph (a) of (ii) Used in accordance with an particular type of aircraft who is this section. approved course conducted by a qualifying under the terms of paragraph (g) The requirements of this section training center certificated under part (g) of this section must satisfactorily may be accomplished in combination 142 of this chapter. complete a minimum of one takeoff and with the requirements of § 61.57 and (b) Night takeoff and landing one landing in an aircraft of the same other applicable recent experience experience. (1) Except as provided in type for which the qualification is requirements at the discretion of the paragraph (e) of this section, no person sought. person conducting the flight review. may act as pilot in command of an Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16313 aircraft carrying passengers during the tasks required by the instrument rating part 121, 125, 133, 135, or 137 of this period beginning 1 hour after sunset and practical test. chapter. ending 1 hour before sunrise, unless (1) The instrument proficiency check (c) The pilot in command check given within the preceding 90 days that must be— in accordance with the provisions of person has made at least three takeoffs (i) In an aircraft that is appropriate to part 121, 125, or 135 of this chapter may and three landings to a full stop during the aircraft category; be used to satisfy the requirements of the period beginning 1 hour after sunset (ii) In an approved flight simulator or this section. and ending 1 hour before sunrise. approved flight training device that is (d) The pilot in command check (2) The takeoffs and landings required representative of the aircraft category required by paragraph (a) of this section by paragraph (b)(1) of this section may (other than a glider); or may be accomplished by satisfactory be accomplished in a flight simulator (iii) For a glider, in a single-engine completion of one of the following: that is— airplane or a glider. (1) A pilot in command proficiency (i) Approved by the Administrator for (2) The instrument proficiency check check conducted by a person authorized takeoffs and landings, if the visual must be given by— by the Administrator, consisting of the system is adjusted to represent the (i) An examiner; (ii) A person authorized by the U.S. maneuvers and procedures required for period described in paragraph (b)(1) of Armed Forces to conduct instrument a type rating; this section; and (2) The practical test required for a flight tests, provided the person being (ii) Used in accordance with an type rating; tested is a member of the U.S. Armed approved course conducted by a (3) The initial or periodic practical Forces; training center certificated under part (iii) A company check pilot who is test required for the issuance of a pilot 142 of this chapter. authorized to conduct instrument flight examiner or check airman designation; (c) Recent instrument experience. tests under part 121, 125, or 135 of this or Except as provided in paragraph (e) of chapter, and provided that both the (4) A military flight check required for this section, no person may act as pilot check pilot and the pilot being tested a pilot in command with instrument in command under IFR or in weather are employees of that operator; privileges, in an aircraft that the military conditions less than the minimums (iv) An instrument flight instructor requires to be operated by more than prescribed for VFR, unless within the who holds the appropriate instrument one pilot. preceding 6 calendar months, that instructor rating; or (e) A check or test described in person has: (v) A person approved by the paragraphs (d)(1) through (d)(4) of this (1) For the purpose of obtaining Administrator to conduct instrument section may be accomplished in a flight instrument experience in an aircraft practical tests. simulator approved under this chapter. (other than a glider), performed and (e) Exceptions. (1) Paragraphs (a) and (f) For the purpose of meeting the logged under actual or simulated (b) of this section do not apply to a pilot check requirements of paragraph (a) of instrument conditions, either in flight in command who is employed by a this section, a person may act as pilot appropriate to the appropriate category certificate holder under part 125 and in command of a flight under day VFR of aircraft for the instrument privileges engaged in a flight operation for that conditions or day IFR conditions if no sought or in an approved flight certificate holder if the pilot is in person or property is carried, other than simulator or approved flight training compliance with §§ 125.281 and as necessary to demonstrate compliance device that is representative of the 125.285 of this chapter. with this part. aircraft category for the instrument (2) This section does not apply to a (g) If a pilot takes the check required privileges sought— pilot in command who is employed by by this section in the calendar month (i) At least six instrument approaches; an air carrier certificated under part 121 before or the calendar month after the (ii) Holding procedures; and or 135 and is engaged in a flight month in which it is due, the pilot is (iii) Intercepting and tracking courses operation under part 91, 121, or 135 for considered to have taken it in the month through the use of navigation systems. that air carrier if the pilot is in in which it was due for the purpose of (2) For the purpose of obtaining computing when the next check is due. instrument experience in a glider, compliance with §§ 121.437 and performed and logged under actual or 121.439, or §§ 135.243 and 135.247 of § 61.59 Falsification, reproduction, or simulated instrument conditions— this chapter, as appropriate. alteration of applications, certificates, (i) At least 3 hours of instrument time § 61.58 Pilot-in-command proficiency logbooks, reports, or records. in flight, of which 11⁄2 hours may be check: Operation of aircraft requiring more (a) No person may make or cause to acquired in an airplane or a glider if no than one pilot. be made: passengers are to be carried; or (a) Except as otherwise provided in (1) Any fraudulent or intentionally (ii) 3 hours of instrument time in this section, to serve as pilot in false statement on any application for a flight in a glider if a passenger is to be command of an aircraft that is type certificate, rating, authorization, or carried. certificated for more than one required duplicate thereof, issued under this (d) Instrument proficiency check. pilot crewmember, a person must: part; Except as provided in paragraph (e) of (1) Within the preceding 12 calendar (2) Any fraudulent or intentionally this section, a person who does not meet months, complete a pilot in command false entry in any logbook, record, or the recent instrument experience check in an aircraft that is type report that is required to be kept, made, requirements of paragraph (c) of this certificated for more than one required or used to show compliance with any section within the prescribed time or pilot crewmember; and requirement for the issuance or exercise within 6 calendar months after the (2) Within the preceding 24 calendar of the privileges of any certificate, prescribed time may not serve as pilot months, complete a pilot in command rating, or authorization under this part; in command under IFR or in weather check in the particular type of aircraft (3) Any reproduction for fraudulent conditions less than the minimums in which that person will serve as pilot purpose of any certificate, rating, or prescribed for VFR until that person in command. authorization, under this part; or passes an instrument proficiency check (b) This section does not apply to (4) Any alteration of any certificate, consisting of a representative number of persons conducting operations under rating, or authorization under this part. 16314 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(b) The commission of an act (4) Must pass the required practical applicant has been found proficient in prohibited under paragraph (a) of this test that is appropriate to the pilot the areas of operation required for the section is a basis for suspending or certificate for the aircraft category and, issuance of an airline transport pilot revoking any airman certificate, rating, if applicable, class rating sought; and certificate for the aircraft category, class, or authorization held by that person. (5) Need not take an additional and type rating sought; knowledge test, provided the applicant (4) Must pass the required practical § 61.60 Change of address. holds an airplane, rotorcraft, powered- test appropriate to the airline transport The holder of a pilot, flight instructor, lift, or airship rating at that pilot pilot certificate for the aircraft category, or ground instructor certificate who has certificate level. class, and type rating sought; made a change in permanent mailing (c) Additional class rating. Any (5) Must perform the practical test address may not, after 30 days from that person who applies for an additional under instrument flight rules, unless the date, exercise the privileges of the class rating to be added on a pilot practical test cannot be accomplished certificate unless the holder has notified certificate: under instrument flight rules because in writing the FAA, Airman (1) Must have an endorsement in his the aircraft’s type certificate makes the Certification Branch, P.O. Box 25082, or her logbook or training record from aircraft incapable of operating under Oklahoma City, OK 73125, of the new an authorized instructor and that instrument flight rules. If the practical permanent mailing address, or if the endorsement must attest that the test cannot be accomplished for this permanent mailing address includes a applicant has been found competent in reason, the person may obtain a type post office box number, then the the aeronautical knowledge areas rating limited to ‘‘VFR only.’’ The ‘‘VFR holder’s current residential address. appropriate to the pilot certificate for only’’ limitation may be removed for the aircraft class rating sought; that aircraft type when the person Subpart BÐAircraft Ratings and Pilot (2) Must have an endorsement in his passes the practical test under Authorizations or her logbook or training record from instrument flight rules. When an § 61.61 Applicability. an authorized instructor, and that instrument rating is issued to a person This subpart prescribes the endorsement must attest that the who holds one or more type ratings, the requirements for the issuance of applicant has been found proficient in type ratings on the amended pilot additional aircraft ratings after a pilot the areas of operation appropriate to the certificate shall bear the ‘‘VFR only’’ certificate is issued, and the pilot certificate for the aircraft class limitation for each aircraft type rating requirements for and limitations of pilot rating sought; for which the person has not authorizations issued by the (3) Must pass the required practical demonstrated instrument competency; Administrator. test that is appropriate to the pilot (6) Need not take an additional certificate for the aircraft class rating knowledge test, provided the applicant § 61.63 Additional aircraft ratings (other sought; holds an airplane, rotorcraft, powered- than airline transport pilot). (4) Need not meet the specified lift, or airship rating on their pilot (a) General. To be eligible for an training time requirements prescribed certificate; and additional aircraft rating to a pilot by this part that apply to the pilot (7) In the case of a pilot employee of certificate, for other than an airline certificate for the aircraft class rating a part 121 or a part 135 certificate transport pilot certificate, an applicant sought; and holder, must have— must meet the appropriate requirements (5) Need not take an additional (i) Met the appropriate requirements of this section, for the additional aircraft knowledge test, provided the applicant of paragraphs (d)(1), (d)(4), and (d)(5) of rating sought. holds an airplane, rotorcraft, powered- this section for the aircraft type rating (b) Additional category rating. An lift, or airship rating at that pilot sought; and applicant who holds a pilot certificate certificate level. (ii) Received an endorsement in his or and applies to add a category rating to (d) Additional type rating. Except as her flight training record from the that pilot certificate: specified in paragraph (d)(7) of this certificate holder attesting that the (1) Must have received the required section, a person who applies for an applicant has completed the certificate training and possess the aeronautical additional aircraft type rating to be holder’s approved ground and flight experience prescribed by this part that added on a pilot certificate, or the training program appropriate to the applies to the pilot certificate for the addition of an aircraft type rating that is aircraft type rating sought. aircraft category and, if applicable, class accomplished concurrently with an (e) Use of an approved flight rating sought; additional aircraft category or class simulator or an approved flight training (2) Must have an endorsement in his rating: device for an additional rating in an or her logbook or training record from (1) Must hold or concurrently obtain airplane. The areas of operation an authorized instructor, and that an instrument rating that is appropriate required to be performed by paragraphs endorsement must attest that the to the aircraft category, class, or type (b), (c), and (d) of this section shall be applicant has been found competent in rating sought; performed as follows: the aeronautical knowledge areas (2) Must have an endorsement in his (1) Except as provided in paragraph appropriate to the pilot certificate for or her logbook or training record from (e)(2) of this section, the areas of the aircraft category and, if applicable, an authorized instructor, and that operation must be performed in an class rating sought; endorsement must attest that the airplane of the same category, class, and (3) Must have an endorsement in his applicant has been found competent in type, if applicable, as the airplane for or her logbook or training record from the aeronautical knowledge areas which the additional rating is sought. an authorized instructor, and that appropriate to the pilot certificate for (2) Subject to the limitations of endorsement must attest that the the aircraft category, class, or type rating paragraph (e)(3) through (e)(12) of this applicant has been found proficient on sought; section, the areas of operation may be the areas of operation that are (3) Must have an endorsement in his performed in an approved flight appropriate to the pilot certificate for or her logbook, or training record from simulator or an approved flight training the aircraft category and, if applicable, an authorized instructor, and that device that represents the airplane for class rating sought; endorsement must attest that the which the additional rating is sought. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16315

(3) The use of an approved flight type rating is sought and which requires provisions of this section until the simulator or an approved flight training a type rating; and limitation is removed from the pilot device permitted by paragraph (e)(2) of (2) At least 25 hours of flight time in certificate; and this section shall be conducted in airplanes of the same type for which the (ii) May have the limitation removed accordance with an approved course at rating is sought. by accomplishing 25 hours of a training center certificated under part (6) An applicant meeting only the supervised operating experience as pilot 142 of this chapter. requirements of paragraph (e)(5) of this in command under the supervision of a (4) To complete all training and section will be issued an additional qualified and current pilot in command, testing (except preflight inspection) for rating with a limitation. in the seat normally occupied by the an additional airplane rating without (7) The limitation on a certificate pilot in command, in that airplane of limitations when using a flight issued under the provisions of the same type to which the limitation simulator— paragraph (e)(6) of this section shall applies. (i) The flight simulator must be state, ‘‘This certificate is subject to pilot- (f) Use of an approved flight simulator approved as Level C or Level D; and in-command limitations for the or an approved flight training device for (ii) The applicant must meet at least additional rating.’’ an additional rating in a helicopter. The one of the following: (8) An applicant who has been issued areas of operation required to be (A) Hold a type rating for a turbojet a pilot certificate with the limitation performed by paragraphs (b), (c), and (d) airplane of the same class of airplane for specified in paragraph (e)(7) of this of this section shall be performed as which the type rating is sought, or have section— follows: been appointed by a military service as (i) May not act as pilot in command (1) Except as provided in paragraph a pilot in command of an airplane of the of that airplane for which the additional (f)(2) of this section, the areas of same class of airplane for which the rating was obtained under the operation must be performed in a type rating is sought, if a type rating in provisions of this section until the helicopter of the same type for the a turbojet airplane is sought. limitation is removed from the pilot additional rating sought. (B) Hold a type rating for a certificate; and (2) Subject to the limitations of turbopropeller airplane of the same (ii) May have the limitation removed paragraph (f)(3) through (f)(12) of this class of airplane for which the type by accomplishing 15 hours of section, the areas of operation may be rating is sought, or have been designated supervised operating experience as pilot performed in an approved flight by a military service as a pilot in in command under the supervision of a simulator or an approved flight training command of an airplane of the same qualified and current pilot in command, device that represents that helicopter for class of airplane for which the type in the seat normally occupied by the the additional rating sought. rating is sought, if a type rating in a pilot in command, in the same type of (3) The use of an approved flight turbopropeller airplane is sought. airplane to which the limitation applies. simulator or an approved flight training (C) Have at least 2,000 hours of flight (9) An applicant who does not meet device permitted by paragraph (f)(2) of time, of which 500 hours is in turbine- the requirements of paragraph (e)(4) or this section shall be conducted in powered airplanes of the same class of paragraph (e)(5) of this section may be accordance with an approved course at airplane for which the type rating is issued an additional rating after a training center certificated under part sought. successful completion of one of the 142 of this chapter. (D) Have at least 500 hours of flight following requirements: (4) To complete all training and time in the same type airplane as the (i) Compliance with paragraphs (e)(2) testing (except preflight inspection) for airplane for which the rating is sought. and (e)(3) of this section and the an additional helicopter rating without (E) Have at least 1,000 hours of flight following tasks, which must be limitations when using a flight time in at least two different airplanes successfully completed on a static simulator— requiring a type rating. airplane or in flight, as appropriate: (i) The flight simulator must be (5) Subject to the limitation of (A) Preflight inspection; approved as Level C or Level D; and paragraph (e)(6) of this section, an (B) Normal takeoff; (ii) The applicant must meet at least applicant who does not meet the (C) Normal ILS approach; one of the following if a type rating is requirements of paragraph (e)(4) of this (D) Missed approach; and sought in a turbine-powered helicopter: section may complete all training and (E) Normal landing. (A) Hold a type rating in a turbine- testing (except for preflight inspection) (ii) Compliance with paragraphs powered helicopter or have been for an additional rating when using a (e)(2), (e)(3), and (e)(10) through (e)(12) appointed by a military service as a flight simulator if— of this section. pilot in command of a turbine-powered (i) The flight simulator is approved as (10) An applicant meeting only the helicopter. a Level C or Level D; and requirements of paragraph (e)(9) of this (B) Have at least 2,000 hours of flight (ii) The applicant meets at least one section will be issued an additional time that includes at least 500 hours in of the following: rating with a limitation. turbine-powered helicopters. (A) Holds a type rating in a propeller- (11) The limitation on a certificate (C) Have at least 500 hours of flight driven airplane if a type rating in a issued under the provisions of time in turbine-powered helicopters. turbojet airplane is sought, or holds a paragraph (e)(10) of this section shall (D) Have at least 1,000 hours of flight type rating in a turbojet airplane if a state, ‘‘This certificate is subject to pilot- time in at least two different turbine- type rating in a propeller-driven in-command limitations for the powered helicopters. airplane is sought; or additional rating.’’ (5) Subject to the limitation of (B) Since the beginning of the 12th (12) An applicant who has been paragraph (f)(6) of this section, an calendar month before the month in issued a pilot certificate with the applicant who does not meet the which the applicant completes the limitation specified in paragraph (e)(11) requirements of paragraph (f)(4) of this practical test for an additional airplane of this section— section may complete all training and rating, has logged: (i) May not act as pilot in command testing (except for preflight inspection) (1) At least 100 hours of flight time in of that airplane for which the additional for an additional rating when using a airplanes of the same class for which the rating was obtained under the flight simulator if— 16316 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(i) The flight simulator is approved as in-command limitations for the (5) Subject to the limitation of Level C or Level D; and additional rating.’’ paragraph (g)(6) of this section, an (ii) The applicant meets at least one (12) An applicant who has been applicant who does not meet the of the following: issued a pilot certificate with the requirements of paragraph (g)(4) of this (A) Holds a type rating in a turbine- limitation specified in paragraph (f)(11) section may complete all training and powered helicopter if a type rating in a of this section— testing (except for preflight inspection) turbine-powered helicopter is sought; or (i) May not act as pilot in command for an additional rating when using a (B) Since the beginning of the 12th of that helicopter for which the flight simulator if— calendar month before the month in additional rating was obtained under (i) The flight simulator is approved as which the applicant completes the the provisions of this section until the Level C or Level D; and practical test for an additional limitation is removed from the pilot (ii) The applicant meets at least one helicopter rating, has logged at least 25 certificate; and of the following: hours of flight time in helicopters of the (ii) May have the limitation removed (A) Holds a type rating in a turbine same type for which the rating is sought. by accomplishing 25 hours of powered-lift if a type rating in a turbine (6) An applicant meeting only the supervised operating experience as pilot powered-lift is sought; or requirements of paragraph (f)(5) of this in command under the supervision of a (B) Since the beginning of the 12th section will be issued an additional qualified and current pilot in command, calendar month before the month in rating with a limitation. in the seat normally occupied by the which the applicant completes the (7) The limitation on a certificate pilot in command, in that helicopter of practical test for an additional powered- issued under the provisions of the same type as to which the limitation lift rating, has logged at least 25 hours paragraph (f)(6) of this section shall applies. of flight time in powered-lifts of the state, ‘‘This certificate is subject to pilot- (g) Use of an approved flight same type for which the rating is sought. in-command limitations for the simulator or an approved flight training (6) An applicant meeting only the additional rating.’’ device for an additional rating in a requirements of paragraph (g)(5) of this (8) An applicant who is issued a pilot powered-lift. The areas of operation section will be issued an additional certificate with the limitation specified required to be performed by paragraphs rating with a limitation. in paragraph (f)(7) of this section— (b), (c), and (d) of this section shall be (7) The limitation on a certificate (i) May not act as pilot in command performed as follows: issued under the provisions of of that helicopter for which the (1) Except as provided in paragraph paragraph (g)(6) of this section shall additional rating was obtained under (g)(2) of this section, the areas of state, ‘‘This certificate is subject to pilot- the provisions of this section until the operation must be performed in a in-command limitations for the limitation is removed from the pilot powered-lift of the same type for the additional rating.’’ certificate; and additional rating sought. (8) An applicant who is issued a pilot (ii) May have the limitation removed (2) Subject to the limitations of certificate with the limitation specified by accomplishing 15 hours of paragraph (g)(3) through (g)(12) of this in paragraph (g)(7) of this section— supervised operating experience as pilot section, the areas of operation may be (i) May not act as pilot in command in command under the supervision of a performed in an approved flight of that powered-lift for which the qualified and current pilot in command, simulator or an approved flight training additional rating was obtained under in the seat normally occupied by the device that represents that powered-lift the provisions of this section until the pilot in command, in the same type of for the additional rating sought. limitation is removed from the pilot helicopter to which the limitation (3) The use of an approved flight certificate; and applies. simulator or an approved flight training (ii) May have the limitation removed (9) An applicant who does not meet device permitted by paragraph (g)(2) of by accomplishing 15 hours of the requirements of paragraph (f)(4) or this section shall be conducted in supervised operating experience as pilot paragraph (f)(5) of this section may be accordance with an approved course at in command under the supervision of a issued an additional rating after a training center certificated under part qualified and current pilot in command, successful completion of one of the 142 of this chapter. in the seat normally occupied by the following requirements: (4) To complete all training and pilot in command, in the same type of (i) Compliance with paragraphs (f)(2) testing (except preflight inspection) for powered-lift to which the limitation and (f)(3) of this section and the an additional powered-lift rating applies. following tasks, which must be without limitations when using a flight (9) An applicant who does not meet successfully completed on a static simulator— the requirements of paragraph (g)(4) or helicopter or in flight, as appropriate: (i) The flight simulator must be paragraph (g)(5) of this section may be (A) Preflight inspection; approved as Level C or Level D; and issued an additional rating after (B) Normal takeoff; (ii) The applicant must meet at least successful completion of one of the (C) Normal ILS approach; one of the following if a type rating is following requirements: (D) Missed approach; and sought in a turbine powered-lift: (i) Compliance with paragraphs (g)(2) (E) Normal landing. (A) Hold a type rating in a turbine and (g)(3) of this section and the (ii) Compliance with paragraphs (f)(2), powered-lift or have been appointed by following tasks, which must be (f)(3), and (f)(10) through (f)(12) of this a military service as a pilot in command successfully completed on a static section. of a turbine powered-lift. powered-lift or in flight, as appropriate: (10) An applicant meeting only the (B) Have at least 2,000 hours of flight (A) Preflight inspection; requirements of paragraph (f)(9) of this time that includes at least 500 hours in (B) Normal takeoff; section will be issued an additional turbine powered-lifts. (C) Normal ILS approach; rating with a limitation. (C) Have at least 500 hours of flight (D) Missed approach; and (11) The limitation on a certificate time in turbine powered-lifts. (E) Normal landing. issued under the provisions of (D) Have at least 1,000 hours of flight (ii) Compliance with paragraphs paragraph (f)(10) of this section shall time in at least two different turbine (g)(2), (g)(3), and (g)(10) through (g)(12) state, ‘‘This certificate is subject to pilot- powered-lifts. of this section. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16317

(10) An applicant meeting only the (1) Hold at least a current private pilot (1) Federal Aviation Regulations of requirements of paragraph (g)(9) of this certificate with an aircraft category and this chapter that apply to flight section will be issued an additional class rating that applies to the operations under IFR; rating with a limitation. instrument rating sought; (2) Appropriate information that (11) The limitation on a certificate (2) Be able to read, speak, write, and applies to flight operations under IFR in issued under the provisions of understand the English language. If the the ‘‘Aeronautical Information Manual;’’ paragraph (g)(10) of this section shall applicant is unable to meet any of these (3) Air traffic control system and state, ‘‘This certificate is subject to pilot- requirements due to a medical procedures for instrument flight in-command limitations for the condition, the Administrator may place operations; additional rating.’’ such operating limitations on the (4) IFR navigation and approaches by (12) An applicant who has been applicant’s pilot certificate as are use of navigation systems; issued a pilot certificate with the necessary for the safe operation of the (5) Use of IFR en route and instrument limitation specified in paragraph (g)(11) aircraft; approach procedure charts; of this section— (3) Receive and log ground training (6) Procurement and use of aviation (i) May not act as pilot in command from an authorized instructor or weather reports and forecasts and the of that powered-lift for which the accomplish a home-study course of elements of forecasting weather trends additional rating was obtained under training on the aeronautical knowledge based on that information and personal the provisions of this section until the areas of paragraph (b) of this section that observation of weather conditions; limitation is removed from the pilot apply to the instrument rating sought; (7) Safe and efficient operation of certificate; and (4) Receive a logbook or training aircraft under instrument flight rules (ii) May have the limitation removed record endorsement from an authorized and conditions; by accomplishing 25 hours of instructor certifying that the person is (8) Recognition of critical weather supervised operating experience as pilot situations and windshear avoidance; in command under the supervision of a prepared to take the required knowledge test; (9) Aeronautical decision making and qualified and current pilot in command, judgment; and in the seat normally occupied by the (5) Receive and log training on the areas of operation of paragraph (c) of (10) Crew resource management, pilot in command, in that powered-lift including crew communication and of the same type as to which the this section from an authorized instructor in an aircraft, approved flight coordination. limitation applies. (c) Flight proficiency. A person who simulator, or approved training device (h) An applicant for a type rating who applies for an instrument rating must that represents that class of aircraft for provides an aircraft not capable of the receive and log training from an the instrument rating sought; instrument maneuvers and procedures authorized instructor in an aircraft, or in (6) Receive a logbook or training required by the appropriate an approved flight simulator or record endorsement from an authorized requirements contained in § 61.157 of approved flight training device, in instructor certifying that the person is this part for the practical test may— accordance with paragraph (e) of this prepared to take the required practical (1) Obtain a type rating limited to section, that includes the following test; ‘‘VFR only’’; and areas of operation: (7) Pass the required knowledge test (2) Remove the ‘‘VFR only’’ limitation (1) Preflight preparation; for each aircraft type in which the on the aeronautical knowledge areas of (2) Preflight procedures; applicant demonstrates compliance paragraph (b) of this section; however, (3) Air traffic control clearances and with the appropriate instrument an applicant is not required to take procedures; requirements contained in § 61.157 or another knowledge test when that (4) Flight by reference to instruments; § 61.73 of this part. person already holds an instrument (5) Navigation systems; (i) An applicant for a type rating may rating; and (6) Instrument approach procedures; be issued a certificate with the (8) Pass the required practical test on (7) Emergency operations; and limitation ‘‘VFR only’’ for each aircraft the areas of operation in paragraph (c) (8) Postflight procedures. type not equipped for the applicant to of this section in— (d) Aeronautical experience. A person show instrument proficiency. (i) The aircraft category, class, and who applies for an instrument rating (j) An applicant for a type rating in a type, if applicable, appropriate to the must have logged the following: multiengine, single-pilot station rating sought; or (1) At least 50 hours of cross-country airplane may meet the requirements of (ii) A flight simulator or a flight flight time as pilot in command, of this part in a multiseat version of that training device appropriate to the rating which at least 10 hours must be in multiengine airplane. sought and approved for the specific airplanes for an instrument—airplane (k) An applicant for a type rating in maneuver or procedure performed. If an rating; and a single-engine, single-pilot station approved flight training device is used (2) A total of 40 hours of actual or airplane may meet the requirements of for the practical test, the procedures simulated instrument time on the areas this part in a multiseat version of that conducted in that flight training device of operation of this section, to include— single-engine airplane. are limited to one precision and one (i) At least 15 hours of instrument (l) Unless the Administrator requires nonprecision approach, provided the flight training from an authorized certain or all tasks to be performed, the flight training device is approved for the instructor in the aircraft category for examiner who conducts the practical procedure performed. which the instrument rating is sought; test may waive any of the tasks for (b) Aeronautical knowledge. A person (ii) At least 3 hours of instrument which the Administrator approves who applies for an instrument rating training that is appropriate to the waiver authority. must have received and logged ground instrument rating sought from an § 61.64 [Reserved] training from an authorized instructor or authorized instructor in preparation for accomplished a home-study course on the practical test within the 60 days § 61.65 Instrument rating requirements. the following aeronautical knowledge preceding the date of the test; (a) General. A person who applies for areas that apply to the instrument rating (iii) For an instrument—airplane an instrument rating must: sought: rating, instrument training on cross- 16318 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations country flight procedures specific to rating or an airline transport pilot operations only if conducted in an airplanes that includes at least one certificate; approved flight simulator or an cross-country flight in an airplane that (2) A type rating for the aircraft for approved flight training device; and is performed under IFR, and consists which the authorization is sought if that (v) Must be accomplished in an of— aircraft requires a type rating; and aircraft of the same category and class, (A) A distance of at least 250 nautical (3) A category and class rating for the and type, as applicable, as the aircraft in miles along airways or ATC-directed aircraft for which the authorization is which the practical test is to be routing; sought. conducted or in an approved flight (B) An instrument approach at each (b) Experience requirements. An simulator that— airport; and applicant for a Category II pilot (A) Represents an aircraft of the same (C) Three different kinds of authorization must have at least— category and class, and type, as approaches with the use of navigation (1) 50 hours of night flight time as applicable, as the aircraft in which the systems; pilot in command. authorization is sought; and (iv) For an instrument—helicopter (2) 75 hours of instrument time under (B) Is used in accordance with an rating, instrument training specific to actual or simulated instrument approved course conducted by a helicopters on cross-country flight conditions that may include not more training center certificated under part procedures that includes at least one than— 142 of this chapter. cross-country flight in a helicopter that (i) A combination of 25 hours of (4) The flight time acquired in is performed under IFR, and consists simulated instrument flight time in an meeting the requirements of paragraph of— approved flight simulator or an (c)(2)(ii)(B) of this section may be used (A) A distance of at least 100 nautical approved flight training device; or to meet the requirements of paragraph miles along airways or ATC-directed (ii) 40 hours of simulated instrument (c)(2)(ii)(A) of this section. routing; flight time if accomplished in an (d) Practical test procedures. The (B) An instrument approach at each approved course conducted by an practical test consists of an oral airport; and appropriately rated training center increment and a flight increment. (C) Three different kinds of certificated under part 142 of this (1) Oral increment. In the oral approaches with the use of navigation chapter. increment of the practical test an systems; and (3) 250 hours of cross-country flight applicant must demonstrate knowledge (v) For an instrument—powered-lift time as pilot in command. of the following: rating, instrument training specific to a (c) Practical test requirements. (1) A (i) Required landing distance; powered-lift on cross-country flight practical test must be passed by a (ii) Recognition of the decision height; procedures that includes at least one person who applies for— (iii) Missed approach procedures and cross-country flight in a powered-lift (i) Issuance or renewal of a Category techniques using computed or fixed that is performed under IFR and II pilot authorization; and attitude guidance displays; consists of— (ii) The addition of another type (iv) Use and limitations of RVR; (A) A distance of at least 250 nautical aircraft to the applicant’s Category II (v) Use of visual clues, their miles along airways or ATC-directed pilot authorization. availability or limitations, and altitude routing; (2) To be eligible for the practical test at which they are normally discernible (B) An instrument approach at each for an authorization under this section, at reduced RVR readings; airport; and an applicant must— (vi) Procedures and techniques related (C) Three different kinds of (i) Meet the requirements of to transition from nonvisual to visual approaches with the use of navigation paragraphs (a) and (b) of this section; flight during a final approach under systems. and reduced RVR; (e) Use of approved flight simulators (ii) If the applicant has not passed a (vii) Effects of vertical and horizontal or approved flight training devices. If practical test for this authorization windshear; the instrument training was provided by during the 12 calendar months (viii) Characteristics and limitations an authorized instructor in an approved preceding the month of the test, then of the ILS and runway lighting system; flight simulator or an approved flight that person must— (ix) Characteristics and limitations of training device— (A) Meet the requirements of the flight director system, auto approach (1) A maximum of 30 hours may be § 61.57(c); and coupler (including split axis type if performed in that approved flight (B) Have performed at least six ILS equipped), auto throttle system (if simulator or approved flight training approaches during the 6 calendar equipped), and other required Category device if the training was accomplished months preceding the month of the test, II equipment; in accordance with part 142 of this of which at least three of the approaches (x) Assigned duties of the second in chapter; or must have been conducted without the command during Category II (2) A maximum of 20 hours may be use of an approach coupler. approaches, unless the aircraft for performed in that approved flight (3) The approaches specified in which authorization is sought does not simulator or approved flight training paragraph (c)(2)(ii)(B) of this section— require a second in command; and device if the training was not (i) Must be conducted under actual or (xi) Instrument and equipment failure accomplished in accordance with part simulated instrument flight conditions; warning systems. 142 of this chapter. (ii) Must be conducted to the (2) Flight increment. The following minimum decision height for the ILS requirements apply to the flight § 61.67 Category II pilot authorization approach in the type aircraft in which increment of the practical test: requirements. the practical test is to be conducted; (i) The flight increment must be (a) General. A person who applies for (iii) Need not be conducted to the conducted in an aircraft of the same a Category II pilot authorization must decision height authorized for Category category, class, and type, as applicable, hold: II operations; as the aircraft in which the (1) At least a private or commercial (iv) Must be conducted to the decision authorization is sought or in an pilot certificate with an instrument height authorized for Category II approved flight simulator that— Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16319

(A) Represents an aircraft of the same (i) A combination of 25 hours of (4) The flight time acquired in category and class, and type, as simulated instrument flight time in an meeting the requirements of paragraph applicable, as the aircraft in which the approved flight simulator or an (c)(2)(ii)(B) of this section may be used authorization is sought; and approved flight training device; or to meet the requirements of paragraph (B) Is used in accordance with an (ii) 40 hours of simulated instrument (c)(2)(ii)(A) of this section. approved course conducted by a flight time if accomplished in an (d) Practical test procedures. The training center certificated under part approved course conducted by an practical test consists of an oral 142 of this chapter. appropriately rated training center increment and a flight increment. (ii) The flight increment must consist certificated under part 142 of this (1) Oral increment. In the oral of at least two ILS approaches to 100 chapter. increment of the practical test an feet AGL including at least one landing (3) 250 hours of cross-country flight applicant must demonstrate knowledge and one missed approach. time as pilot in command. of the following: (iii) All approaches performed during (c) Practical test requirements. (1) A (i) Required landing distance; the flight increment must be made with practical test must be passed by a (ii) Determination and recognition of the use of an approved flight control person who applies for— the alert height or decision height, as guidance system, except if an approved (i) Issuance or renewal of a Category applicable, including use of a radar auto approach coupler is installed, at III pilot authorization; and altimeter; least one approach must be hand flown (ii) The addition of another type of (iii) Recognition of and proper using flight director commands. aircraft to the applicant’s Category III reaction to significant failures (iv) If a multiengine airplane with the pilot authorization. encountered prior to and after reaching performance capability to execute a (2) To be eligible for the practical test the alert height or decision height, as missed approach with one engine for an authorization under this section, applicable; inoperative is used for the practical test, an applicant must— (iv) Missed approach procedures and the flight increment must include the (i) Meet the requirements of techniques using computed or fixed performance of one missed approach paragraphs (a) and (b) of this section; attitude guidance displays and expected with an engine, which shall be the most and height loss as they relate to manual go- critical engine, if applicable, set at idle (ii) If the applicant has not passed a around or automatic go-around, and or zero thrust before reaching the practical test for this authorization initiation altitude, as applicable; middle marker. during the 12 calendar months (v) Use and limitations of RVR, (v) If an approved multiengine flight preceding the month of the test, then including determination of controlling simulator or approved multiengine that person must— RVR and required transmissometers; flight training device is used for the (A) Meet the requirements of (vi) Use, availability, or limitations of practical test, the applicant must § 61.57(c); and visual cues and the altitude at which execute a missed approach with the (B) Have performed at least six ILS they are normally discernible at reduced most critical engine, if applicable, approaches during the 6 calendar RVR readings including— failed. months preceding the month of the test, (A) Unexpected deterioration of (vi) For an authorization for an of which at least three of the approaches conditions to less than minimum RVR aircraft that requires a type rating, the must have been conducted without the during approach, flare, and rollout; practical test must be performed in use of an approach coupler. (B) Demonstration of expected visual coordination with a second in command (3) The approaches specified in references with weather at minimum who holds a type rating in the aircraft paragraph (c)(2)(ii)(B) of this section— conditions; in which the authorization is sought. (i) Must be conducted under actual or (C) The expected sequence of visual (vii) Oral questioning may be simulated instrument flight conditions; cues during an approach in which conducted at any time during a practical (ii) Must be conducted to the alert visibility is at or above landing minima; test. height or decision height for the ILS and approach in the type aircraft in which (D) Procedures and techniques for § 61.68 Category III pilot authorization the practical test is to be conducted; making a transition from instrument requirements. (iii) Need not be conducted to the reference flight to visual flight during a (a) General. A person who applies for decision height authorized for Category final approach under reduced RVR. a Category III pilot authorization must III operations; (vii) Effects of vertical and horizontal hold: (iv) Must be conducted to the alert windshear; (1) At least a private pilot certificate height or decision height, as applicable, (viii) Characteristics and limitations or commercial pilot certificate with an authorized for Category III operations of the ILS and runway lighting system; instrument rating or an airline transport only if conducted in an approved flight (ix) Characteristics and limitations of pilot certificate; simulator or approved flight training the flight director system auto approach (2) A type rating for the aircraft for device; and coupler (including split axis type if which the authorization is sought if that (v) Must be accomplished in an equipped), auto throttle system (if aircraft requires a type rating; and aircraft of the same category and class, equipped), and other Category III (3) A category and class rating for the and type, as applicable, as the aircraft in equipment; aircraft for which the authorization is which the practical test is to be (x) Assigned duties of the second in sought. conducted or in an approved flight command during Category III (b) Experience requirements. An simulator that— operations, unless the aircraft for which applicant for a Category III pilot (A) Represents an aircraft of the same authorization is sought does not require authorization must have at least— category and class, and type, as a second in command; (1) 50 hours of night flight time as applicable, as the aircraft for which the (xi) Recognition of the limits of pilot in command. authorization is sought; and acceptable aircraft position and flight (2) 75 hours of instrument flight time (B) Is used in accordance with an path tracking during approach, flare, during actual or simulated instrument approved course conducted by a and, if applicable, rollout; and conditions that may include not more training center certificated under part (xii) Recognition of, and reaction to, than— 142 of this chapter. airborne or ground system faults or 16320 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations abnormalities, particularly after passing (B) Prior to nose gear touchdown; the person seeking glider-towing alert height or decision height, as (C) In conditions representative of the privileges; and applicable. most adverse lateral touchdown (2) Logged at least 10 flights as pilot (2) Flight increment. The following displacement allowing a safe landing on in command of an aircraft while towing requirements apply to the flight the runway; and a glider. increment of the practical test— (D) In weather conditions anticipated (d) If the pilot described in paragraph (i) The flight increment may be in Category IIIb operations. (a)(4) of this section holds only a private conducted in an aircraft of the same § 61.69 Glider towing: Experience and pilot certificate, then that pilot must category and class, and type, as training requirements. have: applicable, as the aircraft for which the (a) No person may act as pilot in (1) Logged at least 100 hours of pilot- authorization is sought, or in an command for towing a glider unless that in-command time in airplanes, or 200 approved flight simulator that— hours of pilot-in-command time in a (A) Represents an aircraft of the same person: (1) Holds at least a private pilot combination of powered and other-than- category and class, and type, as certificate with a category rating for powered aircraft; and applicable, as the aircraft in which the powered aircraft; (2) Performed and logged at least three authorization is sought; and (2) Has logged at least 100 hours of flights within the 12 calendar months (B) Is used in accordance with an pilot-in-command time in the aircraft preceding the month that pilot approved course conducted by a category, class, and type, if required, accompanies or endorses the logbook of training center certificated under part that the pilot is using to tow a glider; a person seeking glider-towing 142 of this chapter. (3) Has a logbook endorsement from privileges— (ii) The flight increment must consist an authorized instructor with a glider (i) In an aircraft while towing a glider of at least two ILS approaches to 100 rating who certifies that the person has accompanied by another pilot who feet AGL, including one landing and received ground and flight training in meets the requirements of this section; one missed approach initiated from a gliders and is proficient in— or very low altitude that may result in a (i) The techniques and procedures (ii) As pilot in command of a glider touchdown during the go-around essential to the safe towing of gliders, being towed by an aircraft. maneuver; including airspeed limitations; § 61.71 Graduates of an approved training (iii) All approaches performed during (ii) Emergency procedures; the flight increment must be made with program other than under this part: Special (iii) Signals used; and rules. the approved automatic landing system (iv) Maximum angles of bank. or an equivalent landing system (4) Except as provided in paragraph (a) A person who graduates from an approved by the Administrator; (b) of this section, has logged at least approved training program under part (iv) If a multiengine aircraft with the three flights as the sole manipulator of 141 or part 142 of this chapter is performance capability to execute a the controls of an aircraft towing a considered to have met the applicable missed approach with one engine glider or simulating glider-towing flight aeronautical experience, aeronautical inoperative is used for the practical test, procedures while accompanied by a knowledge, and areas of operation the flight increment must include the pilot who meets the requirements of this requirements of this part if that person performance of one missed approach section; presents the graduation certificate and with the most critical engine, if (5) Except as provided in paragraph passes the required practical test within applicable, set at idle or zero thrust (b) of this section, has received a the 60-day period after the date of before reaching the middle or outer logbook endorsement from the pilot, graduation. marker; described in paragraph (a)(4) of this (b) A person may apply for an airline (v) If an approved multiengine flight section, certifying that the person has transport pilot certificate, type rating, or simulator or approved multiengine accomplished at least 3 flights in an both under this part, and will be flight training device is used, a missed aircraft while towing a glider, or while considered to have met the applicable approach must be executed with an simulating glider-towing flight requirements under § 61.157 of this part engine, which shall be the most critical procedures; and for that certificate and rating, if that engine, if applicable, failed; (6) Within the preceding 12 months person has: (vi) For an authorization for an has— (1) Satisfactorily accomplished an aircraft that requires a type rating, the (i) Made at least three actual glider approved training program and the pilot practical test must be performed in tows while accompanied by a qualified in command proficiency check for that coordination with a second in command pilot who meets the requirements of this airplane type, in accordance with the who holds a type rating in the aircraft section; or pilot in command requirements under in which the authorization is sought; (ii) Made at least three flights as pilot subparts N and O of part 121 of this (vii) Oral questioning may be in command of a glider towed by an chapter; and conducted at any time during the aircraft. (2) Applied for the airline transport practical test; (b) Any person who before May 17, pilot certificate, type rating, or both (viii) Subject to the limitations of this 1967, has made and logged 10 or more within the 60-day period from the date paragraph, for Category IIIb operations flights as pilot in command of an the person satisfactorily accomplished predicated on the use of a fail-passive aircraft towing a glider in accordance the approved training program and pilot rollout control system, at least one with a certificate of waiver need not in command proficiency check for that manual rollout using visual reference or comply with paragraphs (a)(4) and (a)(5) airplane type. a combination of visual and instrument of this section. references must be executed. The (c) The pilot, described in paragraph § 61.73 Military pilots or former military maneuver required by this paragraph (a)(4) of this section, who endorses the pilots: Special rules. shall be initiated by a fail-passive logbook of a person seeking glider- (a) General. Except for a rated military disconnect of the rollout control towing privileges must have: pilot or former rated military pilot who system— (1) Met the requirements of this has been removed from flying status for (A) After main gear touchdown; section prior to endorsing the logbook of lack of proficiency, or because of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16321 disciplinary action involving aircraft pilot presents documentary evidence (h) Evidentiary documents. The operations, a rated military pilot or that shows satisfactory accomplishment following documents are satisfactory former rated military pilot who meets of: evidence for the purposes indicated: the applicable requirements of this (1) An official U.S. military pilot (1) An official identification card section may apply, on the basis of his check and instrument proficiency check issued to the pilot by an armed force or her military training, for: in that aircraft category, class, or type, may be used to demonstrate (1) A commercial pilot certificate; if applicable, as pilot in command membership in the armed forces. (2) An aircraft rating in the category during the 12 calendar months before (2) An original or a copy of a and class of aircraft for which that the month of application; certificate of discharge or release may be military pilot is qualified; (2) At least 10 hours of pilot-in- used to demonstrate discharge or release (3) An instrument rating with the command time in that aircraft category, from an armed force or former appropriate aircraft rating for which that class, or type, if applicable, during the membership in an armed force. military pilot is qualified; or 12 calendar months before the month of (3) Current or previous status as a (4) A type rating, if appropriate. application; or rated military pilot with a U.S. Armed (b) Military pilots on active flying (3) An FAA practical test in that Force may be demonstrated by— status within the past 12 months. A aircraft after— (i) An official U.S. Armed Force order rated military pilot or former rated (i) Meeting the requirements of to flight status as a military pilot; military pilot who has been on active paragraphs (b)(1) and (b)(2) of this (ii) An official U.S. Armed Force form flying status within the 12 months section; and or logbook showing military pilot status; before applying must: (ii) Having received an endorsement or (1) Pass a knowledge test on the from an authorized instructor who (iii) An official order showing that the appropriate parts of this chapter that certifies that the pilot is proficient to rated military pilot graduated from a apply to pilot privileges and limitations, take the required practical test, and that U.S. military pilot school and received air traffic and general operating rules, endorsement is made within the 60-day a rating as a military pilot. and accident reporting rules; period preceding the date of the (4) A certified U.S. Armed Force (2) Present documentation showing practical test. logbook or an appropriate official U.S. compliance with the requirements of (e) Instrument rating. A rated military Armed Force form or summary may be paragraph (d) of this section for at least pilot or former rated military pilot who used to demonstrate flight time in one aircraft category rating; and military aircraft as a member of a U.S. (3) Present documentation showing applies for an airplane instrument rating, a helicopter instrument rating, or Armed Force. that the applicant is or was, at any time (5) An official U.S. Armed Force a powered-lift instrument rating to be during the 12 calendar months before record of a military checkout as pilot in added to his or her commercial pilot the month of application— command may be used to demonstrate certificate may apply for an instrument (i) A rated military pilot on active pilot in command status. rating if the pilot has, within the 12 flying status in an armed force of the (6) A current instrument grade slip calendar months preceding the month of United States; or that is issued by a U.S. Armed Force, or application: (ii) A rated military pilot of an armed an official record of satisfactory (1) Passed an instrument proficiency force of a foreign contracting State to the accomplishment of an instrument check by a U.S. Armed Force in the Convention on International Civil proficiency check during the 12 aircraft category for the instrument Aviation, assigned to pilot duties (other calendar months preceding the month of rating sought; and than flight training) with an armed force the application may be used to (2) Received authorization from a U.S. of the United States and holds, at the demonstrate instrument pilot Armed Force to conduct IFR flights on time of application, a current civil pilot qualification. license issued by that contracting State Federal airways in that aircraft category authorizing at least the privileges of the and class for the instrument rating § 61.75 Private pilot certificate issued on pilot certificate sought. sought. the basis of a foreign pilot license. (c) Military pilots not on active flying (f) Aircraft type rating. An aircraft (a) General. A person who holds a status during the 12 calendar months type rating is issued only for aircraft current foreign pilot license issued by a before the month of application. A rated types that the Administrator has contracting State to the Convention on military pilot or former rated military certificated for civil operations. International Civil Aviation may apply pilot who has not been on active flying (g) Aircraft type rating placed on an for and be issued a private pilot status within the 12 calendar months airline transport pilot certificate. A certificate with the appropriate ratings before the month of application must: rated military pilot or former rated when the application is based on the (1) Pass the appropriate knowledge military pilot who holds an airline foreign pilot license that meets the and practical tests prescribed in this transport pilot certificate and who requirements of this section. part for the certificate or rating sought; requests an aircraft type rating to be (b) Certificate issued. A U.S. private and placed on that person’s airline transport pilot certificate that is issued under this (2) Present documentation showing pilot certificate may be issued that section shall specify the person’s foreign that the applicant was or is, within the aircraft type rating at the airline license number and country of issuance. 12 calendar months before the month of transport pilot certificate level, provided A person who holds a current foreign application, a rated military pilot as that person: pilot license issued by a contracting prescribed by paragraph (b)(3) of this (1) Holds a category and class rating State to the Convention on International section. for that type of aircraft at the airline Civil Aviation may be issued a private (d) Aircraft category, class, and type transport pilot certificate level; and pilot certificate based on the foreign ratings. A rated military pilot or former (2) Passed an official U.S. military pilot license without any further rated military pilot who applies for an pilot check and instrument proficiency showing of proficiency, provided the aircraft category, class, or type rating, if check in that type of aircraft as pilot in applicant: applicable, is issued that rating at the command during the 12 calendar (1) Meets the requirements of this commercial pilot certificate level if the months before the month of application. section; 16322 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(2) Holds a foreign pilot license that— (4) Shall not exercise the privileges of pilot authorization, then that special (i) Is not under an order of revocation that U.S. private pilot certificate when purpose pilot authorization must either or suspension by the foreign country the person’s foreign pilot license has be surrendered to the FAA Flight that issued the foreign pilot license; and been revoked or suspended. Standards District Office that issued it, (ii) Does not contain an endorsement (f) Limitation on licenses used as the or to the FAA Flight Standards District stating that the applicant has not met all basis for a U.S. certificate. Only one Office processing the application for the of the standards of ICAO for that foreign pilot license may be used as a authorization prior to being issued license; basis for issuing a U.S. private pilot another special purpose pilot (3) Does not currently hold a U.S. certificate. The foreign pilot license and authorization; pilot certificate; medical certification used as a basis for (5) Meet the currency requirements of (4) Holds a current medical certificate issuing a U.S. private pilot certificate this part and present a logbook or flight issued under part 67 of this chapter or under this section must be in the record showing compliance with the a current medical certificate issued by English language or accompanied by an currency requirements of this part; the country that issued the person’s English language transcription that has (6) Show when the person will reach foreign pilot license; and been signed by an official or the age of 60 years by providing an (5) Is able to read, speak, write, and representative of the foreign aviation official copy of the applicant’s birth understand the English language. If the authority that issued the foreign pilot certificate or other official applicant is unable to meet one of these license. documentation; and requirements due to medical reasons, (g) Limitation placed on a U.S. private (7) Present a copy of the foreign pilot then the Administrator may place such pilot certificate. A U.S. private pilot license and a letter to an FAA Flight operating limitations on that applicant’s certificate issued under this section is Standards District Office from the lessee pilot certificate as are necessary for the valid only when the holder has the of the aircraft that— safe operation of the aircraft. foreign pilot license upon which the (i) Acknowledges the person is (c) Aircraft ratings issued. Aircraft issuance of the U.S. private pilot employed by the lessee; (ii) Specifies the aircraft type in ratings listed on a person’s foreign pilot certificate was based in the holder’s which the person will be performing license, in addition to any issued after personal possession or readily pilot duties; and testing under the provisions of this part, accessible in the aircraft. may be placed on that person’s U.S. (iii) States that the person is currently pilot certificate. § 61.77 Special purpose pilot qualified to exercise the privileges listed (d) Instrument ratings issued. A authorization: Operation of U.S.-registered on that person’s pilot license for the person who holds an instrument rating civil aircraft leased by a person who is not aircraft to be flown, and that the person on the foreign pilot license issued by a a U.S. citizen. has satisfactorily accomplished the contracting State to the Convention on (a) General. After meeting the applicable ground and flight training in International Civil Aviation may be requirements of this section, a holder of the aircraft type in which the person issued an instrument rating on a U.S. a foreign pilot license issued by a will be performing pilot duties. private pilot certificate provided: contracting State to the Convention on (c) Privileges. A person issued a (1) The person’s foreign pilot license International Civil Aviation may be special purpose pilot authorization authorizes instrument privileges; issued a special purpose pilot under this section: (2) Within 24 months preceding the authorization by the Administrator for (1) May exercise the privileges month in which the person applies for the purpose of performing pilot duties: prescribed on the special purpose pilot the instrument rating, the person passes (1) On a civil aircraft of U.S. registry authorization; and (2) Must comply with the limitations the appropriate knowledge test; and that is leased to a person who is not a (3) The person is able to read, speak, citizen of the United States; and specified in this section and any additional limitations specified on the write, and understand the English (2) For carrying persons or property special purpose pilot authorization. language. If the applicant is unable to for compensation or hire on that aircraft. (d) General limitations. A person (b) Eligibility. To be eligible for the meet one of these requirements due to exercising the privileges of a special issuance or renewal of a special purpose medical reasons, then the Administrator purpose pilot authorization: may place such operating limitations on pilot authorization, a person must: (1) May apply for a 60-calendar- that applicant’s pilot certificate as are (1) Hold a current foreign pilot license month extension of that authorization, necessary for the safe operation of the that has been issued by the aeronautical provided the person— aircraft. authority of a contracting State to the (i) Continues to meet the requirements (e) Operating privileges and Convention on International Civil of this section; and limitations. A person who receives a Aviation from which the person holds (ii) Surrenders the expired special U.S. private pilot certificate that has citizenship or resident status; purpose pilot authorization upon been issued under the provisions of this (2) Hold a foreign pilot license that receipt of the new authorization. section: contains the appropriate aircraft (2) Holds only one special purpose (1) May act as a pilot of a civil aircraft category, class, instrument rating, and pilot authorization; of U.S. registry in accordance with the type rating, if appropriate, for the (3) Conducts any flight between private pilot privileges authorized by aircraft to be flown; foreign countries in foreign air this part; (3) Meet the medical standards for the commerce within the time period (2) Is limited to the privileges placed issuance of the foreign pilot license allotted on the authorization; and on the certificate by the Administrator; from the aeronautical authority of the (4) Has the foreign pilot license and (3) Is subject to the limitations and contracting State to the Convention on special purpose pilot authorization in restrictions on the person’s U.S. International Civil Aviation where the his or her physical possession or certificate and foreign pilot license person holds citizenship or resident immediately accessible in the aircraft, when exercising the privileges of that status; while exercising the privileges of that U.S. pilot certificate in an aircraft of (4) Must not already hold a special special purpose pilot authorization. U.S. registry operating within or outside purpose pilot authorization, but if the (e) Age limitation. Except as provided the United States; and person already holds a special purpose in paragraph (g) of this section, no Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16323 person who holds a special purpose (h) Expiration date. Each special (b) Aeronautical knowledge. A pilot authorization issued under this purpose pilot authorization issued student pilot must demonstrate part, and no person who holds a special under this section expires: satisfactory aeronautical knowledge on a purpose pilot certificate issued under (1) 60 calendar months from the knowledge test that meets the this part before August 4, 1997, shall month it was issued, unless sooner requirements of this paragraph: serve as a pilot on a civil airplane of suspended or revoked; (1) The test must address the student U.S. registry if the person has reached (2) When the lease agreement for the pilot’s knowledge of— his or her 60th birthday, in the aircraft expires or the lessee terminates (i) Applicable sections of parts 61 and following operations: the employment of the person who 91 of this chapter; (1) Scheduled international air holds the special purpose pilot (ii) Airspace rules and procedures for services carrying passengers in turbojet- authorization; the airport where the solo flight will be powered airplanes; (3) Whenever the person’s foreign performed; and (2) Scheduled international air pilot license has been suspended, (iii) Flight characteristics and services carrying passengers in airplanes revoked, or is no longer valid; or operational limitations for the make and (4) When the person no longer meets having a passenger-seat configuration of model of aircraft to be flown. the medical standards for the issuance (2) The student’s authorized more than nine passenger seats, of the foreign pilot license. instructor must— excluding each crewmember seat; (i) Administer the test; and (3) Nonscheduled international air Subpart CÐStudent Pilots (ii) At the conclusion of the test, transportation for compensation or hire review all incorrect answers with the § 61.81 Applicability. in airplanes having a passenger-seat student before authorizing that student configuration of more than 30 passenger This subpart prescribes the to conduct a solo flight. seats, excluding each crewmember seat; requirements for the issuance of student (c) Pre-solo flight training. Prior to or pilot certificates, the conditions under conducting a solo flight, a student pilot (4) Scheduled international air which those certificates are necessary, must have: services, or nonscheduled international and the general operating rules and (1) Received and logged flight training air transportation for compensation or limitations for the holders of those for the maneuvers and procedures of hire, in airplanes having a payload certificates. this section that are appropriate to the capacity of more than 7,500 pounds. § 61.83 Eligibility requirements for student make and model of aircraft to be flown; (f) Definitions. (1) ‘‘International air pilots. and service,’’ as used in paragraph (e) of this To be eligible for a student pilot (2) Demonstrated satisfactory section, means scheduled air service certificate, an applicant must: proficiency and safety, as judged by an performed in airplanes for the public (a) Be at least 16 years of age for other authorized instructor, on the maneuvers transport of passengers, mail, or cargo, than the operation of a glider or balloon. and procedures required by this section in which the service passes through the (b) Be at least 14 years of age for the in the make and model of aircraft or air space over the territory of more than operation of a glider or balloon. similar make and model of aircraft to be one country. (c) Be able to read, speak, write, and flown. (2) ‘‘International air transportation,’’ understand the English language. If the (d) Maneuvers and procedures for pre- as used in paragraph (e) of this section, applicant is unable to meet one of these solo flight training in a single-engine means air transportation performed in requirements due to medical reasons, airplane. A student pilot who is airplanes for the public transport of then the Administrator may place such receiving training for a single-engine passengers, mail, or cargo, in which operating limitations on that applicant’s airplane rating must receive and log service passes through the air space over pilot certificate as are necessary for the flight training for the following the territory of more than one country. safe operation of the aircraft. maneuvers and procedures: (g) Delayed pilot age limitations for (1) Proper flight preparation certain operations. Until December 20, § 61.85 Application. procedures, including preflight 1999, a person may serve as a pilot in An application for a student pilot planning and preparation, powerplant the operations specified in paragraph (e) certificate is made on a form and in a operation, and aircraft systems; of this section after that person has manner provided by the Administrator (2) Taxiing or surface operations, reached his or her 60th birthday, if, on and is submitted to: including runups; March 20, 1997, that person was (a) A designated aviation medical (3) Takeoffs and landings, including employed as a pilot in any of these examiner if applying for an FAA normal and crosswind; operations: medical certificate under part 67 of this (4) Straight and level flight, and turns (1) Scheduled international air chapter; in both directions; (5) Climbs and climbing turns; services carrying passengers in (b) An examiner; or (c) A Flight Standards District Office. (6) Airport traffic patterns, including nontransport category turbopropeller- entry and departure procedures; powered airplanes type certificated after § 61.87 Solo requirements for student (7) Collision avoidance, windshear December 31, 1964, that have a pilots. avoidance, and wake turbulence passenger seat configuration of 10 to 19 (a) General. A student pilot may not avoidance; seats; operate an aircraft in solo flight unless (8) Descents, with and without turns, (2) Scheduled international air that student has met the requirements of using high and low drag configurations; services carrying passengers in transport this section. The term ‘‘solo flight,’’ as (9) Flight at various airspeeds from category turbopropeller-powered used in this subpart, means that flight cruise to slow flight; airplanes that have a passenger seat time during which a student pilot is the (10) Stall entries from various flight configuration of 20 to 30 seats; or sole occupant of the aircraft, or that attitudes and power combinations with (3) Scheduled international air flight time during which the student recovery initiated at the first indication services carrying passengers in turbojet- acts as a pilot in command of a gas of a stall, and recovery from a full stall; powered airplanes having a passenger balloon or an airship requiring more (11) Emergency procedures and seat configuration of 1 to 30 seats. than one flight crewmember. equipment malfunctions; 16324 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(12) Ground reference maneuvers; (11) Ground reference maneuvers; (8) Descents with and without turns; (13) Approaches to a landing area (12) Approaches to the landing area; (9) Flight at various airspeeds from with simulated engine malfunctions; (13) Hovering and hovering turns; cruise to slow flight; (14) Slips to a landing; and (14) Go-arounds; (10) Stall entries from various flight (15) Go-arounds. (15) Simulated emergency procedures, attitudes and power combinations with (e) Maneuvers and procedures for pre- including autorotational descents with a recovery initiated at the first indication solo flight training in a multiengine power recovery and power recovery to of a stall, and recovery from a full stall; airplane. A student pilot who is a hover; (11) Emergency procedures and receiving training for a multiengine (16) Rapid decelerations; and equipment malfunctions; airplane rating must receive and log (17) Simulated one-engine-inoperative (12) Ground reference maneuvers; flight training for the following approaches and landings for (13) Approaches to a landing with maneuvers and procedures: multiengine helicopters. simulated engine malfunctions; (g) Maneuvers and procedures for pre- (1) Proper flight preparation (14) Go-arounds; solo flight training in a gyroplane. A procedures, including preflight (15) Approaches to the landing area; student pilot who is receiving training planning and preparation, powerplant (16) Hovering and hovering turns; and for a gyroplane rating must receive and operation, and aircraft systems; (17) For multiengine powered-lifts, log flight training for the following (2) Taxiing or surface operations, simulated one-engine-inoperative maneuvers and procedures: approaches and landings. including runups; (1) Proper flight preparation (3) Takeoffs and landings, including (i) Maneuvers and procedures for pre- procedures, including preflight solo flight training in a glider. A student normal and crosswind; planning and preparation, powerplant (4) Straight and level flight, and turns pilot who is receiving training for a operation, and aircraft systems; glider rating must receive and log flight in both directions; (2) Taxiing or surface operations, (5) Climbs and climbing turns; including runups; training for the following maneuvers (6) Airport traffic patterns, including (3) Takeoffs and landings, including and procedures: entry and departure procedures; normal and crosswind; (1) Proper flight preparation (7) Collision avoidance, windshear (4) Straight and level flight, and turns procedures, including preflight avoidance, and wake turbulence in both directions; planning, preparation, aircraft systems, avoidance; (5) Climbs and climbing turns; and, if appropriate, powerplant (8) Descents, with and without turns, (6) Airport traffic patterns, including operations; using high and low drag configurations; entry and departure procedures; (2) Taxiing or surface operations, (9) Flight at various airspeeds from (7) Collision avoidance, windshear including runups, if applicable; cruise to slow flight; avoidance, and wake turbulence (3) Launches, including normal and (10) Stall entries from various flight avoidance; crosswind; attitudes and power combinations with (8) Descents with and without turns; (4) Straight and level flight, and turns recovery initiated at the first indication (9) Flight at various airspeeds; in both directions; of a stall, and recovery from a full stall; (10) Emergency procedures and (5) Airport traffic patterns, including (11) Emergency procedures and equipment malfunctions; entry procedures; equipment malfunctions; (11) Ground reference maneuvers; (6) Collision avoidance, windshear (12) Ground reference maneuvers; (12) Approaches to the landing area; avoidance, and wake turbulence (13) Approaches to a landing area (13) High rates of descent with power avoidance; with simulated engine malfunctions; on and with simulated power off, and (7) Descents with and without turns and recovery from those flight using high and low drag configurations; (14) Go-arounds. configurations; (8) Flight at various airspeeds; (f) Maneuvers and procedures for pre- (14) Go-arounds; and (9) Emergency procedures and solo flight training in a helicopter. A (15) Simulated emergency procedures, equipment malfunctions; student pilot who is receiving training including simulated power-off landings (10) Ground reference maneuvers; for a helicopter rating must receive and and simulated power failure during (11) Inspection of towline rigging and departures. log flight training for the following review of signals and release (h) Maneuvers and procedures for pre- maneuvers and procedures: procedures; solo flight training in a powered-lift. A (1) Proper flight preparation (12) Aerotow, ground tow, or self- student pilot who is receiving training procedures, including preflight launch procedures; for a powered-lift rating must receive planning and preparation, powerplant (13) Procedures for disassembly and and log flight training in the following assembly of the glider; operation, and aircraft systems; maneuvers and procedures: (2) Taxiing or surface operations, (1) Proper flight preparation (14) Stall entry, stall, and stall including runups; procedures, including preflight recovery; (3) Takeoffs and landings, including planning and preparation, powerplant (15) Straight glides, turns, and spirals; (16) Landings, including normal and normal and crosswind; operation, and aircraft systems; (4) Straight and level flight, and turns (2) Taxiing or surface operations, crosswind; in both directions; including runups; (17) Slips to a landing; (5) Climbs and climbing turns; (3) Takeoffs and landings, including (18) Procedures and techniques for (6) Airport traffic patterns, including normal and crosswind; thermalling; and entry and departure procedures; (4) Straight and level flight, and turns (19) Emergency operations, including (7) Collision avoidance, windshear in both directions; towline break procedures. avoidance, and wake turbulence (5) Climbs and climbing turns; (j) Maneuvers and procedures for pre- avoidance; (6) Airport traffic patterns, including solo flight training in an airship. A (8) Descents with and without turns; entry and departure procedures; student pilot who is receiving training (9) Flight at various airspeeds; (7) Collision avoidance, windshear for an airship rating must receive and (10) Emergency procedures and avoidance, and wake turbulence log flight training for the following equipment malfunctions; avoidance; maneuvers and procedures: Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16325

(1) Proper flight preparation night. A student pilot may not operate daylight hours or 5 statute miles at procedures, including preflight an aircraft in solo flight at night unless night; planning and preparation, powerplant that student pilot has received: (7) When the flight cannot be made operation, and aircraft systems; (1) Flight training at night on night with visual reference to the surface; or (2) Taxiing or surface operations, flying procedures that includes takeoffs, (8) In a manner contrary to any including runups; approaches, landings, and go-arounds at limitations placed in the pilot’s logbook (3) Takeoffs and landings, including night at the airport where the solo flight by an authorized instructor. normal and crosswind; will be conducted; (b) A student pilot may not act as a (4) Straight and level flight, and turns (2) Navigation training at night in the required pilot flight crewmember on any in both directions; vicinity of the airport where the solo aircraft for which more than one pilot is (5) Climbs and climbing turns; flight will be conducted; required by the type certificate of the (6) Airport traffic patterns, including (3) An endorsement from an aircraft or regulations under which the entry and departure procedures; authorized instructor in the student’s flight is conducted, except when (7) Collision avoidance, windshear logbook for the specific make and model receiving flight training from an avoidance, and wake turbulence aircraft to be flown for night solo flight; authorized instructor on board an avoidance; and airship, and no person other than a (8) Descents with and without turns; (4) An endorsement in the student’s required flight crewmember is carried (9) Flight at various airspeeds from logbook for the specific make and model on the aircraft. cruise to slow flight; aircraft to be flown for night solo flight (10) Emergency procedures and by an authorized instructor who gave § 61.91 [Reserved] equipment malfunctions; the training within the 90-day period § 61.93 Solo cross-country flight (11) Ground reference maneuvers; preceding the date of the flight. requirements. (12) Rigging, ballasting, and (n) Limitations on flight instructors (a) General. (1) Except as provided in controlling pressure in the ballonets, authorizing solo flight. (1) No instructor paragraph (b) of this section, a student and superheating; and may authorize a student pilot to perform pilot must meet the requirements of this (13) Landings with positive and with a solo flight unless that instructor has— section before— negative static trim. (i) Given that student pilot training in (i) Conducting a solo cross-country (k) Maneuvers and procedures for pre- the make and model of aircraft or a flight, or any flight greater than 25 solo flight training in a balloon. A similar make and model of aircraft in nautical miles from the airport from student pilot who is receiving training which the solo flight is to be flown; where the flight originated. in a balloon must receive and log flight (ii) Determined the student pilot is (ii) Making a solo flight and landing training for the following maneuvers proficient in the maneuvers and at any location other than the airport of and procedures: procedures prescribed in this section; origination. (1) Layout and assembly procedures; (iii) Determined the student pilot is (2) Except as provided in paragraph (2) Proper flight preparation proficient in the make and model of (b) of this section, a student pilot who procedures, including preflight aircraft to be flown; planning and preparation, and aircraft (iv) Ensured that the student pilot’s seeks solo cross-country flight privileges systems; certificate has been endorsed by an must: (i) Have received flight training from (3) Ascents and descents; instructor authorized to provide flight an instructor authorized to provide (4) Landing and recovery procedures; training for the specific make and model flight training on the maneuvers and (5) Emergency procedures and aircraft to be flown; and equipment malfunctions; (v) Endorsed the student pilot’s procedures of this section that are (6) Operation of hot air or gas source, logbook for the specific make and model appropriate to the make and model of ballast, valves, vents, and rip panels, as aircraft to be flown, and that aircraft for which solo cross-country appropriate; endorsement remains current for solo privileges are sought; (7) Use of deflation valves or rip flight privileges, provided an authorized (ii) Have demonstrated cross-country panels for simulating an emergency; instructor updates the student’s logbook proficiency on the appropriate (8) The effects of wind on climb and every 90 days thereafter. maneuvers and procedures of this approach angles; and (2) The flight training required by this section to an authorized instructor; (9) Obstruction detection and section must be given by an instructor (iii) Have satisfactorily accomplished avoidance techniques. authorized to provide flight training the pre-solo flight maneuvers and (l) Limitations on student pilots who is appropriately rated and current. procedures required by § 61.87 of this operating an aircraft in solo flight. A part in the make and model of aircraft student pilot may not operate an aircraft § 61.89 General limitations. or similar make and model of aircraft for in solo flight unless that student pilot (a) A student pilot may not act as pilot which solo cross-country privileges are has received: in command of an aircraft: sought; and (1) An endorsement from an (1) That is carrying a passenger; (iv) Comply with any limitations authorized instructor on his or her (2) That is carrying property for included in the instructor’s student pilot certificate for the specific compensation or hire; endorsement that are required by make and model aircraft to be flown; (3) For compensation or hire; paragraph (c) of this section. and (4) In furtherance of a business; (3) A student pilot who seeks solo (2) An endorsement in the student’s (5) On an international flight, except cross-country flight privileges must logbook for the specific make and model that a student pilot may make solo have received ground and flight training aircraft to be flown by an authorized training flights from Haines, Gustavus, from an authorized instructor on the instructor, who gave the training within or Juneau, Alaska, to White Horse, cross-country maneuvers and the 90 days preceding the date of the Yukon, Canada, and return over the procedures listed in this section that are flight. province of British Columbia; appropriate to the aircraft to be flown. (m) Limitations on student pilots (6) With a flight or surface visibility (b) Authorization to perform certain operating an aircraft in solo flight at of less than 3 statute miles during solo flights and cross-country flights. A 16326 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations student pilot must obtain an conducted the training, and that (2) Use of aircraft performance charts endorsement from an authorized endorsement must be placed on that pertaining to cross-country flight; instructor to make solo flights from the person’s student pilot certificate for the (3) Procurement and analysis of airport where the student pilot normally specific category of aircraft to be flown. aeronautical weather reports and receives training to another location. A (2) Logbook endorsement. (i) A forecasts, including recognition of student pilot who receives this student pilot must have a solo cross- critical weather situations and endorsement must comply with the country endorsement from an estimating visibility while in flight; requirements of this paragraph. authorized instructor that is placed in (4) Emergency procedures; (1) Solo flights may be made to the student pilot’s logbook for the (5) Traffic pattern procedures that another airport that is within 25 specific make and model of aircraft to be include area departure, area arrival, nautical miles from the airport where flown. entry into the traffic pattern, and the student pilot normally receives (ii) A certificated pilot who is approach; training, provided— receiving training for an additional (6) Procedures and operating practices (i) An authorized instructor has given aircraft category and class rating must for collision avoidance, wake turbulence the student pilot flight training at the have an endorsement from an precautions, and windshear avoidance; other airport, and that training includes authorized instructor that is placed in (7) Recognition, avoidance, and flight in both directions over the route, the student pilot’s logbook for the operational restrictions of hazardous entering and exiting the traffic pattern, specific make and model of aircraft to be terrain features in the geographical area and takeoffs and landings at the other flown. where the cross-country flight will be airport; (iii) For each cross-country flight, the flown; (ii) The instructor who gave the authorized instructor who reviews the (8) Procedures for operating the instruments and equipment installed in training endorses the student pilot’s cross-country planning must make an the aircraft to be flown, including logbook authorizing the flight; endorsement in the person’s logbook recognition and use of the proper (iii) The student pilot has current solo after reviewing that person’s cross- flight endorsements in accordance with operational procedures and indications; country planning, as specified in (9) Use of radios for VFR navigation § 61.87 of this part; paragraph (d) of this section. The (iv) The instructor has determined and two-way communications; endorsement must— (10) Takeoff, approach, and landing that the student pilot is proficient to (A) Specify the make and model of procedures, including short-field, soft- make the flight; and aircraft to be flown; field, and crosswind takeoffs, (v) The purpose of the flight is to (B) State that the student’s preflight approaches, and landings; practice takeoffs and landings at that planning and preparation is correct and (11) Climbs at best angle and best rate; other airport. that the student is prepared to make the and (2) Repeated specific solo cross- flight safely under the known (12) Control and maneuvering solely country flights may be made to another conditions; and by reference to flight instruments, airport that is within 50 nautical miles (C) State that any limitations required including straight and level flight, turns, of the airport from which the flight by the student’s instructor are met. descents, climbs, use of radio aids, and originated, provided— (d) Limitations on authorized ATC directives. (i) The authorized instructor has given instructors to permit solo cross-country (f) Maneuvers and procedures for the student flight training in both flights. An authorized instructor may cross-country flight training in a directions over the route, including not permit a student pilot to conduct a multiengine airplane. A student pilot entering and exiting the traffic patterns, solo cross-country flight unless that who is receiving training for cross- takeoffs, and landings at the airports to instructor has: country flight in a multiengine airplane be used; (1) Determined that the student’s must receive and log flight training in (ii) The instructor who gave the cross-country planning is correct for the the following maneuvers and training has endorsed the student’s flight; procedures: logbook certifying that the student is (2) Reviewed the current and forecast (1) Use of aeronautical charts for VFR proficient to make such flights; weather conditions and has determined navigation using pilotage and dead (iii) The student has current solo that the flight can be completed under reckoning with the aid of a magnetic flight endorsements in accordance with VFR; compass; § 61.87 of this part; and (3) Determined that the student is (2) Use of aircraft performance charts (iv) The student has current solo proficient to conduct the flight safely; pertaining to cross-country flight; cross-country flight endorsements in (4) Determined that the student has (3) Procurement and analysis of accordance with paragraph (c) of this the appropriate solo cross-country aeronautical weather reports and section; however, for repeated solo endorsement for the make and model of forecasts, including recognition of cross-country flights to another airport aircraft to be flown; and critical weather situations and within 50 nautical miles from which the (5) Determined that the student’s solo estimating visibility while in flight; flight originated, separate endorsements flight endorsement is current for the (4) Emergency procedures; are not required to be made for each make and model aircraft to be flown. (5) Traffic pattern procedures that flight. (e) Maneuvers and procedures for include area departure, area arrival, (c) Endorsements for solo cross- cross-country flight training in a single- entry into the traffic pattern, and country flights. Except as specified in engine airplane. A student pilot who is approach; paragraph (b)(2) of this section, a receiving training for cross-country (6) Procedures and operating practices student pilot must have the flight in a single-engine airplane must for collision avoidance, wake turbulence endorsements prescribed in this receive and log flight training in the precautions, and windshear avoidance; paragraph for each cross-country flight: following maneuvers and procedures: (7) Recognition, avoidance, and (1) Student pilot certificate (1) Use of aeronautical charts for VFR operational restrictions of hazardous endorsement. A student pilot must have navigation using pilotage and dead terrain features in the geographical area a solo cross-country endorsement from reckoning with the aid of a magnetic where the cross-country flight will be the authorized instructor who compass; flown; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16327

(8) Procedures for operating the (2) Use of aircraft performance charts (10) Takeoff, approach, and landing instruments and equipment installed in pertaining to cross-country flight; procedures that include high-altitude, the aircraft to be flown, including (3) Procurement and analysis of steep, and shallow takeoffs, approaches, recognition and use of the proper aeronautical weather reports and and landings; and operational procedures and indications; forecasts, including recognition of (11) Control and maneuvering solely (9) Use of radios for VFR navigation critical weather situations and by reference to flight instruments, and two-way communications; estimating visibility while in flight; including straight and level flight, turns, (10) Takeoff, approach, and landing (4) Emergency procedures; descents, climbs, use of radio aids, and procedures, including short-field, soft- (5) Traffic pattern procedures that ATC directives. field, and crosswind takeoffs, include area departure, area arrival, (j) Maneuvers and procedures for approaches, and landings; entry into the traffic pattern, and cross-country flight training in a glider. (11) Climbs at best angle and best rate; approach; A student pilot who is receiving training and (6) Procedures and operating practices for cross-country flight in a glider must (12) Control and maneuvering solely for collision avoidance, wake turbulence receive and log flight training in the by reference to flight instruments, precautions, and windshear avoidance; following maneuvers and procedures: including straight and level flight, turns, (7) Recognition, avoidance, and (1) Use of aeronautical charts for VFR descents, climbs, use of radio aids, and operational restrictions of hazardous navigation using pilotage and dead ATC directives. terrain features in the geographical area reckoning with the aid of a magnetic (g) Maneuvers and procedures for where the cross-country flight will be compass; cross-country flight training in a flown; (2) Use of aircraft performance charts helicopter. A student pilot who is (8) Procedures for operating the pertaining to cross-country flight; receiving training for cross-country instruments and equipment installed in (3) Procurement and analysis of flight in a helicopter must receive and the aircraft to be flown, including aeronautical weather reports and log flight training for the following recognition and use of the proper forecasts, including recognition of maneuvers and procedures: operational procedures and indications; critical weather situations and (1) Use of aeronautical charts for VFR (9) Use of radios for VFR navigation estimating visibility while in flight; navigation using pilotage and dead and two-way communications; and (4) Emergency procedures; reckoning with the aid of a magnetic (10) Takeoff, approach, and landing (5) Traffic pattern procedures that compass; procedures, including short-field and include area departure, area arrival, (2) Use of aircraft performance charts soft-field takeoffs, approaches, and entry into the traffic pattern, and pertaining to cross-country flight; landings. approach; (3) Procurement and analysis of (i) Maneuvers and procedures for (6) Procedures and operating practices aeronautical weather reports and cross-country flight training in a for collision avoidance, wake turbulence forecasts, including recognition of powered-lift. A student pilot who is precautions, and windshear avoidance; critical weather situations and receiving training for cross-country (7) Recognition, avoidance, and estimating visibility while in flight; flight training in a powered-lift must operational restrictions of hazardous (4) Emergency procedures; receive and log flight training in the terrain features in the geographical area (5) Traffic pattern procedures that following maneuvers and procedures: where the cross-country flight will be include area departure, area arrival, (1) Use of aeronautical charts for VFR flown; entry into the traffic pattern, and navigation using pilotage and dead (8) Procedures for operating the approach; reckoning with the aid of a magnetic instruments and equipment installed in (6) Procedures and operating practices compass; the aircraft to be flown, including for collision avoidance, wake turbulence (2) Use of aircraft performance charts recognition and use of the proper precautions, and windshear avoidance; pertaining to cross-country flight; operational procedures and indications; (7) Recognition, avoidance, and (3) Procurement and analysis of (9) Landings accomplished without operational restrictions of hazardous aeronautical weather reports and the use of the altimeter from at least terrain features in the geographical area forecasts, including recognition of 2,000 feet above the surface; and where the cross-country flight will be critical weather situations and (10) Recognition of weather and upper flown; estimating visibility while in flight; air conditions favorable for cross- (8) Procedures for operating the (4) Emergency procedures; country soaring, ascending and instruments and equipment installed in (5) Traffic pattern procedures that descending flight, and altitude control. the aircraft to be flown, including include area departure, area arrival, (k) Maneuvers and procedures for recognition and use of the proper entry into the traffic pattern, and cross-country flight training in an operational procedures and indications; approach; airship. A student pilot who is receiving (9) Use of radios for VFR navigation (6) Procedures and operating practices training for cross-country flight in an and two-way communications; and for collision avoidance, wake turbulence airship must receive and log flight (10) Takeoff, approach, and landing precautions, and windshear avoidance; training for the following maneuvers procedures. (7) Recognition, avoidance, and and procedures: (h) Maneuvers and procedures for operational restrictions of hazardous (1) Use of aeronautical charts for VFR cross-country flight training in a terrain features in the geographical area navigation using pilotage and dead gyroplane. A student pilot who is where the cross-country flight will be reckoning with the aid of a magnetic receiving training for cross-country flown; compass; flight in a gyroplane must receive and (8) Procedures for operating the (2) Use of aircraft performance charts log flight training in the following instruments and equipment installed in pertaining to cross-country flight; maneuvers and procedures: the aircraft to be flown, including (3) Procurement and analysis of (1) Use of aeronautical charts for VFR recognition and use of the proper aeronautical weather reports and navigation using pilotage and dead operational procedures and indications; forecasts, including recognition of reckoning with the aid of a magnetic (9) Use of radios for VFR navigation critical weather situations and compass; and two-way communications; estimating visibility while in flight; 16328 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(4) Emergency procedures; preceding the date of the flight at that § 61.97 Aeronautical knowledge. (5) Traffic pattern procedures that airport; and (a) General. A person who applies for include area departure, area arrival, (3) The logbook endorsement specifies a recreational pilot certificate must entry into the traffic pattern, and that the student pilot has received the receive and log ground training from an approach; required ground and flight training, and authorized instructor or complete a (6) Procedures and operating practices has been found proficient to conduct home-study course on the aeronautical for collision avoidance, wake turbulence solo flight operations at that specific knowledge areas of paragraph (b) of this precautions, and windshear avoidance; airport. section that apply to the aircraft (7) Recognition, avoidance, and category and class rating sought. operational restrictions of hazardous Subpart DÐRecreational Pilots (b) Aeronautical knowledge areas. (1) terrain features in the geographical area Applicable Federal Aviation where the cross-country flight will be § 61.96 Applicability and eligibility requirements: General. Regulations of this chapter that relate to flown; recreational pilot privileges, limitations, (8) Procedures for operating the (a) This subpart prescribes the and flight operations; instruments and equipment installed in requirement for the issuance of (2) Accident reporting requirements of the aircraft to be flown, including recreational pilot certificates and the National Transportation Safety recognition and use of the proper ratings, the conditions under which Board; operational procedures and indications; those certificates and ratings are (3) Use of the applicable portions of (9) Use of radios for VFR navigation necessary, and the general operating the ‘‘Aeronautical Information Manual’’ and two-way communications; rules for persons who hold those and FAA ACs; (10) Control of air pressure with certificates and ratings. (4) Use of aeronautical charts for VFR regard to ascending and descending (b) To be eligible for a recreational navigation using pilotage with the aid of flight and altitude control; pilot certificate, a person who applies a magnetic compass; (11) Control of the airship solely by for that certificate must: (5) Recognition of critical weather reference to flight instruments; and (1) Be at least 17 years of age; situations from the ground and in flight, (12) Recognition of weather and upper (2) Be able to read, speak, write, and windshear avoidance, and the air conditions conducive for the understand the English language. If the procurement and use of aeronautical direction of cross-country flight. applicant is unable to meet one of these weather reports and forecasts; (6) Safe and efficient operation of § 61.95 Operations in Class B airspace and requirements due to medical reasons, at airports located within Class B airspace. then the Administrator may place such aircraft, including collision avoidance, operating limitations on that applicant’s and recognition and avoidance of wake (a) A student pilot may not operate an turbulence; aircraft on a solo flight in Class B pilot certificate as are necessary for the safe operation of the aircraft; (7) Effects of density altitude on airspace unless: takeoff and climb performance; (1) The student pilot has received (3) Receive a logbook endorsement from an authorized instructor who— (8) Weight and balance computations; both ground and flight training from an (9) Principles of aerodynamics, authorized instructor on that Class B (i) Conducted the training or reviewed powerplants, and aircraft systems; airspace area, and the flight training was the applicant’s home study on the (10) Stall awareness, spin entry, spins, received in the specific Class B airspace aeronautical knowledge areas listed in and spin recovery techniques, if area for which solo flight is authorized; § 61.97(b) of this part that apply to the applying for an airplane single-engine (2) The logbook of that student pilot aircraft category and class rating sought; rating; has been endorsed by the instructor who and (11) Aeronautical decision making gave the student pilot flight training, (ii) Certified that the applicant is and judgment; and and the endorsement is dated within the prepared for the required knowledge (12) Preflight action that includes— 90-day period preceding the date of the test. (i) How to obtain information on flight in that Class B airspace area; and (4) Pass the required knowledge test runway lengths at airports of intended (3) The logbook endorsement specifies on the aeronautical knowledge areas use, data on takeoff and landing that the student pilot has received the listed in § 61.97(b) of this part; distances, weather reports and forecasts, required ground and flight training, and (5) Receive flight training and a and fuel requirements; and has been found proficient to conduct logbook endorsement from an (ii) How to plan for alternatives if the solo flight in that specific Class B authorized instructor who— planned flight cannot be completed or airspace area. (i) Conducted the training on the areas delays are encountered. (b) A student pilot may not operate an of operation listed in § 61.98(b) of this aircraft on a solo flight to, from, or at an § 61.98 Flight proficiency. part that apply to the aircraft category airport located within Class B airspace and class rating sought; and (a) General. A person who applies for pursuant to § 91.131(b) of this chapter a recreational pilot certificate must have (ii) Certified that the applicant is unless: received and logged ground and flight prepared for the required practical test. (1) The student pilot has received training from an authorized instructor both ground and flight training from an (6) Meet the aeronautical experience on the areas of operation of this section instructor authorized to provide training requirements of § 61.99 of this part that that apply to the aircraft category and to operate at that airport, and the flight apply to the aircraft category and class class rating sought. and ground training has been received rating sought; (b) Areas of operation. (1) For a at the specific airport for which the solo (7) Pass the required practical test on single-engine airplane rating: (i) flight is authorized; the areas of operation listed in § 61.98(b) Preflight preparation; (2) The logbook of that student pilot of this part that apply to the aircraft (ii) Preflight procedures; has been endorsed by an authorized category and class rating sought; and (iii) Airport operations; instructor who gave the student pilot (8) Comply with the sections of this (iv) Takeoffs, landings, and go- flight training, and the endorsement is part that apply to the aircraft category arounds; dated within the 90-day period and class rating sought. (v) Performance maneuvers; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16329

(vi) Ground reference maneuvers; civil operations are available to which a (1) Received ground and flight (vii) Navigation; flight may be made without flying over training from an authorized instructor (viii) Slow flight and stalls; water for more than 10 nautical miles on the cross-country training (ix) Emergency operations; and from the nearest shoreline, the applicant requirements of subpart E of this part (x) Postflight procedures. must show completion of a dual flight that apply to the aircraft rating held; (2) For a helicopter rating: (i) Preflight between two airports, which must (2) Been found proficient in cross- preparation; include three landings at the other country flying; and (ii) Preflight procedures; airport. (3) Received from an authorized (iii) Airport and heliport operations; (b) An applicant who complies with instructor a logbook endorsement, (iv) Hovering maneuvers; paragraph (a) of this section and meets which is carried on the person’s (v) Takeoffs, landings, and go- all requirements for the issuance of a possession in the aircraft, that certifies arounds; recreational pilot certificate, except the the person has received and been found (vi) Performance maneuvers; requirements of § 61.99(a)(1) of this part, proficient in the cross-country training (vii) Ground reference maneuvers; will be issued a pilot certificate with an requirements of subpart E of this part (viii) Navigation; endorsement containing the following that apply to the aircraft rating held. (ix) Emergency operations; and limitation, ‘‘Passenger carrying (d) Except as provided in paragraph (x) Postflight procedures. prohibited on flights more than 10 (h) of this section, a recreational pilot (3) For a gyroplane rating: (i) Preflight nautical miles from (the appropriate may not act as pilot in command of an preparation; island).’’ The limitation may be aircraft: (ii) Preflight procedures; subsequently amended to include (1) That is certificated for more than (iii) Airport operations; another island if the applicant complies four occupants, with more than one (iv) Takeoffs, landings, and go- with the requirements of paragraph (a) powerplant, with a powerplant of more arounds; of this section for another island. than 180 horsepower, or with retractable (v) Performance maneuvers; (c) Upon meeting the requirements of landing gear. (vi) Ground reference maneuvers; § 61.99(a)(1) of this part, the applicant (2) That is classified as a multiengine (vii) Navigation; may have the limitation(s) in paragraph airplane, powered-lift, glider, airship, or (viii) Flight at slow airspeeds; (b) of this section removed. balloon; (ix) Emergency operations; and (3) That is carrying a passenger or (x) Postflight procedures. § 61.101 Recreational pilot privileges and property for compensation or hire; limitations. (4) For compensation or hire; § 61.99 Aeronautical experience. (a) A person who holds a recreational (5) In furtherance of a business; A person who applies for a pilot certificate may: (6) Between sunset and sunrise; recreational pilot certificate must (1) Carry no more than one passenger; (7) In airspace in which receive and log at least 30 hours of flight and communication with air traffic control training time that includes at least: (2) Not pay less than the pro rata is required; (a) 15 hours of flight training from an share of the operating expenses of a (8) At an altitude of more than 10,000 authorized instructor on the areas of flight with a passenger, provided the feet MSL or 2,000 feet AGL, whichever operation listed in § 61.98 of this part expenses involve only fuel, oil, airport is higher; that consists of at least: expenses, or aircraft rental fees. (9) When the flight or surface (1) Except as provided in § 61.100 of (b) A person who holds a recreational visibility is less than 3 statute miles; this part, 2 hours of flight training en pilot certificate may act as pilot in (10) Without visual reference to the route to an airport that is located more command of an aircraft on a flight that surface; than 25 nautical miles from the airport is within 50 nautical miles from the (11) On a flight outside the United where the applicant normally trains, departure airport, provided that person States; which includes at least three takeoffs has: (12) To demonstrate that aircraft in and three landings at the airport located (1) Received ground and flight flight to a prospective buyer; more than 25 nautical miles from the training for takeoff, departure, arrival, (13) That is used in a passenger- airport where the applicant normally and landing procedures at the departure carrying airlift and sponsored by a trains; and airport; charitable organization; and (2) 3 hours of flight training in the (2) Received ground and flight (14) That is towing any object. aircraft for the rating sought in training for the area, terrain, and aids to (e) A recreational pilot may not act as preparation for the practical test within navigation that are in the vicinity of the a pilot flight crewmember on any the 60 days preceding the date of the departure airport; aircraft for which more than one pilot is practical test. (3) Been found proficient to operate required by the type certificate of the (b) 3 hours of solo flying in the the aircraft at the departure airport and aircraft or the regulations under which aircraft for the rating sought, on the the area within 50 nautical miles from the flight is conducted, except when: areas of operation listed in § 61.98 of that airport; and (1) Receiving flight training from a this part that apply to the aircraft (4) Received from an authorized person authorized to provide flight category and class rating sought. instructor a logbook endorsement, training on board an airship; and which is carried in the person’s (2) No person other than a required § 61.100 Pilots based on small islands. possession in the aircraft, that permits flight crewmember is carried on the (a) An applicant located on an island flight within 50 nautical miles from the aircraft. from which the flight training required departure airport. (f) A person who holds a recreational in § 61.99(a)(1) of this part cannot be (c) A person who holds a recreational pilot certificate, has logged fewer than accomplished without flying over water pilot certificate may act as pilot in 400 flight hours, and has not logged for more than 10 nautical miles from the command of an aircraft on a flight that pilot-in-command time in an aircraft nearest shoreline need not comply with exceeds 50 nautical miles from the within the 180 days preceding the flight the requirements of that section. departure airport, provided that person shall not act as pilot in command of an However, if other airports that permit has: aircraft until the pilot receives flight 16330 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations training and a logbook endorsement applicant is unable to meet one of these (7) Safe and efficient operation of from an authorized instructor, and the requirements due to medical reasons, aircraft, including collision avoidance, instructor certifies that the person is then the Administrator may place such and recognition and avoidance of wake proficient to act as pilot in command of operating limitations on that applicant’s turbulence; the aircraft. This requirement can be pilot certificate as are necessary for the (8) Effects of density altitude on met in combination with the safe operation of the aircraft. takeoff and climb performance; requirements of §§ 61.56 and 61.57 of (d) Receive a logbook endorsement (9) Weight and balance computations; this part, at the discretion of the from an authorized instructor who: (10) Principles of aerodynamics, authorized instructor. (1) Conducted the training or powerplants, and aircraft systems; (g) A recreational pilot certificate reviewed the person’s home study on (11) Stall awareness, spin entry, spins, issued under this subpart carries the the aeronautical knowledge areas listed and spin recovery techniques for the notation, ‘‘Holder does not meet ICAO in § 61.105(b) of this part that apply to airplane and glider category ratings; requirements.’’ the aircraft rating sought; and (12) Aeronautical decision making (h) For the purpose of obtaining (2) Certified that the person is and judgment; and additional certificates or ratings while prepared for the required knowledge (13) Preflight action that includes— under the supervision of an authorized test. (i) How to obtain information on instructor, a recreational pilot may fly as (e) Pass the required knowledge test runway lengths at airports of intended the sole occupant of an aircraft: on the aeronautical knowledge areas use, data on takeoff and landing (1) For which the pilot does not hold listed in § 61.105(b) of this part. distances, weather reports and forecasts, an appropriate category or class rating; (f) Receive flight training and a and fuel requirements; and (2) Within airspace that requires logbook endorsement from an (ii) How to plan for alternatives if the communication with air traffic control; authorized instructor who: planned flight cannot be completed or or (1) Conducted the training in the areas delays are encountered. (3) Between sunset and sunrise, of operation listed in § 61.107(b) of this § 61.107 Flight proficiency. provided the flight or surface visibility part that apply to the aircraft rating (a) General. A person who applies for is at least 5 statute miles. sought; and a private pilot certificate must receive (i) In order to fly solo as provided in (2) Certified that the person is paragraph (h) of this section, the and log ground and flight training from prepared for the required practical test. an authorized instructor on the areas of recreational pilot must meet the (g) Meet the aeronautical experience appropriate aeronautical knowledge and operation of this section that apply to requirements of this part that apply to the aircraft category and class rating flight training requirements of § 61.87 the aircraft rating sought before for that aircraft. When operating an sought. applying for the practical test. (b) Areas of operation. (1) For an aircraft under the conditions specified (h) Pass a practical test on the areas airplane category rating with a single- in paragraph (h) of this section, the of operation listed in § 61.107(b) of this engine class rating: (i) Preflight recreational pilot shall carry the logbook part that apply to the aircraft rating preparation; that has been endorsed for each flight by sought. (ii) Preflight procedures; an authorized instructor who: (i) Comply with the appropriate (iii) Airport and seaplane base (1) Has given the recreational pilot sections of this part that apply to the operations; training in the make and model of aircraft category and class rating sought. (iv) Takeoffs, landings, and go- aircraft in which the solo flight is to be § 61.105 Aeronautical knowledge. arounds; made; (v) Performance maneuvers; (2) Has found that the recreational (a) General. A person who is applying (vi) Ground reference maneuvers; pilot has met the applicable for a private pilot certificate must (vii) Navigation; requirements of § 61.87; and receive and log ground training from an (viii) Slow flight and stalls; (3) Has found that the recreational authorized instructor or complete a (ix) Basic instrument maneuvers; pilot is competent to make solo flights home-study course on the aeronautical (x) Emergency operations; in accordance with the logbook knowledge areas of paragraph (b) of this (xi) Night operations, except as endorsement. section that apply to the aircraft provided in § 61.110 of this part; and category and class rating sought. (xii) Postflight procedures. Subpart EÐPrivate Pilots (b) Aeronautical knowledge areas. (1) (2) For an airplane category rating with a multiengine class rating: (i) § 61.102 Applicability. Applicable Federal Aviation Preflight preparation; This subpart prescribes the Regulations of this chapter that relate to private pilot privileges, limitations, and (ii) Preflight procedures; requirements for the issuance of private (iii) Airport and seaplane base pilot certificates and ratings, the flight operations; (2) Accident reporting requirements of operations; conditions under which those (iv) Takeoffs, landings, and go- certificates and ratings are necessary, the National Transportation Safety Board; arounds; and the general operating rules for (v) Performance maneuvers; (3) Use of the applicable portions of persons who hold those certificates and (vi) Ground reference maneuvers; ratings. the ‘‘Aeronautical Information Manual’’ (vii) Navigation; and FAA ACs; (viii) Slow flight and stalls; § 61.103 Eligibility requirements: General. (4) Use of aeronautical charts for VFR (ix) Basic instrument maneuvers; To be eligible for a private pilot navigation using pilotage, dead (x) Emergency operations; certificate, a person must: reckoning, and navigation systems; (xi) Multiengine operations; (a) Be at least 17 years of age for a (5) Radio communication procedures; (xii) Night operations, except as rating in other than a glider or balloon. (6) Recognition of critical weather provided in § 61.110 of this part; and (b) Be at least 16 years of age for a situations from the ground and in flight, (xiii) Postflight procedures. rating in a glider or balloon. windshear avoidance, and the (3) For a rotorcraft category rating (c) Be able to read, speak, write, and procurement and use of aeronautical with a helicopter class rating: (i) understand the English language. If the weather reports and forecasts; Preflight preparation; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16331

(ii) Preflight procedures; (ii) Preflight procedures; (4) 3 hours of flight training in (iii) Airport and heliport operations; (iii) Airport operations; preparation for the practical test in a (iv) Hovering maneuvers; (iv) Launches and landings; multiengine airplane, which must have (v) Takeoffs, landings, and go- (v) Performance maneuvers; been performed within the 60-day arounds; (vi) Navigation; period preceding the date of the test; (vi) Performance maneuvers; (vii) Emergency operations; and and (vii) Navigation; (viii) Postflight procedures. (5) 10 hours of solo flight time in an (viii) Emergency operations; § 61.109 Aeronautical experience. airplane consisting of at least— (ix) Night operations, except as Except as provided in paragraph (i) of (i) 5 hours of solo cross-country flight; provided in § 61.110 of this part; and this section, a person who applies for a (ii) One solo cross-country flight of at (x) Postflight procedures. private pilot certificate with an airplane, least 150 nautical miles total distance, (4) For a rotorcraft category rating rotorcraft, or powered-lift category with full-stop landings at a minimum of with a gyroplane class rating: (i) rating must receive and log at least 40 three points, and one segment of the Preflight preparation; hours of flight time that includes at least flight consisting of a straight-line (ii) Preflight procedures; 20 hours of flight training from an distance of at least 50 nautical miles (iii) Airport operations; authorized instructor and 10 hours of between the takeoff and landing (iv) Takeoffs, landings, and go- solo flight training in the areas of locations; and arounds; (iii) Three takeoffs and three landings operation listed in § 61.107 of this part, (v) Performance maneuvers; to a full stop (with each landing and the training must include at least: (vi) Ground reference maneuvers; (a) For an airplane single-engine involving a flight in the traffic pattern) (vii) Navigation; rating: (1) 3 hours of cross-country flight at an airport with an operating control (viii) Flight at slow airspeeds; training in a single-engine airplane; tower. (ix) Emergency operations; (2) Except as provided in § 61.110 of (c) For a helicopter rating: (1) 3 hours (x) Night operations, except as this part, 3 hours of night flight training of cross-country flight training in a provided in § 61.110 of this part; and in a single-engine airplane that helicopter; (xi) Postflight procedures. includes— (2) Except as provided in § 61.110 of (5) For a powered-lift category rating: (i) One cross-country flight of over this part, 3 hours of night flight training (i) Preflight preparation; 100 nautical miles total distance; and in a helicopter that includes— (ii) Preflight procedures; (ii) 10 takeoffs and 10 landings to a (i) One cross-country flight of over 50 (iii) Airport and heliport operations; full stop (with each landing involving a nautical miles total distance; and (iv) Hovering maneuvers; flight in the traffic pattern) at an airport. (ii) 10 takeoffs and 10 landings to a (v) Takeoffs, landings, and go- (3) 3 hours of instrument flight full stop (with each landing involving a arounds; training in a single-engine airplane; flight in the traffic pattern) at an airport. (vi) Performance maneuvers; (4) 3 hours of flight training in (3) 3 hours of flight training in (vii) Ground reference maneuvers; preparation for the practical test in a preparation for the practical test in a (viii) Navigation; single-engine airplane, which must have helicopter, which must have been (ix) Slow flight and stalls; been performed within 60 days performed within 60 days preceding the (x) Basic instrument maneuvers; preceding the date of the test; and date of the test; and (xi) Emergency operations; (5) 10 hours of solo flight time in a (4) 10 hours of solo flight time in a (xii) Night operations, except as single-engine airplane, consisting of at helicopter, consisting of at least— provided in § 61.110 of this part; and least— (i) 3 hours cross-country flight time; (xiii) Postflight procedures. (i) 5 hours of solo cross-country flight; (ii) One solo cross-country flight of at (6) For a glider category rating: (i) (ii) One solo cross-country flight of at least 75 nautical miles total distance, Preflight preparation; least 150 nautical miles total distance, with landings at a minimum of three (ii) Preflight procedures; with full-stop landings at a minimum of points, and one segment of the flight (iii) Airport and gliderport operations; three points, and one segment of the being a straight-line distance of at least (iv) Launches and landings; flight consisting of a straight-line 25 nautical miles between the takeoff (v) Performance speeds; distance of at least 50 nautical miles and landing locations; and (vi) Soaring techniques; between the takeoff and landing (iii) Three takeoffs and three landings (vii) Performance maneuvers; locations; and to a full stop (with each landing (viii) Navigation; (iii) Three takeoffs and three landings involving a flight in the traffic pattern) (ix) Slow flight and stalls; to a full stop (with each landing at an airport with an operating control (x) Emergency operations; and involving a flight in the traffic pattern) tower. (xi) Postflight procedures. at an airport with an operating control (d) For a gyroplane rating: (1) 3 hours (7) For a lighter-than-air category tower. of cross-country flight training in a rating with an airship class rating: (i) (b) For an airplane multiengine rating: gyroplane; Preflight preparation; (1) 3 hours of cross-country flight (2) Except as provided in § 61.110 of (ii) Preflight procedures; training in a multiengine airplane; this part, 3 hours of night flight training (iii) Airport operations; (2) Except as provided in § 61.110 of in a gyroplane that includes— (iv) Takeoffs, landings, and go- this part, 3 hours of night flight training (i) One cross-country flight of over 50 arounds; in a multiengine airplane that nautical miles total distance; and (v) Performance maneuvers; includes— (ii) 10 takeoffs and 10 landings to a (vi) Ground reference maneuvers; (i) One cross-country flight of over full stop (with each landing involving a (vii) Navigation; 100 nautical miles total distance; and flight in the traffic pattern) at an airport. (viii) Emergency operations; and (ii) 10 takeoffs and 10 landings to a (3) 3 hours of flight training in (ix) Postflight procedures. full stop (with each landing involving a preparation for the practical test in a (8) For a lighter-than-air category flight in the traffic pattern) at an airport. gyroplane, which must have been rating with a balloon class rating: (i) (3) 3 hours of instrument flight performed within the 60-day period Preflight preparation; training in a multiengine airplane; preceding the date of the test; and 16332 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(4) 10 hours of solo flight time in a air aircraft, at least 3 hours of flight Except as provided in paragraphs (i)(2) gyroplane, and consisting of at least— training in a glider, and 10 training and (i)(3) of this section, a maximum of (i) 3 hours of cross-country flight flights performed on the areas of 2.5 hours of training in an approved time; operation listed in § 61.107 of this part flight simulator or an approved flight (ii) One solo cross-country flight of that apply to gliders that include— training device representing the over 75 nautical miles total distance, (i) 10 solo flights in gliders on the category, class, and type, if applicable, with landings at a minimum of three areas of operation listed in § 61.107 of of aircraft appropriate to the rating points, and one segment of the flight this part that apply to gliders; and sought, may be credited toward the being a straight-line distance of at least (ii) Three training flights in flight training time required by this 25 nautical miles between the takeoff preparation for the practical test within section, if received from an authorized and landing locations; and the 60-day waiting period preceding the instructor. (iii) Three takeoffs and three landings test. (2) Except as provided in paragraph to a full stop (with each landing (g) For an airship rating: (1) 25 hours (i)(1) or paragraph (i)(3) of this section, involving a flight in the traffic pattern) of flight training in airships on the areas a maximum of 5 hours of training in an at an airport with an operating control of operation listed in § 61.107(b)(7) of approved flight simulator or an tower. this part, which consists of at least— approved flight training device (e) For a powered-lift rating: (1) 3 (i) 3 hours of cross-country flight representing the category, class, and hours of cross-country flight training in training in an airship; type, if applicable, of aircraft a powered-lift; (ii) Except as provided in § 61.110 of appropriate to the rating sought, may be (2) Except as provided in § 61.110 of this part, 3 hours of night flight training credited toward the flight training time this part, 3 hours of night flight training in an airship that includes— required by this section if the training in a powered-lift that includes— (A) A cross-country flight of over 25 is accomplished in a course conducted (i) One cross-country flight of over nautical miles total distance; and 100 nautical miles total distance; and by a training center certificated under (B) Five takeoffs and five landings to part 142 of this chapter. (ii) 10 takeoffs and 10 landings to a a full stop (with each landing involving full stop (with each landing involving a (3) Except when fewer hours are a flight in the traffic pattern) at an flight in the traffic pattern) at an airport. approved by the Administrator, an airport. (3) 3 hours of instrument flight applicant for a private pilot certificate (2) 3 hours of instrument training; training in a powered-lift; with an airplane, rotorcraft, or powered- (4) 3 hours of flight training in (3) 3 hours of flight training in an lift rating, who has satisfactorily preparation for the practical test in a airship in preparation for the practical completed an approved private pilot powered-lift, which must have been test within the 60 days preceding the course conducted by a training center performed within the 60-day period date of the test; and certificated under part 142 of this preceding the date of the test; and (4) 5 hours of solo flight in an airship chapter need only have a total of 35 (5) 10 hours of solo flight time in an and with an authorized instructor. hours of aeronautical experience to meet airplane or powered-lift consisting of at (h) For a balloon rating: 10 hours of the requirements of this section. least— flight training that includes at least six (i) 5 hours cross-country flight time; training flights in the areas of operation § 61.110 Night flying exceptions. (ii) One cross-country flight of at least listed in § 61.107(b)(8) of this part, that (a) Subject to the limitations of 150 nautical miles total distance, with includes— paragraph (b) of this section, a person is landings at a minimum of three points, (1) Gas balloon. If the training is being not required to comply with the night and one segment of the flight being a performed in a gas balloon, at least two flight training requirements of this straight-line distance of at least 50 flights of 2 hours each that consists of— subpart if the person receives flight nautical miles between the takeoff and (i) At least one training flight within training in and resides in the State of landing locations; and 60 days prior to application for the Alaska. (iii) Three takeoffs and three landings rating on the areas of operation for a gas (b) A person who receives flight to a full stop (with each landing balloon; training in and resides in the State of involving a flight in the traffic pattern) (ii) At least one flight performing the Alaska but does not meet the night flight at an airport with an operating control functions of pilot in command in a gas training requirements of this section: tower. balloon; and (1) May be issued a pilot certificate (f) For a glider category rating: (1) If (iii) At least one flight involving a with a limitation ‘‘Night flying the applicant has not logged at least 40 controlled ascent to 3,000 feet above the prohibited;’’ and hours of flight time as a pilot in a launch site. (2) Must comply with the appropriate heavier-than-air aircraft, at least 10 (2) Balloon with an airborne heater. If night flight training requirements of this hours of flight training in a glider, and the training is being performed in a subpart within the 12-calendar-month 20 training flights performed on the balloon with an airborne heater, at period after the issuance of the pilot areas of operation listed in least— certificate. At the end of that period, the § 61.107(b)(6) of this part that apply to (i) Two flights of 1 hour each within certificate will be suspended until the gliders that include— 60 days prior to application for the person complies with the appropriate (i) 2 hours of solo flight in gliders in rating on the areas of operation night training requirements of this the areas of operation listed in appropriate to a balloon with an subpart. The person may have the § 61.107(b)(6) of this part that apply to airborne heater; ‘‘Night flying prohibited’’ limitation gliders, with not less than 10 launches (ii) One solo flight in a balloon with removed if the person— and landings being performed; and an airborne heater; and (i) Accomplishes the appropriate (ii) Three training flights in a glider in (iii) At least one flight involving a night flight training requirements of this preparation for the practical test within controlled ascent to 2,000 feet above the subpart; and the 60-day period preceding the launch site. (ii) Presents to an examiner a logbook practical test. (i) Permitted credit for use of an or training record endorsement from an (2) If the applicant has logged at least approved flight simulator or an authorized instructor that verifies 40 hours of flight time in heavier-than- approved flight training device. (1) accomplishment of the appropriate Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16333 night flight training requirements of this fuel, oil, airport expenditures, or rental § 61.115 Balloon rating: Limitations. subpart. fees. (a) If a person who applies for a (d) A private pilot may act as pilot in private pilot certificate with a balloon § 61.111 Cross-country flights: Pilots command of an aircraft used in a based on small islands. rating takes a practical test in a balloon passenger-carrying airlift sponsored by a with an airborne heater: (a) Except as provided in paragraph charitable organization described in (1) The pilot certificate will contain a (b) of this section, an applicant located paragraph (d)(7) of this section, and for limitation restricting the exercise of the on an island from which the cross- which the passengers make a donation privileges of that certificate to a balloon country flight training required in to the organization, when the following with an airborne heater; and § 61.109 of this part cannot be requirements are met: (2) The limitation may be removed accomplished without flying over water (1) The sponsor of the airlift notifies when the person obtains the required for more than 10 nautical miles from the the FAA Flight Standards District Office aeronautical experience in a gas balloon nearest shoreline need not comply with with jurisdiction over the area and receives a logbook endorsement the requirements of that section. concerned at least 7 days before the from an authorized instructor who (b) If other airports that permit civil event and furnishes— attests to the person’s accomplishment operations are available to which a (i) A signed letter from the sponsor of the required aeronautical experience flight may be made without flying over that shows the name of the sponsor, the and ability to satisfactorily operate a gas water for more than 10 nautical miles purpose of the charitable event, the date balloon. from the nearest shoreline, the applicant and time of the event, and the location (b) If a person who applies for a must show completion of two round- of the event; and private pilot certificate with a balloon trip solo flights between those two (ii) A photocopy of each pilot in rating takes a practical test in a gas airports that are farthest apart, including command’s pilot certificate, medical balloon: a landing at each airport on both flights. certificate, and logbook entries that (1) The pilot certificate will contain a (c) An applicant who complies with show the pilot is current in accordance limitation restricting the exercise of the paragraph (a) or paragraph (b) of this with §§ 61.56 and 61.57 of this part and privilege of that certificate to a gas section, and meets all requirements for has logged at least 200 hours of flight balloon; and the issuance of a private pilot certificate, time. (2) The limitation may be removed except the cross-country training (2) The flight is conducted from a when the person obtains the required requirements of § 61.109 of this part, public airport that is adequate for the aeronautical experience in a balloon will be issued a pilot certificate with an aircraft to be used, or from another with an airborne heater and receives a endorsement containing the following airport that has been approved by the logbook endorsement from an limitation, ‘‘Passenger carrying FAA for the operation. authorized instructor who attests to the prohibited on flights more than 10 (3) No aerobatic or formation flights person’s accomplishment of the nautical miles from (the appropriate are conducted. required aeronautical experience and island).’’ The limitation may be (4) Each aircraft used for the ability to satisfactorily operate a balloon subsequently amended to include charitable event holds a standard with an airborne heater. another island if the applicant complies airworthiness certificate. with the requirements of paragraph (a) § 61.117 Private pilot privileges and (5) Each aircraft used for the or paragraph (b) of this section for limitations: Second in command of aircraft charitable event is airworthy and another island. requiring more than one pilot. complies with the applicable (d) Upon meeting the cross-country Except as provided in § 61.113 of this requirements of subpart E of part 91 of training requirements of § 61.109 of this part, no private pilot may, for this chapter. part, the applicant may have the compensation or hire, act as second in (6) Each flight for the charitable event limitation in paragraph (c) of this command of an aircraft that is type is made during day VFR conditions. section removed. certificated for more than one pilot, nor (7) The charitable organization is an may that pilot act as second in § 61.113 Private pilot privileges and organization identified as such by the command of such an aircraft that is limitations: Pilot in command. U.S. Department of Treasury. carrying passengers, or property for (a) Except as provided in paragraphs (e) A private pilot may be reimbursed compensation or hire. (b) through (g) of this section, no person for aircraft operating expenses that are who holds a private pilot certificate may directly related to search and location § 61.118±61.120 [Reserved] operations, provided the expenses act as pilot in command of an aircraft Subpart FÐCommercial Pilots that is carrying passengers or property involve only fuel, oil, airport for compensation or hire; nor may that expenditures, or rental fees, and the § 61.121 Applicability. person, for compensation or hire, act as operation is sanctioned and under the This subpart prescribes the pilot in command of an aircraft. direction and control of: requirements for the issuance of (b) A private pilot may, for (1) A local, State, or Federal agency; commercial pilot certificates and compensation or hire, act as pilot in or ratings, the conditions under which command of an aircraft in connection (2) An organization that conducts those certificates and ratings are with any business or employment if: search and location operations. necessary, and the general operating (1) The flight is only incidental to that (f) A private pilot who is an aircraft rules for persons who hold those business or employment; and salesman and who has at least 200 hours certificates and ratings. (2) The aircraft does not carry of logged flight time may demonstrate passengers or property for compensation an aircraft in flight to a prospective § 61.123 Eligibility requirements: General. or hire. buyer. To be eligible for a commercial pilot (c) A private pilot may not pay less (g) A private pilot who meets the certificate, a person must: than the pro rata share of the operating requirements of § 61.69 of this part may (a) Be at least 18 years of age; expenses of a flight with passengers, act as pilot in command of an aircraft (b) Be able to read, speak, write, and provided the expenses involve only towing a glider. understand the English language. If the 16334 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations applicant is unable to meet one of these (5) Safe and efficient operation of (iv) Hovering maneuvers; requirements due to medical reasons, aircraft; (v) Takeoffs, landings, and go- then the Administrator may place such (6) Weight and balance computations; arounds; operating limitations on that applicant’s (7) Use of performance charts; (vi) Performance maneuvers; pilot certificate as are necessary for the (8) Significance and effects of (vii) Navigation; safe operation of the aircraft. exceeding aircraft performance (viii) Emergency operations; (c) Receive a logbook endorsement limitations; (ix) Special operations; and from an authorized instructor who: (9) Use of aeronautical charts and a (x) Postflight procedures. (1) Conducted the required ground magnetic compass for pilotage and dead (4) For a rotorcraft category rating training or reviewed the person’s home reckoning; with a gyroplane class rating: (i) study on the aeronautical knowledge (10) Use of air navigation facilities; Preflight preparation; areas listed in § 61.125 of this part that (11) Aeronautical decision making (ii) Preflight procedures; apply to the aircraft category and class and judgment; (iii) Airport operations; rating sought; and (12) Principles and functions of (iv) Takeoffs, landings, and go- (2) Certified that the person is aircraft systems; arounds; prepared for the required knowledge (13) Maneuvers, procedures, and (v) Performance maneuvers; test that applies to the aircraft category emergency operations appropriate to the (vi) Navigation; and class rating sought. aircraft; (vii) Flight at slow airspeeds; (d) Pass the required knowledge test (14) Night and high-altitude (viii) Emergency operations; and on the aeronautical knowledge areas operations; (ix) Postflight procedures. listed in § 61.125 of this part; (15) Procedures for operating within (5) For a powered-lift category rating: (e) Receive the required training and the National Airspace System; and (i) Preflight preparation; a logbook endorsement from an (16) Procedures for flight and ground (ii) Preflight procedures; authorized instructor who: training for lighter-than-air ratings. (iii) Airport and heliport operations; (1) Conducted the training on the (iv) Hovering maneuvers; areas of operation listed in § 61.127(b) of § 61.127 Flight proficiency. (v) Takeoffs, landings, and go- this part that apply to the aircraft (a) General. A person who applies for arounds; category and class rating sought; and a commercial pilot certificate must (vi) Performance maneuvers; (2) Certified that the person is receive and log ground and flight (vii) Ground reference maneuvers; prepared for the required practical test. training from an authorized instructor (viii) Navigation; (f) Meet the aeronautical experience on the areas of operation of this section (ix) Slow flight and stalls; requirements of this subpart that apply that apply to the aircraft category and (x) Emergency operations; to the aircraft category and class rating class rating sought. (xi) High-altitude operations; sought before applying for the practical (b) Areas of operation. (1) For an (xii) Special operations; and test; airplane category rating with a single- (xiii) Postflight procedures. (g) Pass the required practical test on engine class rating: (i) Preflight (6) For a glider category rating: (i) the areas of operation listed in preparation; Preflight preparation; § 61.127(b) of this part that apply to the (ii) Preflight procedures; (ii) Preflight procedures; aircraft category and class rating sought; (iii) Airport and gliderport operations; (h) Hold at least a private pilot (iii) Airport and seaplane base (iv) Launches and landings; certificate issued under this part or meet operations; (v) Performance speeds; the requirements of § 61.73; and (iv) Takeoffs, landings, and go- (i) Comply with the sections of this arounds; (vi) Soaring techniques; part that apply to the aircraft category (v) Performance maneuvers; (vii) Performance maneuvers; and class rating sought. (vi) Ground reference maneuvers; (viii) Navigation; (vii) Navigation; (ix) Slow flight and stalls; § 61.125 Aeronautical knowledge. (viii) Slow flight and stalls; (x) Emergency operations; and (a) General. A person who applies for (ix) Emergency operations; (xi) Postflight procedures. a commercial pilot certificate must (x) High-altitude operations; and (7) For a lighter-than-air category receive and log ground training from an (xi) Postflight procedures. rating with an airship class rating: (i) authorized instructor, or complete a (2) For an airplane category rating Fundamentals of instructing; home-study course, on the aeronautical with a multiengine class rating: (i) (ii) Technical subjects; knowledge areas of paragraph (b) of this Preflight preparation; (iii) Preflight preparation; section that apply to the aircraft (ii) Preflight procedures; (iv) Preflight lesson on a maneuver to category and class rating sought. (iii) Airport and seaplane base be performed in flight; (b) Aeronautical knowledge areas. (1) operations; (v) Preflight procedures; Applicable Federal Aviation (iv) Takeoffs, landings, and go- (vi) Airport operations; Regulations of this chapter that relate to arounds; (vii) Takeoffs, landings, and go- commercial pilot privileges, limitations, (v) Performance maneuvers; arounds; and flight operations; (vi) Navigation; (viii) Performance maneuvers; (2) Accident reporting requirements of (vii) Slow flight and stalls; (ix) Navigation; the National Transportation Safety (viii) Emergency operations; (x) Emergency operations; and Board; (ix) Multiengine operations; (xi) Postflight procedures. (3) Basic aerodynamics and the (x) High-altitude operations; and (8) For a lighter-than-air category principles of flight; (xi) Postflight procedures. rating with a balloon class rating: (i) (4) Meteorology to include recognition (3) For a rotorcraft category rating Fundamentals of instructing; of critical weather situations, windshear with a helicopter class rating: (i) (ii) Technical subjects; recognition and avoidance, and the use Preflight preparation; (iii) Preflight preparation; of aeronautical weather reports and (ii) Preflight procedures; (iv) Preflight lesson on a maneuver to forecasts; (iii) Airport and heliport operations; be performed in flight; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16335

(v) Preflight procedures; each landing involving a flight in the (c) For a helicopter rating. A person (vi) Airport operations; traffic pattern) at an airport with an who applies for a commercial pilot (vii) Launches and landings; operating control tower. certificate with a rotorcraft category and (viii) Performance maneuvers; (b) For an airplane multiengine rating. helicopter class rating must log at least (ix) Navigation; A person who applies for a commercial 150 hours of flight time as a pilot (of (x) Emergency operations; and pilot certificate with an airplane which 25 hours may have been (xi) Postflight procedures. category and multiengine class rating accomplished in an approved flight § 61.129 Aeronautical experience. must log at least 250 hours of flight time simulator or approved flight training (a) For an airplane single-engine as a pilot (of which 50 hours may have device that is representative of a rating. Except as provided in paragraph been accomplished in an approved helicopter) that consists of at least: (i) of this section, a person who applies flight simulator or approved flight (1) 100 hours in powered aircraft, of for a commercial pilot certificate with training device that is representative of which 50 hours must be in helicopters. an airplane category and single-engine a multiengine airplane) that consists of (2) 100 hours of pilot in command class rating must log at least 250 hours at least: flight time, which includes at least— of flight time as a pilot (of which 50 (1) 100 hours in powered aircraft, of (i) 35 hours in helicopters; and hours may have been accomplished in which 50 hours must be in airplanes. (ii) 10 hours in cross-country flight in an approved flight simulator or (2) 100 hours of pilot in command helicopters. (3) 20 hours of training on the areas approved flight training device that is flight time, which includes at least— (i) 50 hours in airplanes; and of operation listed in § 61.127(b)(3) of representative of a single-engine (ii) 50 hours in cross-country flight in this part that includes at least— airplane) that consists of at least: airplanes. (i) 10 hours of instrument training in (1) 100 hours in powered aircraft, of (3) 20 hours of training on the areas an aircraft; which 50 hours must be in airplanes. (2) 100 hours of pilot in command of operation listed in § 61.127(b)(2) of (ii) One cross-country flight of at least flight time, which includes at least— this part that includes at least— 2 hours in a helicopter in day VFR (i) 50 hours in airplanes; and (i) 10 hours of instrument training of conditions, consisting of a total straight- (ii) 50 hours in cross-country flight in which at least 5 hours must be in a line distance of more than 50 nautical airplanes. multiengine airplane; miles from the original point of (3) 20 hours of training on the areas (ii) 10 hours of training in a departure; of operation listed in § 61.127(b)(1) of multiengine airplane that has a (iii) One cross-country flight of at this part that includes at least— retractable landing gear, flaps, and least 2 hours in a helicopter in night (i) 10 hours of instrument training of controllable pitch propellers, or is VFR conditions, consisting of a total which at least 5 hours must be in a turbine-powered; straight-line distance of more than 50 single-engine airplane; (iii) One cross-country flight of at nautical miles from the original point of (ii) 10 hours of training in an airplane least 2 hours in a multiengine airplane departure; and that has a retractable landing gear, flaps, in day VFR conditions, consisting of a (iv) 3 hours in a helicopter in and a controllable pitch propeller, or is total straight-line distance of more than preparation for the practical test within turbine-powered; 100 nautical miles from the original the 60-day period preceding the date of (iii) One cross-country flight of at point of departure; the test. least 2 hours in a single-engine airplane (iv) One cross-country flight of at least (4) 10 hours of solo flight in a in day VFR conditions, consisting of a 2 hours in a multiengine airplane in helicopter on the areas of operation total straight-line distance of more than night VFR conditions, consisting of a listed in § 61.127(b)(3) of this part, 100 nautical miles from the original total straight-line distance of more than which includes at least— point of departure; 100 nautical miles from the original (i) One cross-country flight with (iv) One cross-country flight of at least point of departure; and landings at a minimum of three points, 2 hours in a single-engine airplane in (v) 3 hours in a multiengine airplane with one segment consisting of a night VFR conditions, consisting of a in preparation for the practical test straight-line distance of at least 50 total straight-line distance of more than within the 60-day period preceding the nautical miles from the original point of 100 nautical miles from the original date of the test. departure; and point of departure; and (4) 10 hours of flight time performing (ii) 5 hours in night VFR conditions (v) 3 hours in a single-engine airplane the duties of pilot in command in a with 10 takeoffs and 10 landings (with in preparation for the practical test multiengine airplane with an authorized each landing involving a flight in the within the 60-day period preceding the instructor on the areas of operation traffic pattern). date of the test. listed in § 61.127(b)(2) of this part, (d) For a gyroplane rating. A person (4) 10 hours of solo flight in a single- which includes at least— who applies for a commercial pilot engine airplane on the areas of (i) One cross-country flight of not less certificate with a rotorcraft category and operation listed in § 61.127(b)(1) of this than 300 nautical miles total distance gyroplane class rating must log at least part, which includes at least— with landings at a minimum of three 150 hours of flight time as a pilot (of (i) One cross-country flight of not less points, one of which is a straight-line which 5 hours may have been than 300 nautical miles total distance, distance of at least 250 nautical miles accomplished in an approved flight with landings at a minimum of three from the original departure point. simulator or approved flight training points, one of which is a straight-line However, if this requirement is being device that is representative of a distance of at least 250 nautical miles met in Hawaii, the longest segment need gyroplane) that consists of at least: from the original departure point. only have a straight-line distance of at (1) 100 hours in powered aircraft, of However, if this requirement is being least 150 nautical miles; and which 25 hours must be in gyroplanes. met in Hawaii, the longest segment need (ii) 5 hours in night VFR conditions (2) 100 hours of pilot in command only have a straight-line distance of at with 10 takeoffs and 10 landings (with flight time, which includes at least— least 150 nautical miles; and each landing involving a flight with a (i) 10 hours in gyroplanes; and (ii) 5 hours in night VFR conditions traffic pattern) at an airport with an (ii) 3 hours in cross-country flight in with 10 takeoffs and 10 landings (with operating control tower. gyroplanes. 16336 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(3) 20 hours of training on the areas (iv) 3 hours in a powered-lift in (3) 40 hours of instrument time, of operation listed in § 61.127(b)(4) of preparation for the practical test within which consists of at least 20 hours in this part that includes at least— the 60-day period preceding the date of flight, of which 10 hours must be in (i) 5 hours of instrument training in the test. flight in airships. an aircraft; (4) 10 hours of solo flight in a (4) 20 hours of flight training in (ii) One cross-country flight of at least powered-lift on the areas of operation airships on the areas of operation listed 2 hours in a gyroplane in day VFR listed in § 61.127(b)(5) of this part, in § 61.127(b)(7) of this part, which conditions, consisting of a total straight- which includes at least— includes at least— line distance of more than 50 nautical (i) One cross-country flight of not less (i) 3 hours in an airship in preparation miles from the original point of than 300 nautical miles total distance for the practical test within the 60-day departure; with landings at a minimum of three period preceding the date of the test; (iii) One cross-country flight of at points, one of which is a straight-line (ii) One cross-country flight of at least least 2 hours in a gyroplane in night distance of at least 250 nautical miles 1 hour in duration in an airship in day VFR conditions, consisting of a total from the original departure point. VFR conditions, consisting of a total straight-line distance of more than 50 However, if this requirement is being straight-line distance of more than 25 nautical miles from the original point of met in Hawaii the longest segment need nautical miles from the original point of departure; and only have a straight-line distance of at departure; and (iv) 3 hours in a gyroplane in least 150 nautical miles; and (iii) One cross-country flight of at preparation for the practical test within (ii) 5 hours in night VFR conditions least 1 hour in duration in an airship in the 60-day period preceding the date of with 10 takeoffs and 10 landings (with night VFR conditions, consisting of a the test. each landing involving a flight in the total straight-line distance of more than (4) 10 hours of solo flight in a traffic pattern) at an airport with an 25 nautical miles from the original point gyroplane on the areas of operation operating control tower. of departure. listed in § 61.127(b)(4) of this part, (f) For a glider rating. A person who (5) 10 hours of flight training which includes at least— applies for a commercial pilot certificate performing the functions of pilot in (i) One cross-country flight with with a glider category rating must log at command with an authorized instructor landings at a minimum of three points, least: on the areas of operation listed in with one segment consisting of a (1) 25 hours as a pilot in gliders and § 61.127(b)(7) of this part, which straight-line distance of at least 50 100 flights in gliders as pilot in includes at least— nautical miles from the original point of command; which includes at least— (i) One cross-country flight with departure; and (i) 3 hours of flight training or 10 landings at a minimum of three points, (ii) 5 hours in night VFR conditions training flights in gliders on the areas of with one segment consisting of a with 10 takeoffs and 10 landings (with operation listed in § 61.127(b)(6) of this straight-line distance of at least 25 each landing involving a flight in the part; nautical miles from the original point of traffic pattern). (ii) 2 hours of solo flight that includes departure; and (e) For a powered-lift rating. A person not less than 10 solo flights in gliders on (ii) 5 hours in night VFR conditions who applies for a commercial pilot the areas of operation listed in with 10 takeoffs and 10 landings (with certificate with a powered-lift category § 61.127(b)(6) of this part; and each landing involving a flight in the rating must log at least 250 hours of (iii) Three training flights in traffic pattern). flight time as a pilot (of which 50 hours preparation for the practical test within (h) For a balloon rating. A person who may have been accomplished in an the 60-day period preceding the date of applies for a commercial pilot certificate approved flight simulator or approved the test; or with a lighter-than-air category and a flight training device that is (2) 200 hours of flight time as a pilot balloon class rating must log at least 35 representative of a powered-lift) that in heavier-than-air aircraft, and 20 hours of flight time as a pilot, which consists of at least: flights in gliders as pilot in command, includes at least the following (1) 100 hours in powered aircraft, of which includes at least— requirements: which 50 hours must be in a powered- (i) 3 hours of flight training or 10 (1) 20 hours in balloons; lift. training flights on the areas of operation (2) 10 flights in balloons; (2) 100 hours of pilot in command listed in § 61.127(b)(6) of this part; (3) Two flights in balloons as the pilot flight time, which includes at least— (ii) Five solo flights in a glider on the in command; and (i) 50 hours in a powered-lift; and areas of operation listed in (4) 10 hours of flight training that (ii) 50 hours in cross-country flight in § 61.127(b)(6) of this part; and includes at least 10 training flights in a powered-lift. (iii) Three training flights in balloons on the areas of operation listed (3) 20 hours of training on the areas preparation for the practical test within in § 61.127(b)(8) of this part, which of operation listed in § 61.127(b)(5) of the 60-day period preceding the date of consists of at least— this part that includes at least— the test. (i) For a gas balloon— (i) 10 hours of instrument training, of (g) For an airship rating. A person (A) Two training flights of 2 hours which at least 5 hours must be in a who applies for a commercial pilot each in a gas balloon on the areas of powered-lift; certificate with a lighter-than-air operation appropriate to a gas balloon (ii) One cross-country flight of at least category and airship class rating must within 60 days prior to application for 2 hours in a powered-lift in day VFR log at least 200 hours of flight time as the rating; conditions, consisting of a total straight- a pilot, which includes at least the (B) Two flights performing the line distance of more than 100 nautical following hours: functions of pilot in command in a gas miles from the original point of (1) 50 hours in airships. balloon on the appropriate areas of departure; (2) 30 hours of pilot-in-command time operation; and (iii) One cross-country flight of at in airships, which consists of at least— (C) One flight involving a controlled least 2 hours in a powered-lift, (i) 10 hours of cross-country flight ascent to 5,000 feet above the launch consisting of a total straight-line time in airships; and site. distance of more than 100 nautical miles (ii) 10 hours of night flight time in (ii) For a balloon with an airborne from the original point of departure; and airships. heater— Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16337

(A) Two training flights of 1 hour each approved flight training device that (ii) For compensation or hire, in a balloon with an airborne heater on represents a helicopter and type, if provided the person is qualified in the areas of operation appropriate to a applicable, appropriate to the rating accordance with this part and with the balloon with an airborne heater within sought. applicable parts of this chapter that 60 days prior to application for the (3) Except when fewer hours are apply to the operation. rating; approved by the Administrator, an (2) Commercial pilots with lighter- (B) Two solo flights in a balloon with applicant for a commercial pilot than-air category ratings. A person with an airborne heater on the appropriate certificate with an airplane, helicopter, a commercial pilot certificate with a areas of operation; and or a powered-lift rating who has lighter-than-air category rating may— (C) One flight involving a controlled satisfactorily completed an approved (i) For an airship—(A) Give flight and ascent to 3,000 feet above the launch commercial pilot course conducted by a ground training in an airship for the site. training center certificated under part issuance of a certificate or rating; (i) Permitted credit for use of an 142 of this chapter need only have the (B) Give an endorsement on a pilot approved flight simulator or approved following total aeronautical experience certificate for an airship; flight training device. (1) Except as to meet the aeronautical experience (C) Endorse a student pilot certificate provided in paragraph (i)(3) of this requirements of this section: or logbook for solo operating privileges section, an applicant who has not (i) 190 hours for an airplane or in an airship; and accomplished the training required by powered-lift rating; and (D) Act as pilot in command of an this section in a course conducted by a (ii) 150 hours for a helicopter rating. airship under IFR or in weather training center certificated under part conditions less than the minimum 142 of this chapter may: § 61.131 Exceptions to the night flying prescribed for VFR flight. (i) Credit a maximum of 50 hours requirements. (ii) For a balloon—(A) Give flight and toward the total aeronautical experience (a) Subject to the limitations of ground training in a balloon for the requirements for an airplane or paragraph (b) of this section, a person is issuance of a certificate or rating; powered-lift rating, provided the not required to comply with the night (B) Give an endorsement on a pilot aeronautical experience was obtained flight training requirements of this certificate for a balloon; and from an authorized instructor in an subpart if the person receives flight (C) Endorse a student pilot certificate approved flight simulator or an training in and resides in the State of or logbook for solo operating privileges approved flight training device that Alaska. in a balloon. represents that class of airplane or (b) A person who receives flight (b) Limitations. (1) A person who powered-lift category and type, if training in and resides in the State of applies for a commercial pilot certificate applicable, appropriate to the rating Alaska but does not meet the night flight with an airplane category or powered- sought; and training requirements of this section: lift category rating and does not hold an (ii) Credit a maximum of 25 hours (1) May be issued a pilot certificate instrument rating in the same category toward the total aeronautical experience with the limitation ‘‘night flying and class will be issued a commercial requirements of this section for a prohibited.’’ pilot certificate that contains the helicopter rating, provided the (2) Must comply with the appropriate limitation, ‘‘The carriage of passengers aeronautical experience was obtained night flight training requirements of this for hire in (airplanes) (powered-lifts) on from an authorized instructor in an subpart within the 12-calendar-month cross-country flights in excess of 50 approved flight simulator or an period after the issuance of the pilot nautical miles or at night is prohibited.’’ approved flight training device that certificate. At the end of that period, the The limitation may be removed when represents a helicopter and type, if certificate will be suspended until the the person satisfactorily accomplishes applicable, appropriate to the rating person complies with the appropriate the requirements listed in § 61.65 of this sought. night flight training requirements of this part for an instrument rating in the same (2) Except as provided in paragraph subpart. The person may have the category and class of aircraft listed on (i)(3) of this section, an applicant who ‘‘night flying prohibited’’ limitation the person’s commercial pilot has accomplished the training required removed if the person— certificate. by this section in a course conducted by (i) Accomplishes the appropriate (2) If a person who applies for a a training center certificated under part night flight training requirements of this commercial pilot certificate with a 142 of this chapter may: subpart; and balloon rating takes a practical test in a (i) Credit a maximum of 100 hours (ii) Presents to an examiner a logbook balloon with an airborne heater— toward the total aeronautical experience or training record endorsement from an (i) The pilot certificate will contain a requirements of this section for an authorized instructor that verifies limitation restricting the exercise of the airplane and powered-lift rating, accomplishment of the appropriate privileges of that certificate to a balloon provided the aeronautical experience night flight training requirements of this with an airborne heater. was obtained from an authorized subpart. (ii) The limitation specified in instructor in an approved flight paragraph (b)(2)(i) of this section may be simulator or an approved flight training § 61.133 Commercial pilot privileges and removed when the person obtains the device that represents that class of limitations. required aeronautical experience in a airplane or powered-lift category and (a) Privileges. (1) General. A person gas balloon and receives a logbook type, if applicable, appropriate to the who holds a commercial pilot certificate endorsement from an authorized rating sought; and may act as pilot in command of an instructor who attests to the person’s (ii) Credit a maximum of 50 hours aircraft— accomplishment of the required toward the total aeronautical experience (i) Carrying persons or property for aeronautical experience and ability to requirements of this section for a compensation or hire, provided the satisfactorily operate a gas balloon. helicopter rating, provided the person is qualified in accordance with (3) If a person who applies for a aeronautical experience was obtained this part and with the applicable parts commercial pilot certificate with a from an authorized instructor in an of this chapter that apply to the balloon rating takes a practical test in a approved flight simulator or an operation; and gas balloon— 16338 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(i) The pilot certificate will contain a (g) Pass the practical test on the areas § 61.157 Flight proficiency. limitation restricting the exercise of the of operation listed in § 61.157(e) of this (a) General. (1) The practical test for privileges of that certificate to a gas part that apply to the aircraft category an airline transport pilot certificate is balloon. and class rating sought; and given for— (ii) The limitation specified in (h) Comply with the sections of this (i) An airplane category and single- paragraph (b)(3)(i) of this section may be part that apply to the aircraft category engine class rating; removed when the person obtains the and class rating sought. (ii) An airplane category and required aeronautical experience in a multiengine class rating; balloon with an airborne heater and § 61.155 Aeronautical knowledge. (iii) A rotorcraft category and receives a logbook endorsement from an (a) General. The knowledge test for an helicopter class rating; authorized instructor who attests to the airline transport pilot certificate is based (iv) A powered-lift category rating; person’s accomplishment of the on the aeronautical knowledge areas and required aeronautical experience and listed in paragraph (c) of this section (v) An aircraft type rating for the ability to satisfactorily operate a balloon that are appropriate to the aircraft category and class ratings listed in with an airborne heater. category and class rating sought. paragraphs (a)(1)(i) through (a)(1)(iv) of this section. § 61.135Ð61.141 [Reserved] (b) Aircraft type rating. A person who (2) A person who is applying for an is applying for an additional aircraft airline transport pilot practical test must Subpart GÐAirline Transport Pilots type rating to be added to an airline meet— transport pilot certificate is not required § 61.151 Applicability. (i) The eligibility requirements of to pass a knowledge test if that person’s § 61.153 of this part; and This subpart prescribes the airline transport pilot certificate lists the (ii) The aeronautical knowledge and requirements for the issuance of airline aircraft category and class rating that is aeronautical experience requirements of transport pilot certificates and ratings, appropriate to the type rating sought. this subpart that apply to the aircraft the conditions under which those (c) Aeronautical knowledge areas. (1) category and class rating sought. certificates and ratings are necessary, Applicable Federal Aviation (b) Aircraft type rating. Except as and the general operating rules for Regulations of this chapter that relate to provided in paragraph (c) of this persons who hold those certificates and airline transport pilot privileges, section, a person who is applying for an ratings. limitations, and flight operations; aircraft type rating to be added to an § 61.153 Eligibility requirements: General. (2) Meteorology, including knowledge airline transport pilot certificate: of and effects of fronts, frontal (1) Must receive and log ground and To be eligible for an airline transport characteristics, cloud formations, icing, flight training from an authorized pilot certificate, a person must: and upper-air data; instructor on the areas of operation in (a) Be at least 23 years of age; (3) General system of weather and this section that apply to the aircraft (b) Be able to read, speak, write, and type rating sought; understand the English language. If the NOTAM collection, dissemination, interpretation, and use; (2) Must receive a logbook applicant is unable to meet one of these endorsement from an authorized (4) Interpretation and use of weather requirements due to medical reasons, instructor certifying that the applicant charts, maps, forecasts, sequence then the Administrator may place such completed the training on the areas of reports, abbreviations, and symbols; operating limitations on that applicant’s operation listed in paragraph (e) of this pilot certificate as are necessary for the (5) National Weather Service section that apply to the aircraft type safe operation of the aircraft; functions as they pertain to operations rating sought; and (c) Be of good moral character; in the National Airspace System; (3) Must perform the practical test (d) Meet at least one of the following (6) Windshear and microburst under instrument flight rules, unless the requirements: awareness, identification, and practical test cannot be accomplished (1) Hold at least a commercial pilot avoidance; under instrument flight rules because certificate and an instrument rating; (7) Principles of air navigation under the aircraft’s type certificate makes the (2) Meet the military experience instrument meteorological conditions in aircraft incapable of operating under requirements under § 61.73 of this part the National Airspace System; instrument flight rules. If the practical to qualify for a commercial pilot (8) Air traffic control procedures and test cannot be accomplished for this certificate, and an instrument rating if pilot responsibilities as they relate to en reason, the person may obtain a type the person is a rated military pilot or route operations, terminal area and rating limited to ‘‘VFR only.’’ The ‘‘VFR former rated military pilot of an Armed radar operations, and instrument only’’ limitation may be removed for Force of the United States; or departure and approach procedures; that aircraft type when the person (3) Hold either a foreign airline (9) Aircraft loading, weight and passes the practical test under transport pilot or foreign commercial balance, use of charts, graphs, tables, instrument flight rules. pilot license and an instrument rating if formulas, and computations, and their (c) A person who is applying for an the person holds a pilot license issued effect on aircraft performance; aircraft type rating to be added to an by a contracting State to the Convention airline transport pilot certificate or an on International Civil Aviation. (10) Aerodynamics relating to an aircraft type rating concurrently with an (e) Meet the aeronautical experience aircraft’s flight characteristics and airline transport pilot certificate, and requirements of this subpart that apply performance in normal and abnormal who is an employee of a certificate to the aircraft category and class rating flight regimes; holder operating under part 121 or part sought before applying for the practical (11) Human factors; 135 of this chapter, need not comply test; (12) Aeronautical decision making with the requirements of paragraph (b) (f) Pass a knowledge test on the and judgment; and of this section if the applicant presents aeronautical knowledge areas of (13) Crew resource management to a training record that shows satisfactory § 61.155(c) of this part that apply to the include crew communication and completion of that certificate holder’s aircraft category and class rating sought; coordination. approved pilot in command training Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16339 program for the aircraft type rating (ix) Postflight procedures. by a military service as a pilot in sought. (f) Proficiency and competency checks command of an airplane of the same (d) Any type rating(s) on the pilot conducted under part 121 or part 135. class of airplane for which the type certificate of an applicant who (1) Successful completion of a rating is sought, if a turbopropeller successfully completes an airline proficiency check under § 121.441 of airplane type rating is sought; transport pilot practical test shall be this chapter or successful completion of (C) Have at least 2,000 hours of flight included on the airline transport pilot both a competency check, under time, of which 500 hours must be in certificate with the privileges and § 135.293 of this chapter, and a pilot-in- turbine-powered airplanes of the same limitations of the airline transport pilot command instrument proficiency check, class as the airplane for which the type certificate, provided the applicant under § 135.297 of this chapter, satisfies rating is sought; passes the practical test in the same the requirements of this section for the (D) Have at least 500 hours of flight category and class of aircraft for which appropriate aircraft rating. time in the same type of airplane as the the applicant holds the type rating(s). (2) Any check or combination of airplane for which the type rating is However, if a type rating for that checks used to satisfy the requirements sought; or category and class of aircraft on the of this section must include all (E) Have at least 1,000 hours of flight superseded pilot certificate is limited to maneuvers and procedures required for time in at least two different airplanes VFR, that limitation shall be carried the issuance of a type rating. Any check requiring a type rating. forward to the person’s airline transport must be evaluated by a designated (4) Subject to the limitation of pilot certificate level. examiner or FAA inspector. paragraph (g)(5) of this section, an (e) Areas of operation. (1) For an (g) Use of an approved flight applicant who does not meet the airplane category—single-engine class simulator or approved flight training requirements of paragraph (g)(3) of this rating: (i) Preflight preparation; device for an airplane rating. If an section may complete all training and (ii) Preflight procedures; approved flight simulator or approved testing (except for preflight inspection) (iii) Takeoff and departure phase; flight training device is used for for an additional rating if— (iv) In-flight maneuvers; accomplishing any of the training and (i) The flight simulator is approved as (v) Instrument procedures; the required practical test for an airline Level C or Level D; and (vi) Landings and approaches to transport pilot certificate with an (ii) The applicant meets the landings; airplane category, class, and type rating, aeronautical experience requirements of (vii) Normal and abnormal if applicable, the applicant, approved § 61.159 of this part and at least one of procedures; flight simulator, and approved flight the following— (viii) Emergency procedures; and training device are subject to the (A) Holds a type rating in a propeller- (ix) Postflight procedures. following requirements: driven airplane if a type rating in a (1) The approved flight simulator and (2) For an airplane category— turbojet airplane is sought, or holds a approved flight training device must multiengine class rating: (i) Preflight type rating in a turbojet airplane if a represent that airplane type if the rating preparation; type rating in a propeller-driven (ii) Preflight procedures; involves a type rating in an airplane, or airplane is sought; (iii) Takeoff and departure phase; is representative of an airplane if the (B) Since the beginning of the 12th (iv) In-flight maneuvers; applicant is only seeking an airplane calendar month before the month in (v) Instrument procedures; class rating and does not require a type which the applicant completes the (vi) Landings and approaches to rating. practical test for the additional rating, landings; (2) The approved flight simulator and has logged— (vii) Normal and abnormal approved flight training device must be procedures; used in accordance with an approved (1) At least 100 hours of flight time in (viii) Emergency procedures; and course at a training center certificated airplanes in the same class as the (ix) Postflight procedures. under part 142 of this chapter. airplane for which the type rating is (3) For a powered-lift category rating: (3) All training and testing (except sought and which requires a type rating; (i) Preflight preparation; preflight inspection) must be and (ii) Preflight procedures; accomplished by the applicant to (2) At least 25 hours of flight time in (iii) Takeoff and departure phase; receive an airplane class rating and type airplanes of the same type for which the (iv) In-flight maneuvers; rating, if applicable, without limitations type rating is sought. (v) Instrument procedures; and— (5) An applicant meeting only the (vi) Landings and approaches to (i) The flight simulator must be requirements of paragraph (g)(4)(ii)(A) landings; approved as Level C or Level D; and and (B) of this section will be issued an (vii) Normal and abnormal (ii) The applicant must meet the additional rating, or an airline transport procedures; aeronautical experience requirements of pilot certificate with an added rating, as (viii) Emergency procedures; and § 61.159 of this part and at least one of applicable, with a limitation. The (ix) Postflight procedures. the following— limitation shall state: ‘‘This certificate is (4) For a rotorcraft category— (A) Hold a type rating for a turbojet subject to pilot-in-command limitations helicopter class rating: (i) Preflight airplane of the same class of airplane for for the additional rating.’’ preparation; which the type rating is sought, or have (6) An applicant who has been issued (ii) Preflight procedures; been designated by a military service as a certificate with the limitation (iii) Takeoff and departure phase; a pilot in command of an airplane of the specified in paragraph (g)(5) of this (iv) In-flight maneuvers; same class of airplane for which the section— (v) Instrument procedures; type rating is sought, if a turbojet type (i) May not act as pilot in command (vi) Landings and approaches to rating is sought; of the aircraft for which an additional landings; (B) Hold a type rating for a rating was obtained under the (vii) Normal and abnormal turbopropeller airplane of the same provisions of this section until the procedures; class as the airplane for which the type limitation is removed from the (viii) Emergency procedures; and rating is sought, or have been appointed certificate; and 16340 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(ii) May have the limitation removed helicopter class rating and type rating, (5) An applicant meeting only the by accomplishing 15 hours of if applicable, the applicant, approved requirements of paragraph (h)(4)(ii) (A) supervised operating experience as pilot flight simulator, and approved flight and (B) of this section will be issued an in command under the supervision of a training device are subject to the additional rating or an airline transport qualified and current pilot in command, following requirements: pilot certificate with a limitation. The in the seat normally occupied by the (1) The approved flight simulator and limitation shall state: ‘‘This certificate is pilot in command, in an airplane of the approved flight training device must subject to pilot-in-command limitations same type for which the limitation represent that helicopter type if the for the additional rating.’’ applies. rating involves a type rating in a (6) An applicant who has been issued (7) An applicant who does not meet helicopter, or is representative of a a certificate with the limitation the requirements of paragraph helicopter if the applicant is only specified in paragraph (h)(5) of this (g)(3)(ii)(A) through (E) or (g)(4)(ii)(A) seeking a helicopter class rating and section— and (B) of this section may be issued an does not require a type rating. (i) May not act as pilot in command airline transport pilot certificate or an (2) The approved flight simulator and of the helicopter for which an additional additional rating to that pilot certificate approved flight training device must be rating was obtained under the after successful completion of one of the used in accordance with an approved provisions of this section until the following requirements— course at a training center certificated limitation is removed from the (i) An approved course at a part 142 under part 142 of this chapter. certificate; and training center that includes all training (3) All training and testing (ii) May have the limitation removed and testing for that certificate or rating, requirements (except preflight by accomplishing 15 hours of followed by training and testing on the inspection) must be accomplished by supervised operating experience as pilot following tasks, which must be the applicant to receive a helicopter in command under the supervision of a successfully completed on a static class rating and type rating, if qualified and current pilot in command, airplane or in flight, as appropriate— applicable, without limitations and— in the seat normally occupied by the (A) Preflight inspection; (i) The flight simulator must be pilot in command, in a helicopter of the (B) Normal takeoff; approved as a Level C or Level D; and same type for which the limitation (C) Normal ILS approach; (ii) The applicant must meet the applies. (D) Missed approach; and aeronautical experience requirements of (7) An applicant who does not meet (E) Normal landing. the requirements of paragraph (h)(3)(ii) (ii) An approved course at a part 142 § 61.161 of this part and at least one of the following— (A) through (D), or (h)(4)(ii) (A) and (B) training center that complies with of this section may be issued an airline paragraphs (g)(8) and (g)(9) of this (A) Hold a type rating for a turbine- powered helicopter, or have been transport pilot certificate or an section and includes all training and additional rating to that pilot certificate testing for a certificate or rating. designated by a military service as a pilot in command of a turbine-powered after successful completion of one of the (8) An applicant meeting only the following requirements— requirements of paragraph (g)(7) of this helicopter, if a turbine-powered helicopter type rating is sought; (i) An approved course at a part 142 section will be issued an additional training center that includes all training (B) Have at least 1,200 hours of flight rating or an airline transport pilot and testing for that certificate or rating, time, of which 500 hours must be in certificate with an additional rating, as followed by training and testing on the turbine-powered helicopters; applicable, with a limitation. The following tasks, which must be (C) Have at least 500 hours of flight limitation shall state: ‘‘This certificate is successfully completed on a static time in the same type helicopter as the subject to pilot-in-command limitations aircraft or in flight, as appropriate— helicopter for which the type rating is for the additional rating.’’ (A) Preflight inspection; (9) An applicant issued a pilot sought; or (B) Normal takeoff from a hover; certificate with the limitation specified (D) Have at least 1,000 hours of flight (C) Manually flown precision in paragraph (g)(8) of this section— time in at least two different helicopters approach; and (i) May not act as pilot in command requiring a type rating. (D) Steep approach and landing to an of the aircraft for which an additional (4) Subject to the limitation of off-airport heliport; or rating was obtained under the paragraph (h)(5) of this section, an (ii) An approved course at a training provisions of this section until the applicant who does not meet the center that includes all training and limitation is removed from the requirements of paragraph (h)(3) of this testing for that certificate or rating and certificate; and section may complete all training and compliance with paragraphs (h)(8) and (ii) May have the limitation removed testing (except for preflight inspection) (h)(9) of this section. by accomplishing 25 hours of for an additional rating if— (8) An applicant meeting only the supervised operating experience as pilot (i) The flight simulator is approved as requirements of paragraph (h)(7) of this in command under the supervision of a Level C or Level D; and section will be issued an additional qualified and current pilot in command, (ii) The applicant meets the rating or an airline transport pilot in the seat normally occupied by the aeronautical experience requirements of certificate with an additional rating, as pilot in command, in an airplane of the § 61.161 of this part and, since the applicable, with a limitation. The same type for which the limitation beginning of the 12th calendar month limitation shall state: ‘‘This certificate is applies. before the month in which the applicant subject to pilot-in-command limitations (h) Use of an approved flight completes the practical test for the for the additional rating.’’ simulator or an approved flight training additional rating, has logged— (9) An applicant issued a certificate device for a helicopter rating. If an (A) At least 100 hours of flight time with the limitation specified in approved flight simulator or approved in helicopters; and paragraph (h)(8) of this section— flight training device is used for (B) At least 15 hours of flight time in (i) May not act as pilot in command accomplishing any of the training and helicopters of the same type of of the aircraft for which an additional the required practical test for an airline helicopter for which the type rating is rating was obtained under the transport pilot certificate with a sought. provisions of this section until the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16341 limitation is removed from the testing (except for preflight inspection) (8) An applicant meeting only the certificate; and for an additional rating if— requirements of paragraph (i)(7) of this (ii) May have the limitation removed (i) The flight simulator is approved as section will be issued an additional by accomplishing 25 hours of Level C or Level D; and rating or an airline transport pilot supervised operating experience as pilot (ii) The applicant meets the certificate with an additional rating, as in command under the supervision of a aeronautical experience requirements of applicable, with a limitation. The qualified and current pilot in command, § 61.163 of this part and, since the limitation shall state: ‘‘This certificate is in the seat normally occupied by the beginning of the 12th calendar month subject to pilot-in-command limitations pilot in command, in an aircraft of the before the month in which the applicant for the additional rating.’’ same type for which the limitation completes the practical test for the (9) An applicant issued a pilot applies. additional rating, has logged— certificate with the limitation specified (i) Use of an approved flight simulator (A) At least 100 hours of flight time in paragraph (i)(8) of this section— or approved flight training device for a in powered-lifts; and (i) May not act as pilot in command powered-lift rating. If an approved flight (B) At least 15 hours of flight time in of the aircraft for which an additional simulator or approved flight training powered-lifts of the same type of rating was obtained under the device is used for accomplishing any of powered-lift for the type rating sought. provisions of this section until the the training and the required practical (5) An applicant meeting only the limitation is removed from the test for an airline transport pilot requirements of paragraph (i)(4)(ii) (A) certificate; and certificate with a powered-lift category and (B) of this section will be issued an (ii) May have the limitation removed rating and type rating, if applicable, the additional rating or an airline transport by accomplishing 25 hours of supervised operating experience as pilot applicant, approved flight simulator, pilot certificate with a limitation. The in command under the supervision of a and approved flight training device are limitation shall state: ‘‘This certificate is qualified and current pilot in command, subject to the following requirements: subject to pilot-in-command limitations in the seat normally occupied by the (1) The approved flight simulator and for the additional rating.’’ pilot in command, in a powered-lift of approved flight training device must (6) An applicant who has been issued the same type for which the limitation represent that powered-lift type, if the a certificate with the limitation specified in paragraph (i)(5) of this applies. rating involves a type rating in a (j) Waiver authority. Unless the powered-lift, or is representative of a section— (i) May not act as pilot in command Administrator requires certain or all powered-lift if the applicant is only of the powered-lift for which an tasks to be performed, the examiner who seeking a powered-lift category rating additional rating was obtained under conducts the practical test for an airline and does not require a type rating. the provisions of this section until the transport pilot certificate may waive any (2) The approved flight simulator and limitation is removed from the of the tasks for which the Administrator approved flight training device must be certificate; and approves waiver authority. used in accordance with an approved (ii) May have the limitation removed course at a training center certificated § 61.158 [Reserved] by accomplishing 15 hours of under part 142 of this chapter. supervised operating experience as pilot § 61.159 Aeronautical experience: Airplane (3) All training and testing in command under the supervision of a category rating. requirements (except preflight qualified and current pilot in command, (a) Except as provided in paragraphs inspection) must be accomplished by in the seat normally occupied by the the applicant to receive a powered-lift (b), (c), and (d) of this section, a person pilot in command, in a powered-lift of who is applying for an airline transport category rating and type rating, if the same type for which the limitation applicable, without limitations; and— pilot certificate with an airplane applies. category and class rating must have at (i) The flight simulator must be (7) An applicant who does not meet approved as Level C or Level D; and least 1,500 hours of total time as a pilot the requirements of paragraph (i)(3)(ii) that includes at least: (ii) The applicant must meet the (A) through (D) or (i)(4)(ii) (A) and (B) (1) 500 hours of cross-country flight aeronautical experience requirements of of this section may be issued an airline time. § 61.163 of this part and at least one of transport pilot certificate or an (2) 100 hours of night flight time. the following— additional rating to that pilot certificate (3) 75 hours of instrument flight time, (A) Hold a type rating for a turbine- after successful completion of one of the in actual or simulated instrument powered powered-lift, or have been following requirements— conditions, subject to the following: designated by a military service as a (i) An approved course at a part 142 (i) Except as provided in paragraph pilot in command of a turbine-powered training center that includes all training (a)(3)(ii) of this section, an applicant powered-lift, if a turbine-powered and testing for that certificate or rating, may not receive credit for more than a powered-lift type rating is sought; followed by training and testing on the total of 25 hours of simulated (B) Have at least 1,200 hours of flight following tasks, which must be instrument time in an approved flight time, of which 500 hours must be in successfully completed on a static simulator or approved flight training turbine-powered powered-lifts; aircraft or in flight, as appropriate— device. (C) Have at least 500 hours of flight (A) Preflight inspection; (ii) A maximum of 50 hours of time in the same type of powered-lift for (B) Normal takeoff from a hover; training in an approved flight simulator which the type rating is sought; or (C) Manually flown precision or approved flight training device may (D) Have at least 1,000 hours of flight approach; and be credited toward the instrument flight time in at least two different powered- (D) Steep approach and landing to an time requirements of paragraph (a)(3) of lifts requiring a type rating. off-airport site; or this section if the training was (4) Subject to the limitation of (ii) An approved course at a training accomplished in a course conducted by paragraph (i)(5) of this section, an center that includes all training and a training center certificated under part applicant who does not meet the testing for that certificate or rating and 142 of this chapter. requirements of paragraph (i)(3) of this is in compliance with paragraphs (i)(8) (iii) Training in a flight simulator or section may complete all training and and (i)(9) of this section. flight training device must be 16342 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations accomplished in an approved flight time for a total credited time of no more paragraph (a)(4) of this section, subject simulator or approved flight training than 500 hours. to the following: device, representing an airplane. (d) An applicant may be issued an (1) Training in a flight simulator or a (4) 250 hours of flight time in an airline transport pilot certificate with flight training device must be airplane as a pilot in command, or as the endorsement, ‘‘Holder does not meet accomplished in an approved flight second in command performing the the pilot in command aeronautical simulator or approved flight training duties and functions of a pilot in experience requirements of ICAO,’’ as device that represents a rotorcraft. command while under the supervision prescribed by Article 39 of the (2) Except as provided in paragraph of a pilot in command or any Convention on International Civil (b)(3) of this section, an applicant may combination thereof, which includes at Aviation, if the applicant: receive credit for not more than a total least— (1) Credits second in command or of 25 hours of simulated instrument (i) 100 hours of cross-country flight flight-engineer time under paragraph (c) time in an approved flight simulator and time; and of this section toward the 1,500 hours approved flight training device. (ii) 25 hours of night flight time. total flight time requirement of (3) A maximum of 50 hours of (5) Not more than 100 hours of the paragraph (a) of this section; training in an approved flight simulator total aeronautical experience (2) Does not have at least 1,200 hours or approved flight training device may requirements of paragraph (a) of this of flight time as a pilot, including no be credited toward the instrument flight section may be obtained in an approved more than 50 percent of his or her time requirements of paragraph (a)(4) of flight simulator or approved flight second in command time and none of this section if the aeronautical training device that represents an his or her flight-engineer time; and experience is accomplished in an airplane, provided the aeronautical (3) Otherwise meets the requirements approved course conducted by a experience was obtained in an approved of paragraph (a) of this section. training center certificated under part course conducted by a training center (e) When the applicant specified in 142 of this chapter. certificated under part 142 of this paragraph (d) of this section presents § 61.163 Aeronautical experience: chapter. satisfactory evidence of the Powered-lift category rating. (b) A person who has performed at accumulation of 1,200 hours of flight (a) A person who is applying for an least 20 night takeoffs and landings to time as a pilot including no more than airline transport pilot certificate with a a full stop may substitute each 50 percent of his or her second-in- powered-lift category rating must have additional night takeoff and landing to command flight time and none of his or at least 1,500 hours of total time as a a full stop for 1 hour of night flight time her flight-engineer time, the applicant is pilot that includes at least: to satisfy the requirements of paragraph entitled to an airline transport pilot (1) 500 hours of cross-country flight (a)(2) of this section; however, not more certificate without the endorsement time; than 25 hours of night flight time may prescribed in that paragraph. (2) 100 hours of night flight time; be credited in this manner. (3) 250 hours in a powered-lift as a § 61.161 Aeronautical experience: (c) A commercial pilot may credit the pilot in command, or as a second in following second-in-command flight Rotorcraft category and helicopter class rating. command performing the duties and time or flight-engineer flight time functions of a pilot in command under (a) A person who is applying for an toward the 1,500 hours of total time as the supervision of a pilot in command, airline transport pilot certificate with a a pilot required by paragraph (a) of this or any combination thereof, which section: rotorcraft category and helicopter class includes at least: (1) second in command time, rating, must have at least 1,200 hours of (i) 100 hours of cross-country flight provided the time is acquired in an total time as a pilot that includes at time; and airplane— least: (ii) 25 hours of night flight time. (i) Required to have more than one (1) 500 hours of cross-country flight (4) 75 hours of instrument flight time pilot by the airplane’s flight manual, time; in actual or simulated instrument type certificate, or the regulations under (2) 100 hours of night flight time, of conditions, subject to the following: which the flight is being conducted; which 15 hours are in helicopters; (i) Except as provided in paragraph (ii) Engaged in operations under part (3) 200 hours of flight time in (a)(4)(ii) of this section, an applicant 121 or part 135 of this chapter for which helicopters, which includes at least 75 may not receive credit for more than a a second in command is required; or hours as a pilot in command, or as total of 25 hours of simulated (iii) That is required by the operating second in command performing the instrument time in an approved flight rules of this chapter to have more than duties and functions of a pilot in simulator or approved flight training one pilot. command under the supervision of a device. (2) Flight-engineer time, provided the pilot in command, or any combination (ii) A maximum of 50 hours of time— thereof; and training in an approved flight simulator (i) Is acquired in an airplane required (4) 75 hours of instrument flight time or approved flight training device may to have a flight engineer by the in actual or simulated instrument be credited toward the instrument flight airplane’s flight manual or type meteorological conditions, of which at time requirements of paragraph (a)(4) of certificate; least 50 hours are obtained in flight with this section if the training was (ii) Is acquired while engaged in at least 25 hours in helicopters as a pilot accomplished in a course conducted by operations under part 121 of this in command, or as second in command a training center certificated under part chapter for which a flight engineer is performing the duties and functions of 142 of this chapter. required; a pilot in command under the (iii) Training in a flight simulator or (iii) Is acquired while the person is supervision of a pilot in command, or flight training device must be participating in a pilot training program any combination thereof. accomplished in an approved flight approved under part 121 of this chapter; (b) Training in an approved flight simulator or approved flight training and simulator or approved flight training device that represents a powered-lift. (iv) Does not exceed more than 1 hour device may be credited toward the (b) Not more than 100 hours of the for each 3 hours of flight engineer flight instrument flight time requirements of total aeronautical experience Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16343 requirements of paragraph (a) of this (5) Pass the practical test on the areas Category II or Category III operations, as section may be obtained in an approved of operation of § 61.157(e)(2) of this applicable. flight simulator or approved flight part. training device that represents a (d) Powered-lift category. A person § 61.161Ð69.171 [Reserved] powered-lift, provided the aeronautical applying for an airline transport pilot Subpart HÐFlight Instructors experience was obtained in an approved certificate with a powered-lift category course conducted by a training center rating who holds an airline transport § 61.181 Applicability. certificated under part 142 of this certificate with another aircraft category This subpart prescribes the chapter. rating must: requirements for the issuance of flight (1) Meet the eligibility requirements instructor certificates and ratings, the § 61.165 Additional aircraft category and of § 61.153 of this part; class ratings. conditions under which those (2) Pass a required knowledge test on certificates and ratings are necessary, (a) Rotorcraft category and helicopter the aeronautical knowledge areas of and the limitations on those certificates class rating. A person applying for an § 61.155(c) of this part; and ratings. airline transport certificate with a (3) Comply with the requirements in rotorcraft category and helicopter class § 61.157(b) of this part, if appropriate; § 61.183 Eligibility requirements. rating who holds an airline transport (4) Meet the applicable aeronautical To be eligible for a flight instructor pilot certificate with another aircraft experience requirements of § 61.163 of certificate or rating a person must: category rating must: this part; and (a) Be at least 18 years of age; (1) Meet the eligibility requirements (5) Pass the required practical test on (b) Be able to read, speak, write, and of § 61.153 of this part; the areas of operation of § 61.157(e)(3) of understand the English language. If the (2) Pass a knowledge test on the this part. applicant is unable to meet one of these aeronautical knowledge areas of requirements due to medical reasons, § 61.155(c) of this part; § 61.167 Privileges. then the Administrator may place such (3) Comply with the requirements in (a) A person who holds an airline operating limitations on that applicant’s § 61.157(b) of this part, if appropriate; transport pilot certificate is entitled to flight instructor certificate as are (4) Meet the applicable aeronautical the same privileges as those afforded a necessary; experience requirements of § 61.161 of person who holds a commercial pilot (c) Hold either a commercial pilot this part; and certificate with an instrument rating. certificate or airline transport pilot (5) Pass the practical test on the areas (b) An airline transport pilot may certificate with: of operation of § 61.157(e)(4) of this instruct— (1) An aircraft category and class part. (1) Other pilots in air transportation rating that is appropriate to the flight (b) Airplane category rating with a service in aircraft of the category, class, instructor rating sought; and single-engine class rating. A person and type, as applicable, for which the (2) An instrument rating, if the person applying for an airline transport airline transport pilot is rated and holds a commercial pilot certificate that certificate with an airplane category and endorse the logbook or other training is appropriate to the flight instructor single-engine class rating who holds an record of the person to whom training rating sought, if applying for— airline transport pilot certificate with has been given; (i) A flight instructor certificate with another aircraft category or class rating (2) In approved flight simulators, and an airplane category and single-engine must: approved flight training devices class rating; (1) Meet the eligibility requirements representing the aircraft referenced in (ii) A flight instructor certificate with of § 61.153 of this part; an airplane category and multiengine paragraph (b)(1) of this section, when (2) Pass a knowledge test on the class rating; instructing under the provisions of this aeronautical knowledge areas of (iii) A flight instructor certificate with § 61.155(c) of this part; section and endorse the logbook or other a powered-lift rating; or (3) Comply with the requirements in training record of the person to whom (iv) A flight instructor certificate with § 61.157(b) of this part, if appropriate; training has been given; an instrument rating. (4) Meet the applicable aeronautical (3) Only as provided in this section, (d) Receive a logbook endorsement experience requirements of § 61.159 of unless the airline transport pilot also from an authorized instructor on the this part; and holds a flight instructor certificate, in fundamentals of instructing listed in (5) Pass the practical test on the areas which case the holder may exercise the § 61.185 of this part appropriate to the of operation of § 61.157(e)(1) of this instructor privileges of subpart H of part required knowledge test; part. 61 for which he or she is rated; and (e) Pass a knowledge test on the areas (c) Airplane category rating with a (4) In an aircraft, only if the aircraft listed in § 61.185(a) of this part, unless multiengine class rating. A person has functioning dual controls, when the applicant: applying for an airline transport instructing under the provisions of this (1) Holds a flight instructor certificate certificate with an airplane category and section. or ground instructor certificate issued multiengine class rating who holds an (c) Excluding briefings and under this part; airline transport certificate with another debriefings, an airline transport pilot (2) Holds a current teacher’s aircraft category or class rating must: may not instruct in aircraft, approved certificate issued by a State, county, (1) Meet the eligibility requirements flight simulators, and approved flight city, or municipality that authorizes the of § 61.153 of this part; training devices under this section— person to teach at an educational level (2) Pass a knowledge test on the (1) For more than 8 hours in any 24- of the 7th grade or higher; or aeronautical knowledge areas of consecutive-hour period; or (3) Is employed as a teacher at an § 61.155(c) of this part; (2) For more than 36 hours in any 7- accredited college or university. (3) Comply with the requirements in consecutive-day period. (f) Pass a knowledge test on the § 61.157(b) of this part, if appropriate; (d) An airline transport pilot may not aeronautical knowledge areas listed in (4) Meet the applicable aeronautical instruct in Category II or Category III § 61.185(a)(2) and (a)(3) of this part that experience requirements of § 61.159 of operations unless he or she has been are appropriate to the flight instructor this part; and trained and successfully tested under rating sought; 16344 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(g) Receive a logbook endorsement and log ground training from an (ii) Technical subject areas; from an authorized instructor on the authorized instructor on: (iii) Preflight preparation; areas of operation listed in § 61.187(b) of (1) Except as provided in paragraph (iv) Preflight lesson on a maneuver to this part, appropriate to the flight (b) of this section, the fundamentals of be performed in flight; instructor rating sought; instructing, including: (v) Preflight procedures; (h) Pass the required practical test that (i) The learning process; (vi) Airport and seaplane base is appropriate to the flight instructor (ii) Elements of effective teaching; operations; rating sought in an: (iii) Student evaluation and testing; (vii) Takeoffs, landings, and go- (1) Aircraft that is representative of (iv) Course development; arounds; the category and class of aircraft for the (v) Lesson planning; and (viii) Fundamentals of flight; aircraft rating sought; or (vi) Classroom training techniques. (ix) Performance maneuvers; (2) Approved flight simulator or (2) The aeronautical knowledge areas (x) Ground reference maneuvers; approved flight training device that is for a recreational, private, and (xi) Slow flight and stalls; representative of the category and class commercial pilot certificate applicable (xii) Basic instrument maneuvers; of aircraft for the rating sought, and to the aircraft category for which flight (xiii) Emergency operations; used in accordance with an approved instructor privileges are sought; and (xiv) Multiengine operations; and course at a training center certificated (3) The aeronautical knowledge areas (xv) Postflight procedures. under part 142 of this chapter. for the instrument rating applicable to (3) For a rotorcraft category rating (i) Accomplish the following for a the category for which instrument flight with a helicopter class rating: (i) flight instructor certificate with an instructor privileges are sought. Fundamentals of instructing; airplane or a glider rating: (b) The following applicants do not (ii) Technical subject areas; (1) Receive a logbook endorsement need to comply with paragraph (a) of (iii) Preflight preparation; from an authorized instructor indicating this section: (iv) Preflight lesson on a maneuver to that the applicant is competent and (1) The holder of a flight instructor be performed in flight; possesses instructional proficiency in certificate or ground instructor (v) Preflight procedures; stall awareness, spin entry, spins, and certificate issued under this part; (vi) Airport and heliport operations; spin recovery procedures after (2) The holder of a current teacher’s (vii) Hovering maneuvers; providing the applicant with flight certificate issued by a State, county, (viii) Takeoffs, landings, and go- training in those training areas in an city, or municipality that authorizes the arounds; airplane or glider, as appropriate, that is person to teach at an educational level (ix) Fundamentals of flight; certificated for spins; and of the 7th grade or higher; or (x) Performance maneuvers; (2) Demonstrate instructional (3) A person employed as a teacher at (xi) Emergency operations; proficiency in stall awareness, spin an accredited college or university. (xii) Special operations; and entry, spins, and spin recovery (xiii) Postflight procedures. procedures. However, upon § 61.187 Flight proficiency. (4) For a rotorcraft category rating presentation of the endorsement (a) General. A person who is applying with a gyroplane class rating: (i) specified in paragraph (i)(1) of this for a flight instructor certificate must Fundamentals of instructing; section an examiner may accept that receive and log flight and ground (ii) Technical subject areas; endorsement as satisfactory evidence of training from an authorized instructor (iii) Preflight preparation; instructional proficiency in stall on the areas of operation listed in this (iv) Preflight lesson on a maneuver to awareness, spin entry, spins, and spin section that apply to the flight instructor be performed in flight; recovery procedures for the practical rating sought. The applicant’s logbook (v) Preflight procedures; test, provided that the practical test is must contain an endorsement from an (vi) Airport operations; not a retest as a result of the applicant authorized instructor certifying that the (vii) Takeoffs, landings, and go- failing the previous test for deficiencies person is proficient to pass a practical arounds; in the knowledge or skill of stall test on those areas of operation. (viii) Fundamentals of flight; awareness, spin entry, spins, or spin (b) Areas of operation. (1) For an (ix) Performance maneuvers; recovery instructional procedures. If the airplane category rating with a single- (x) Flight at slow airspeeds; retest is a result of deficiencies in the engine class rating: (i) Fundamentals of (xi) Ground reference maneuvers; ability of an applicant to demonstrate instructing; (xii) Emergency operations; and knowledge or skill of stall awareness, (ii) Technical subject areas; (xiii) Postflight procedures. spin entry, spins, or spin recovery (iii) Preflight preparation; (5) For a powered-lift category rating: instructional procedures, the examiner (iv) Preflight lesson on a maneuver to (i) Fundamentals of instructing; must test the person on stall awareness, be performed in flight; (ii) Technical subject areas; spin entry, spins, and spin recovery (v) Preflight procedures; (iii) Preflight preparation; instructional procedures in an airplane (vi) Airport and seaplane base (iv) Preflight lesson on a maneuver to or glider, as appropriate, that is operations; be performed in flight; certificated for spins; (vii) Takeoffs, landings, and go- (v) Preflight procedures; (j) Log at least 15 hours as pilot in arounds; (vi) Airport and heliport operations; command in the category and class of (viii) Fundamentals of flight; (vii) Hovering maneuvers; aircraft that is appropriate to the flight (ix) Performance maneuvers; (viii) Takeoffs, landings, and go- instructor rating sought; and (x) Ground reference maneuvers; arounds; (k) Comply with the appropriate (xi) Slow flight, stalls, and spins; (ix) Fundamentals of flight; sections of this part that apply to the (xii) Basic instrument maneuvers; (x) Performance maneuvers; flight instructor rating sought. (xiii) Emergency operations; and (xi) Ground reference maneuvers; (xiv) Postflight procedures. (xii) Slow flight and stalls; § 61.185 Aeronautical knowledge. (2) For an airplane category rating (xiii) Basic instrument maneuvers; (a) A person who is applying for a with a multiengine class rating: (i) (xiv) Emergency operations; flight instructor certificate must receive Fundamentals of instructing; (xv) Special operations; and Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16345

(xvi) Postflight procedures. § 61.191 Additional flight instructor (ii) Determined that the student is (6) For a glider category rating: (i) ratings. prepared to conduct the flight safely Fundamentals of instructing; (a) A person who applies for an under known circumstances, subject to (ii) Technical subject areas; additional flight instructor rating on a any limitations listed in the student’s (iii) Preflight preparation; flight instructor certificate must meet logbook that the instructor considers (iv) Preflight lesson on a maneuver to the eligibility requirements listed in necessary for the safety of the flight. be performed in flight; § 61.183 of this part that apply to the (2) Student pilot’s certificate and (v) Preflight procedures; flight instructor rating sought. logbook for a solo cross-country flight, (vi) Airport and gliderport operations; (b) A person who applies for an unless that flight instructor has additional rating on a flight instructor (vii) Launches, landings, and go- determined the student’s flight certificate is not required to pass the arounds; preparation, planning, equipment, and knowledge test on the areas listed in proposed procedures are adequate for (viii) Fundamentals of flight; § 61.185(a) of this part. the proposed flight under the existing (ix) Performance speeds; conditions and within any limitations § 61.193 Flight instructor privileges. (x) Soaring techniques; listed in the logbook that the instructor (xi) Performance maneuvers; A person who holds a flight instructor considers necessary for the safety of the (xii) Slow flight, stalls, and spins; certificate is authorized within the flight; (xiii) Emergency operations; and limitations of that person’s flight (3) Student pilot’s certificate and (xiv) Postflight procedures. instructor certificate and ratings, and logbook for solo flight in a Class B (7) For an instrument rating with the that person’s pilot certificate and airspace area or at an airport within appropriate aircraft category and class ratings, to give training and Class B airspace unless that flight rating: (i) Fundamentals of instructing; endorsements that are required for, and instructor has— (ii) Technical subject areas; relate to: (i) Given that student ground and (iii) Preflight preparation; (a) A student pilot certificate; flight training in that Class B airspace or (iv) Preflight lesson on a maneuver to (b) A pilot certificate; at that airport; and be performed in flight; (c) A flight instructor certificate; (ii) Determined that the student is (d) A ground instructor certificate; (v) Air traffic control clearances and proficient to operate the aircraft safely. (e) An aircraft rating; (4) Logbook of a recreational pilot, procedures; (f) An instrument rating; unless that flight instructor has— (vi) Flight by reference to instruments; (g) A flight review, operating (i) Given that pilot the ground and (vii) Navigation aids; privilege, or recency of experience (viii) Instrument approach flight training required by this part; and requirement of this part; (ii) Determined that the recreational procedures; (h) A practical test; and pilot is proficient to operate the aircraft (ix) Emergency operations; and (i) A knowledge test. safely. (x) Postflight procedures. § 61.195 Flight instructor limitations and (5) Logbook of a pilot for a flight (c) The flight training required by this qualifications. review, unless that instructor has section may be accomplished: A person who holds a flight instructor conducted a review of that pilot in (1) In an aircraft that is representative certificate is subject to the following accordance with the requirements of of the category and class of aircraft for limitations: § 61.56(a) of this part; or the rating sought; or (a) Hours of training. In any 24- (6) Logbook of a pilot for an (2) In an approved flight simulator or consecutive-hour period, a flight instrument proficiency check, unless approved flight training device instructor may not conduct more than 8 that instructor has tested that pilot in representative of the category and class hours of flight training. accordance with the requirements of of aircraft for the rating sought, and (b) Aircraft ratings. A flight instructor § 61.57(d) of this part. used in accordance with an approved may not conduct flight training in any (e) Training in an aircraft that course at a training center certificated aircraft for which the flight instructor requires a type rating. A flight instructor under part 142 of this chapter. does not hold: may not give flight training in an aircraft § 61.189 Flight instructor records. (1) A pilot certificate and flight that requires the pilot in command to instructor certificate with the applicable hold a type rating unless the flight (a) A flight instructor must sign the category and class rating; and instructor holds a type rating for that logbook of each person to whom that (2) If appropriate, a type rating. aircraft on his or her pilot certificate. instructor has given flight training or (c) Instrument Rating. A flight (f) Training received in a multiengine ground training. instructor who provides instrument airplane, a helicopter, or a powered-lift. (b) A flight instructor must maintain flight training for the issuance of an A flight instructor may not give training a record in a logbook or a separate instrument rating or a type rating not required for the issuance of a certificate document that contains the following: limited to VFR must hold an instrument or rating in a multiengine airplane, a (1) The name of each person whose rating on his or her flight instructor helicopter, or a powered-lift unless that logbook or student pilot certificate that certificate and pilot certificate that is flight instructor has at least 5 flight instructor has endorsed for solo flight appropriate to the category and class of hours of pilot-in-command time in the privileges, and the date of the aircraft in which instrument training is specific make and model of multiengine endorsement; and being provided. airplane, helicopter, or powered-lift, as (2) The name of each person that (d) Limitations on endorsements. A appropriate. instructor has endorsed for a knowledge flight instructor may not endorse a: (g) Position in aircraft and required test or practical test, and the record (1) Student pilot’s certificate or pilot stations for providing flight shall also indicate the kind of test, the logbook for solo flight privileges, unless training. date, and the results. that flight instructor has— (1) A flight instructor must perform (c) Each flight instructor must retain (i) Given that student the flight all training from in an aircraft that the records required by this section for training required for solo flight complies with the requirements of at least 3 years. privileges required by this part; and § 91.109 of this chapter. 16346 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(2) A flight instructor who provides percent of those applicants passed that 90 days preceding the expiration month flight training for a pilot certificate or test on their first attempt; and of his or her flight instructor certificate: rating issued under this part must (A) Given at least 400 hours of flight (1) That person is considered to have provide that flight training in an aircraft training as a flight instructor for training accomplished the renewal requirement that meets the following requirements— in an airplane, a rotorcraft, or for a of this section in the month due; and (i) The aircraft must have at least two powered-lift rating; or (2) The current flight instructor pilot stations and be of the same (B) Given at least 100 hours of flight certificate will be renewed for an category, class, and type, if appropriate, training as a flight instructor, for additional 24 calendar months from its that applies to the pilot certificate or training in a glider rating. expiration date. rating sought. (i) Prohibition against self- (c) The practical test required by (ii) For single-place aircraft, the pre- endorsements. A flight instructor shall paragraph (a)(1) of this section may be solo flight training must have been not make any self-endorsement for a accomplished in an approved flight provided in an aircraft that has two pilot certificate, rating, flight review, simulator or approved flight training stations and is of the same category, authorization, operating privilege, device if the test is accomplished class, and type, if appropriate. practical test, or knowledge test that is pursuant to an approved course (h) Qualifications of the flight required by this part. conducted by a training center instructor for training first-time flight (j) A flight instructor may not give certificated under part 142 of this instructor applicants. (1) The ground training in Category II or Category III chapter. training provided to an initial applicant operations unless the flight instructor for a flight instructor certificate must be has been trained and tested in Category § 61.199 Expired flight instructor given by an authorized instructor who— II or Category III operations, pursuant to certificates and ratings. (i) Holds a current ground or flight § 61.67 or § 61.68 of this part, as (a) Flight instructor certificates. The instructor certificate with the applicable. holder of an expired flight instructor appropriate rating, has held that certificate may exchange that certificate certificate for at least 24 months, and § 61.197 Renewal of flight instructor certificates. for a new certificate by passing a has given at least 40 hours of ground practical test prescribed in § 61.183(h) training; or (a) A person who holds a flight of this part. instructor certificate that has not (ii) Holds a current ground or flight (b) Flight instructor ratings. (1) A expired may renew that certificate for an instructor certificate with the flight instructor rating or a limited flight additional 24 calendar months if the appropriate rating, and has given at least instructor rating on a pilot certificate is holder: 100 hours of ground training in an FAA- no longer valid and may not be (1) Passes a practical test for— approved course. exchanged for a similar rating or a flight (i) Renewal of the flight instructor (2) Except for an instructor who meets instructor certificate. the requirements of paragraph (h)(3)(ii) certificate; or (ii) An additional flight instructor (2) The holder of a flight instructor of this section, a flight instructor who rating or a limited flight instructor provides training to an initial applicant rating; or (2) Presents to an authorized FAA rating on a pilot certificate may be for a flight instructor certificate must— issued a flight instructor certificate with (i) Meet the eligibility requirements Flight Standards Inspector— (i) A record of training students that the current ratings, but only if the prescribed in § 61.183 of this part; person passes the required knowledge (ii) Hold the appropriate flight shows during the preceding 24 calendar and practical test prescribed in this instructor certificate and rating; months the flight instructor has subpart for the issuance of the current (iii) Have held a flight instructor endorsed at least five students for a flight instructor certificate and rating. certificate for at least 24 months; practical test for a certificate or rating, (iv) For training in preparation for an and at least 80 percent of those students § 61.201 [Reserved] airplane, rotorcraft, or powered-lift passed that test on the first attempt; rating, have given at least 200 hours of (ii) A record that shows that within Subpart IÐGround Instructors flight training as a flight instructor; and the preceding 24 calendar months, the (v) For training in preparation for a flight instructor has served as a § 61.211 Applicability. glider rating, have given at least 80 company check pilot, chief flight This subpart prescribes the hours of flight training as a flight instructor, company check airman, or requirements for the issuance of ground instructor. flight instructor in a part 121 or part 135 instructor certificates and ratings, the (3) A flight instructor who serves as operation, or in a position involving the conditions under which those a flight instructor in an FAA-approved regular evaluation of pilots, in which certificates and ratings are necessary, course for the issuance of a flight that authorized FAA Flight Standards and the limitations upon those instructor rating must hold a current Inspector is acquainted with the duties certificates and ratings. flight instructor certificate with the and responsibilities of the position, and § 61.213 Eligibility requirements. appropriate rating and pass the required has satisfactory knowledge of its current initial and recurrent flight instructor pilot training, certification, and (a) To be eligible for a ground proficiency tests, in accordance with the standards; or instructor certificate or rating a person requirements of the part under which (iii) A graduation certificate showing must: the FAA-approved course is conducted, the person has successfully completed (1) Be at least 18 years of age; and must— an approved flight instructor refresher (2) Be able to read, write, speak, and (i) Meet the requirements of paragraph course consisting of ground training or understand the English language. If the (h)(2) of this section; or flight training, or both, within the 90 applicant is unable to meet one of these (ii) Have trained and endorsed at least days preceding the expiration month of requirements due to medical reasons, five applicants for a practical test for a his or her flight instructor certificate. then the Administrator may place such pilot certificate, flight instructor (b) If a person accomplishes the operating limitations on that applicant’s certificate, ground instructor certificate, renewal requirements of paragraph ground instructor certificate as are or an additional rating, and at least 80 (a)(1) or (a)(2) of this section within the necessary; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16347

(3) Except as provided in paragraph (2) Ground training required for an Subpart C—Training Course Outline and (b) of this section, pass a knowledge test instrument proficiency check; and Curriculum on the fundamentals of instructing to (3) A recommendation for a 141.51 Applicability. include— knowledge test required for the issuance 141.53 Approval procedures for a training (i) The learning process; of an instrument rating under this part. course: General. (ii) Elements of effective teaching; (d) A person who holds a ground 141.55 Training course: Contents. (iii) Student evaluation and testing; instructor certificate is authorized, 141.57 Special curricula. (iv) Course development; within the limitations of the ratings on Subpart D—Examining Authority (v) Lesson planning; and the ground instructor certificate, to 141.61 Applicability. (vi) Classroom training techniques. endorse the logbook or other training (4) Pass a knowledge test on the 141.63 Examining authority qualification record of a person to whom the holder requirements. aeronautical knowledge areas in— has provided the training or (i) For a basic ground instructor 141.65 Privileges. recommendation specified in 141.67 Limitations and reports. rating, §§ 61.97 and 61.105; paragraphs (a) through (c) of this (ii) For an advanced ground instructor section. Subpart E—Operating Rules rating, §§ 61.97, 61.105, 61.125, and 141.71 Applicability. 61.155; and § 61.217 Currency requirements. 141.73 Privileges. (iii) For an instrument ground The holder of a ground instructor 141.75 Aircraft requirements. instructor rating, § 61.65. certificate may not perform the duties of 141.77 Limitations. (b) The knowledge test specified in a ground instructor unless, within the 141.79 Flight training. paragraph (a)(3) of this section is not preceding 12 months: 141.81 Ground training. required if the applicant: (a) The person has served for at least 141.83 Quality of training. (1) Holds a ground instructor 3 months as a ground instructor; or 141.85 Chief instructor responsibilities. certificate or flight instructor certificate (b) The Administrator has determined 141.87 Change of chief instructor. issued under this part; that the person meets the standards 141.89 Maintenance of personnel, facilities, (2) Holds a current teacher’s prescribed in this part for the certificate and equipment. certificate issued by a State, county, and rating. 141.91 Satellite bases. city, or municipality that authorizes the 4. Part 141 is revised to read as 141.93 Enrollment. person to teach at an educational level 141.95 Graduation certificate. of the 7th grade or higher; or follows: Subpart F—Records (3) Is employed as a teacher at an PART 141ÐPILOT SCHOOLS accredited college or university. 141.101 Training records. Subpart A—General § 61.215 Ground instructor privileges. Appendix A to Part 141—Recreational Pilot Sec. Certification Course (a) A person who holds a basic ground 141.1 Applicability. instructor rating is authorized to 141.3 Certificate required. Appendix B to Part 141—Private Pilot provide: 141.5 Requirements for a pilot school Certification Course (1) Ground training in the certificate. Appendix C to Part 141—Instrument Rating aeronautical knowledge areas required 141.7 Provisional pilot school certificate. Course for the issuance of a recreational pilot 141.9 Examining authority. certificate, private pilot certificate, or 141.11 Pilot school ratings. Appendix D to Part 141—Commercial Pilot associated ratings under this part; 141.13 Application for issuance, Certification Course amendment, or renewal. (2) Ground training required for a Appendix E to Part 141—Airline Transport recreational pilot and private pilot flight 141.15 Location of facilities. 141.17 Duration of certificate and Pilot Certification Course review; and examining authority. (3) A recommendation for a Appendix F to Part 141—Flight Instructor 141.18 Carriage of narcotic drugs, Certification Course knowledge test required for the issuance marijuana, and depressant or stimulant of a recreational pilot certificate or drugs or substances. Appendix G to Part 141—Flight Instructor private pilot certificate under this part. 141.19 Display of certificate. Instrument (For an Airplane, Helicopter, or (b) A person who holds an advanced 141.21 Inspections. Powered-Lift Instrument Instructor Rating) ground instructor rating is authorized to 141.23 Advertising limitations. Certification Course provide: 141.25 Business office and operations base. 141.26 Training agreements. Appendix H to Part 141—Ground Instructor (1) Ground training in the Certification Course aeronautical knowledge areas required 141.27 Renewal of certificates and ratings. 141.29 [Reserved] for the issuance of any certificate or Appendix I to Part 141—Additional Aircraft rating under this part; Subpart B—Personnel, Aircraft, and Category or Class Rating Course Facilities Requirements (2) Ground training required for any Appendix J to Part 141—Aircraft Type flight review; and 141.31 Applicability. Rating Course, For Other Than an Airline (3) A recommendation for a 141.33 Personnel. Transport Pilot Certificate knowledge test required for the issuance 141.35 Chief instructor qualifications. of any certificate under this part. 141.36 Assistant chief instructor Appendix K to Part 141—Special (c) A person who holds an instrument qualifications. Preparation Courses ground instructor rating is authorized to 141.37 Check instructor qualifications. 141.38 Airports. Appendix L to Part 141—Pilot Ground provide: 141.39 Aircraft. School Course (1) Ground training in the 141.41 Flight simulators, flight training Authority: 49 U.S.C. 106(g), 40113, 44701– aeronautical knowledge areas required devices, and training aids. 44703, 44707, 44709, 44711, 45102–45103, for the issuance of an instrument rating 141.43 Pilot briefing areas. 45301–45302. under this part; 141.45 Ground training facilities. 16348 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Subpart AÐGeneral (1) A pilot school certificate, provided (1) On the last day of the 24th the applicant meets the requirements of calendar month from the month the § 141.1 Applicability. § 141.5 of this part; or certificate was issued; This part prescribes the requirements (2) A provisional pilot school (2) Except as provided in paragraph for issuing pilot school certificates, certificate, provided the applicant meets (b) of this section, on the date that any provisional pilot school certificates, and the requirements of § 141.7 of this part. change in ownership of the school associated ratings, and the general (b) An applicant may be authorized to occurs; operating rules applicable to a holder of conduct the following courses: (3) On the date of any change in the a certificate or rating issued under this (1) Certification and rating courses. facilities upon which the school’s part. (Appendixes A through J). certificate is based occurs; or (i) Recreational pilot course. (4) Upon notice by the Administrator § 141.3 Certificate required. (ii) Private pilot course. that the school has failed for more than No person may operate as a (iii) Commercial pilot course. 60 days to maintain the facilities, certificated pilot school without, or in (iv) Instrument rating course. aircraft, or personnel required for any violation of, a pilot school certificate or (v) Airline transport pilot course. one of the school’s approved training provisional pilot school certificate (vi) Flight instructor course. courses. issued under this part. (vii) Flight instructor instrument (b) A change in the ownership of a § 141.5 Requirements for a pilot school course. pilot school or provisional pilot school certificate. (viii) Ground instructor course. does not terminate that school’s (ix) Additional aircraft category or certificate if, within 30 days after the An applicant may be issued a pilot class rating course. date that any change in ownership of school certificate with associated ratings (x) Aircraft type rating course. the school occurs: if the applicant: (2) Special preparation courses. (1) Application is made for an (a) Completes the application for a (Appendix K). appropriate amendment to the pilot school certificate on a form and in (i) Pilot refresher course. certificate; and a manner prescribed by the (ii) Flight instructor refresher course. (2) No change in the facilities, Administrator; (iii) Ground instructor refresher personnel, or approved training courses (b) Holds a provisional pilot school course. is involved. certificate, issued under this part, for at (iv) Agricultural aircraft operations (c) An examining authority issued to least 24 calendar months preceding the course. the holder of a pilot school certificate month in which the application for a (v) Rotorcraft external-load operations expires on the date that the pilot school pilot school certificate is made; course. certificate expires, or is surrendered, (c) Meets the applicable requirements (vi) Special operations course. suspended, or revoked. of subparts A through C of this part for (vii) Test pilot course. the school ratings sought; and (3) Pilot ground school course. § 141.18 Carriage of narcotic drugs, marijuana, and depressant or stimulant (d) Has trained and recommended for (Appendix L). pilot certification and rating tests, drugs or substances. within 24 calendar months preceding § 141.13 Application for issuance, If the holder of a certificate issued the month the application is made for amendment, or renewal. under this part permits any aircraft the pilot school certificate, at least 10 (a) Application for an original owned or leased by that holder to be students for a knowledge or practical certificate and rating, an additional engaged in any operation that the test for a pilot certificate, flight rating, or the renewal of a certificate certificate holder knows to be in instructor certificate, ground instructor under this part must be made on a form violation of § 91.19(a) of this chapter, certificate, an additional rating, an end- and in a manner prescribed by the that operation is a basis for suspending of-course test for a training course Administrator. or revoking the certificate. specified in appendix K of this part, or (b) Application for the issuance or § 141.19 Display of certificate. any combination of those tests, and at amendment of a certificate or rating least 80 percent of all tests administered must be accompanied by two copies of (a) Each holder of a pilot school were passed on the first attempt. each proposed training course certificate or a provisional pilot school curriculum for which approval is certificate must display that certificate § 141.7 Provisional pilot school certificate. sought. in a place in the school that is normally An applicant that meets the accessible to the public and is not applicable requirements of subparts A, § 141.15 Location of facilities. obscured. B, and C of this part, but does not meet The holder of a pilot school certificate (b) A certificate must be made the recent training activity requirements or a provisional pilot school certificate available for inspection upon request of § 141.5(d) of this part, may be issued may have a base or other facilities by: a provisional pilot school certificate located outside the United States, (1) The Administrator; with ratings. provided the Administrator determines (2) An authorized representative of the location of the base and facilities at the National Transportation Safety § 141.9 Examining authority. that place are needed for the training of Board; or An applicant is issued examining students who are citizens of the United (3) A Federal, State, or local law authority for its pilot school certificate States. enforcement officer. if the applicant meets the requirements of subpart D of this part. § 141.17 Duration of certificate and § 141.21 Inspections. examining authority. Each holder of a certificate issued § 141.11 Pilot school ratings. (a) Unless surrendered, suspended, or under this part must allow the (a) The ratings listed in paragraph (b) revoked, a pilot school’s certificate or a Administrator to inspect its personnel, of this section may be issued to an provisional pilot school’s certificate facilities, equipment, and records to applicant for: expires: determine the certificate holder’s: Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16349

(a) Eligibility to hold its certificate; (2) The course of training and any (3) A former provisional pilot school (b) Compliance with 49 U.S.C. 40101 needed amendments have been may apply for another provisional pilot et seq., formerly the Federal Aviation approved for use at that base. school certificate, provided 180 days Act of 1958, as amended; and have elapsed since its last provisional § 141.26 Training agreements. (c) Compliance with the Federal pilot school certificate expired. Aviation Regulations. A training center certificated under part 142 of this chapter may provide the § 141.29 [Reserved] § 141.23 Advertising limitations. training, testing, and checking for pilot schools certificated under part 141 of Subpart BÐPersonnel, Aircraft, and (a) The holder of a pilot school Facilities Requirements certificate or a provisional pilot school this chapter, and is considered to meet certificate may not make any statement the requirements of part 141, § 141.31 Applicability. provided— relating to its certification and ratings (a) This subpart prescribes: that is false or designed to mislead any (a) There is a training agreement between the certificated training center (1) The personnel and aircraft person contemplating enrollment in that requirements for a pilot school school. and the pilot school; (b) The training, testing, and checking certificate or a provisional pilot school (b) The holder of a pilot school provided by the certificated training certificate; and certificate or a provisional pilot school center is approved and conducted under (2) The facilities that a pilot school or certificate may not advertise that the part 142; provisional pilot school must have school is certificated unless it clearly (c) The pilot school certificated under available on a continuous basis. differentiates between courses that have part 141 obtains the Administrator’s (b) As used in this subpart, to have been approved under part 141 of this approval for a training course outline continuous use of a facility, including chapter and those that have not been that includes the training, testing, and an airport, the school must have: approved under part 141 of this chapter. checking to be conducted under part (1) Ownership of the facility or airport (c) The holder of a pilot school 141 and the training, testing, and for at least 6 calendar months at the certificate or a provisional pilot school checking to be conducted under part time of application for initial certificate must promptly remove: 142; and certification and on the date of renewal (1) From vacated premises, all signs (d) Upon completion of the training, of the school’s certificate; or indicating that the school was testing, and checking conducted under (2) A written lease agreement for the certificated by the Administrator; or part 142, a copy of each student’s facility or airport for at least 6 calendar (2) All indications (including signs), training record is forwarded to the part months at the time of application for wherever located, that the school is 141 school and becomes part of the initial certification and on the date of certificated by the Administrator when student’s permanent training record. renewal of the school’s certificate. its certificate has expired or has been § 141.27 Renewal of certificates and § 141.33 Personnel. surrendered, suspended, or revoked. ratings. (a) An applicant for a pilot school § 141.25 Business office and operations (a) Pilot school. (1) A pilot school may certificate or for a provisional pilot base. apply for renewal of its school school certificate must meet the (a) Each holder of a pilot school or a certificate and ratings within 30 days following personnel requirements: preceding the month the pilot school’s provisional pilot school certificate must (1) Each applicant must have certificate expires, provided the school maintain a principal business office adequate personnel, including meets the requirements prescribed in with a mailing address in the name certificated flight instructors, paragraph (a)(2) of this section for shown on its certificate. certificated ground instructors, or (b) The facilities and equipment at the renewal of its certificate and ratings. (2) A pilot school may have its school holders of a commercial pilot certificate principal business office must be with a lighter-than-air rating, and a chief adequate to maintain the files and certificate and ratings renewed for an additional 24 calendar months if the instructor for each approved course of records required to operate the business training who is qualified and competent of the school. Administrator determines the school’s personnel, aircraft, facility and airport, to perform the duties to which that (c) The principal business office may approved training courses, training instructor is assigned. not be shared with, or used by, another records, and recent training ability and (2) If the school employs dispatchers, pilot school. quality meet the requirements of this aircraft handlers, and line and service (d) Before changing the location of the part. personnel, then it shall instruct those principal business office or the (3) A pilot school that does not meet persons in the procedures and operations base, each certificate holder the renewal requirements in paragraph responsibilities of their employment. must notify the FAA Flight Standards (a)(2) of this section, may apply for a (3) Each instructor to be used for District Office having jurisdiction over provisional pilot school certificate if the ground or flight training must hold a the area of the new location, and the school meets the requirements of § 141.7 flight instructor certificate, ground notice must be: of this part. instructor certificate, or commercial (1) Submitted in writing at least 30 (b) Provisional pilot school. (1) Except pilot certificate with a lighter-than-air days before the change of location; and as provided in paragraph (b)(3) of this rating, as appropriate, with ratings for (2) Accompanied by any amendments section, a provisional pilot school may the approved course of training and any needed for the certificate holder’s not have its provisional pilot school aircraft used in that course. approved training course outline. certificate or the ratings on that (b) An applicant for a pilot school (e) A certificate holder may conduct certificate renewed. certificate or for a provisional pilot training at an operations base other than (2) A provisional pilot school may school certificate shall designate a chief the one specified in its certificate, if: apply for a pilot school certificate and instructor for each of the school’s (1) The Administrator has inspected associated ratings provided that school approved training courses, who must and approved the base for use by the meets the requirements of § 141.5 of this meet the requirements of § 141.35 of this certificate holder; and part. part. 16350 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(c) When necessary, an applicant for paragraphs (b), (c), and (d) of this must contain the appropriate aircraft a pilot school certificate or for a section. category, class, and instrument ratings provisional pilot school certificate may (b) For a course of training leading to for the category and class of aircraft designate a person to be an assistant the issuance of a private pilot certificate used in the course; chief instructor for an approved training or rating, a chief instructor must have: (2) Meet the pilot in command recent course, provided that person meets the (1) At least 1,000 hours as pilot in flight experience requirements of requirements of § 141.36 of this part. command; and § 61.57 of this chapter; (d) A pilot school and a provisional (2) Primary flight training experience, (3) Pass a knowledge test on— pilot school may designate a person to acquired as either a certificated flight (i) Teaching methods; be a check instructor for conducting instructor or an instructor in a military (ii) Applicable provisions of the student stage checks, end-of-course pilot flight training program, or a ‘‘Aeronautical Information Manual’’; tests, and instructor proficiency checks, combination thereof, consisting of at (iii) Applicable provisions of parts 61, provided: least— 91, and 141 of this chapter; and (iv) The objectives and approved (1) That person meets the (i) 2 years and a total of 500 flight course completion standards of the requirements of § 141.37 of this part; hours; or course for which the person seeks to and (ii) 1,000 flight hours. obtain designation. (2) That school has a student (c) For a course of training leading to (4) Pass a proficiency test on the flight the issuance of an instrument rating or enrollment of at least 50 students at the procedures and maneuvers appropriate a rating with instrument privileges, a time designation is sought. to that course; and (e) A person, as listed in this section, chief instructor must have: (5) Meet the applicable requirements may serve in more than one position for (1) At least 100 hours of flight time in paragraphs (b), (c), and (d) of this a school, provided that person is under actual or simulated instrument section. However, an assistant chief qualified for each position. conditions; instructor for a course of training for (2) At least 1,000 hours as pilot in gliders, balloons, or airships is only § 141.35 Chief instructor qualifications. command; and required to have 40 percent of the hours (a) To be eligible for designation as a (3) Instrument flight instructor required in paragraphs (b) and (c) of this chief instructor for a course of training, experience, acquired as either a a person must meet the following section. certificated flight instructor-instrument (b) For a course of training leading to requirements: or an instructor in a military pilot flight (1) Hold a commercial pilot certificate the issuance of a private pilot certificate training program, or a combination or rating, an assistant chief instructor or an airline transport pilot certificate, thereof, consisting of at least— and, except for a chief instructor for a must have: (i) 2 years and a total of 250 flight (1) At least 500 hours as pilot in course of training solely for a lighter- hours; or command; and than-air rating, a current flight (ii) 400 flight hours. (2) Flight training experience, instructor certificate. The certificates (d) For a course of training other than acquired as either a certificated flight must contain the appropriate aircraft those leading to the issuance of a private instructor or an instructor in a military category, class, and instrument ratings pilot certificate or rating, or an pilot flight training program, or a for the category and class of aircraft instrument rating or a rating with combination thereof, consisting of at used in the course; instrument privileges, a chief instructor least— (2) Meet the pilot in command recent must have: (i) 1 year and a total of 250 flight flight experience requirements of (1) At least 2,000 hours as pilot in hours; or § 61.57 of this chapter; command; and (ii) 500 flight hours. (3) Pass a knowledge test on— (2) Flight training experience, (c) For a course of training leading to (i) Teaching methods; acquired as either a certificated flight the issuance of an instrument rating or (ii) Applicable provisions of the instructor or an instructor in a military a rating with instrument privileges, an ‘‘Aeronautical Information Manual’’; pilot flight training program, or a assistant chief flight instructor must (iii) Applicable provisions of parts 61, combination thereof, consisting of at have: 91, and 141 of this chapter; and least— (1) At least 50 hours of flight time (iv) The objectives and approved (i) 3 years and a total of 1,000 flight under actual or simulated instrument course completion standards of the hours; or conditions; course for which the person seeks to (ii) 1,500 flight hours. (2) At least 500 hours as pilot in obtain designation. (e) To be eligible for designation as command; and (4) Pass a proficiency test on chief instructor for a ground school (3) Instrument flight instructor instructional skills and ability to train course, a person must have 1 year of experience, acquired as either a students on the flight procedures and experience as a ground school instructor certificated flight instructor-instrument maneuvers appropriate to the course; at a certificated pilot school. or an instructor in a military pilot flight (5) Except for a course of training for training program, or a combination gliders, balloons, or airships, the chief § 141.36 Assistant chief instructor thereof, consisting of at least— instructor must meet the applicable qualifications. (i) 1 year and a total of 125 flight requirements in paragraphs (b), (c), and (a) To be eligible for designation as an hours; or (d) of this section; assistant chief instructor for a course of (ii) 200 flight hours. (6) A chief instructor for a course of training, a person must meet the (d) For a course of training other than training for gliders or balloons is only following requirements: one leading to the issuance of a private required to have 40 percent of the hours (1) Hold a commercial pilot or an pilot certificate or rating, or an required in paragraphs (b) and (d) of this airline transport pilot certificate and, instrument rating or a rating with section; and except for the assistant chief instructor instrument privileges, an assistant chief (7) A chief instructor for a course of for a course of training for a lighter- instructor must have: training for airships is only required to than-air rating, a current flight (1) At least 1,000 hours as pilot in have 40 percent of the hours required in instructor certificate. The certificates command; and Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16351

(2) Flight training experience, commercial pilot certificate with a § 141.39 Aircraft. acquired as either a certificated flight lighter-than-air category rating and the An applicant for a pilot school instructor or an instructor in a military appropriate class rating. certificate or provisional pilot school pilot flight training program, or a (b) A person who meets the eligibility certificate, and each pilot school or combination thereof, consisting of at requirements in paragraph (a) of this provisional pilot school, must show that least— section must: each aircraft used by that school for (i) 11⁄2 years and a total of 500 flight (1) Be designated, in writing, by the flight training and solo flights meets the hours; or chief instructor to conduct student stage following requirements: (ii) 750 flight hours. checks, end-of-course tests, and (a) Each aircraft must be registered as (e) To be eligible for designation as an instructor proficiency checks; and a civil aircraft in the United States; assistant chief instructor for a ground (2) Be approved by the FAA Flight (b) Each aircraft must be certificated school course, a person must have 6 Standards District Office having with a standard airworthiness certificate months of experience as a ground jurisdiction over the school. or a primary airworthiness certificate, school instructor at a certificated pilot (c) A check instructor may not unless the Administrator determines school. conduct a stage check or an end-of- that due to the nature of the approved course test of any student for whom the § 141.37 Check instructor qualifications. course, an aircraft not having a standard check instructor has: (a) To be designated as a check airworthiness certificate or primary (1) Served as the principal instructor; airworthiness certificate may be used; instructor for conducting student stage or checks, end-of-course tests, and (c) Each aircraft must be maintained (2) Recommended for a stage check or and inspected in accordance with the instructor proficiency checks under this end-of-course test. part, a person must meet the eligibility requirements under subpart E of part 91 requirements of this section: § 141.38 Airports. of this chapter that apply to aircraft (1) For checks and tests that relate to (a) An applicant for a pilot school operated for hire; either flight or ground training, the certificate or a provisional pilot school (d) Each aircraft used in flight training person must pass a test, given by the certificate must show that he or she has must have at least two pilot stations chief instructor, on— continuous use of each airport at which with engine-power controls that can be (i) Teaching methods; training flights originate. easily reached and operated in a normal (ii) Applicable provisions of the (b) Each airport used for airplanes and manner from both pilot stations; and ‘‘Aeronautical Information Manual’’; gliders must have at least one runway or (e) Each aircraft used in a course (iii) Applicable provisions of parts 61, takeoff area that allows training aircraft involving IFR en route operations and 91, and 141 of this chapter; and to make a normal takeoff or landing instrument approaches must be (iv) The objectives and course under the following conditions at the equipped and maintained for IFR completion standards of the approved aircraft’s maximum certificated takeoff operations. For training in the control training course for the designation gross weight: and precision maneuvering of an aircraft sought. (1) Under wind conditions of not by reference to instruments, the aircraft (2) For checks and tests that relate to more than 5 miles per hour; may be equipped as provided in the a flight training course, the person (2) At temperatures equal to the mean approved course of training. must— high temperature for the hottest month (i) Meet the requirements in § 141.41 Flight simulators, flight training of the year in the operating area; devices, and training aids. paragraph (a)(1) of this section; (3) If applicable, with the powerplant (ii) Hold a commercial pilot certificate operation, and landing gear and flap An applicant for a pilot school or an airline transport pilot certificate operation recommended by the certificate or a provisional pilot school and, except for a check instructor for a manufacturer; and certificate must show that its flight course of training for a lighter-than-air (4) In the case of a takeoff— simulators, flight training devices, rating, a current flight instructor (i) With smooth transition from liftoff training aids, and equipment meet the certificate. The certificates must contain to the best rate of climb speed without following requirements: the appropriate aircraft category, class, exceptional piloting skills or (a) Flight simulators. Each flight and instrument ratings for the category techniques; and simulator used to obtain flight training and class of aircraft used in the course; (ii) Clearing all obstacles in the takeoff credit allowed for flight simulators in an (iii) Meet the pilot in command recent flight path by at least 50 feet. approved pilot training course flight experience requirements of (c) Each airport must have a wind curriculum must— § 61.57 of this chapter; and direction indicator that is visible from (1) Be a full-size aircraft cockpit (iv) Pass a proficiency test, given by the end of each runway at ground level; replica of a specific type of aircraft, or the chief instructor or assistant chief (d) Each airport must have a traffic make, model, and series of aircraft; instructor, on the flight procedures and direction indicator when: (2) Include the hardware and software maneuvers of the approved training (1) The airport does not have an necessary to represent the aircraft in course for the designation sought. operating control tower; and ground operations and flight operations; (3) For checks and tests that relate to (2) UNICOM advisories are not (3) Use a force cueing system that ground training, the person must— available. provides cues at least equivalent to (i) Meet the requirements in (e) Except as provided in paragraph (f) those cues provided by a 3 degree paragraph (a)(1) of this section; of this section, each airport used for freedom of motion system; (ii) Except for a course of training for night training flights must have (4) Use a visual system that provides a lighter-than-air rating, hold a current permanent runway lights; and at least a 45 degree horizontal field of flight instructor certificate or ground (f) An airport or seaplane base used view and a 30 degree vertical field of instructor certificate with ratings for night training flights in seaplanes is view simultaneously for each pilot; and appropriate to the category and class of permitted to use adequate (5) Have been evaluated, qualified, aircraft used in the course; and nonpermanent lighting or shoreline and approved by the Administrator. (iii) For a course of training for a lighting, if approved by the (b) Flight training devices. Each flight lighter-than-air rating, hold a Administrator. training device used to obtain flight 16352 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations training credit allowed for flight training Subpart CÐTraining Course Outline (3) A description of each flight devices in an approved pilot training and Curriculum simulator or flight training device used course curriculum must— for training; (1) Be a full-size replica of § 141.51 Applicability. (4) A listing of the airports at which instruments, equipment panels, and This subpart prescribes the training flights originate and a controls of an aircraft, or set of aircraft, curriculum and course outline description of the facilities, including in an open flight deck area or in an requirements for the issuance of a pilot pilot briefing areas that are available for enclosed cockpit, including the school certificate or provisional pilot use by the school’s students and hardware and software for the systems school certificate and ratings. personnel at each of those airports; installed that is necessary to simulate (5) A description of the type of aircraft § 141.53 Approval procedures for a including any special equipment used the aircraft in ground and flight training course: General. operations; for each phase of training; (2) Need not have a force (motion) (a) General. An applicant for a pilot (6) The minimum qualifications and cueing or visual system; and school certificate or provisional pilot ratings for each instructor assigned to (3) Have been evaluated, qualified, school certificate must obtain the ground or flight training; and and approved by the Administrator. Administrator’s approval of the outline (7) A training syllabus that includes (c) Training aids and equipment. Each of each training course for which the following information— training aid, including any audiovisual certification and rating is sought. (i) The prerequisites for enrolling in aid, projector, tape recorder, mockup, (b) Application. (1) An application for the ground and flight portion of the chart, or aircraft component listed in the the approval of an initial or amended course that include the pilot certificate approved training course outline, must training course must be submitted in and rating (if required by this part), be accurate and appropriate to the duplicate to the FAA Flight Standards training, pilot experience, and pilot course for which it is used. District Office having jurisdiction over knowledge; the area where the school is based. (ii) A detailed description of each § 141.43 Pilot briefing areas. (2) An application for the approval of lesson, including the lesson’s objectives, (a) An applicant for a pilot school an initial or amended training course standards, and planned time for certificate or provisional pilot school must be submitted at least 30 days completion; certificate must show that the applicant before any training under that course, or (iii) A description of what the course has continuous use of a briefing area any amendment thereto, is scheduled to is expected to accomplish with regard to located at each airport at which training begin. student learning; flights originate that is: (3) An application for amending a (iv) The expected accomplishments (1) Adequate to shelter students training course must be accompanied by and the standards for each stage of waiting to engage in their training two copies of the amendment. training; and flights; (c) Training courses. (1) A training (v) A description of the checks and (2) Arranged and equipped for the course submitted for approval prior to tests to be used to measure a student’s conduct of pilot briefings; and August 4, 1997 shall, if approved, retain accomplishments for each stage of (3) Except as provided in paragraph that approval until 1 year after August training. (c) of this section, for a school with an 4, 1997. (d) A pilot school may request and instrument rating or commercial pilot (2) An applicant for a pilot school receive initial approval for a period of course, equipped with private landline certificate or provisional pilot school not more than 24 calendar months for or telephone communication to the certificate may request approval of the any of the training courses of this part nearest FAA Flight Service Station. training courses specified in § 141.11(b) without specifying the minimum (b) A briefing area required by of this part. ground and flight training time paragraph (a) of this section may not be requirements of this part, provided the § 141.55 Training course: Contents. used by the applicant if it is available following provisions are met: for use by any other pilot school during (a) Each training course for which (1) The school holds a pilot school the period it is required for use by the approval is requested must meet the certificate issued under this part and applicant. minimum curriculum requirements in has held that certificate for a period of (c) The communication equipment accordance with the appropriate at least 24 consecutive calendar months required by paragraph (a)(3) of this appendix of this part. preceding the month of the request; section is not required if the briefing (b) Except as provided in paragraphs (2) In addition to the information area and the flight service station are (d) and (e) of this section, each training required by paragraph (c) of this section, located on the same airport, and are course for which approval is requested the training course specifies planned readily accessible to each other. must meet the minimum ground and ground and flight training time flight training time requirements in requirements for the course; § 141.45 Ground training facilities. accordance with the appropriate (3) The school does not request the An applicant for a pilot school or appendix of this part. training course to be approved for provisional pilot school certificate must (c) Each training course for which examining authority, nor may that show that: approval is requested must contain: school hold examining authority for that (a) Each room, training booth, or other (1) A description of each room used course; and space used for instructional purposes is for ground training, including the (4) The practical test or knowledge heated, lighted, and ventilated to room’s size and the maximum number test for the course is to be given by— conform to local building, sanitation, of students that may be trained in the (i) An FAA inspector; or and health codes; and room at one time; (ii) An examiner who is not an (b) The training facility is so located (2) A description of each type of employee of the school. that the students in that facility are not audiovisual aid, projector, tape recorder, (e) A certificated pilot school may distracted by the training conducted in mockup, chart, aircraft component, and request and receive final approval for other rooms, or by flight and other special training aids used for any of the training courses of this part maintenance operations on the airport. ground training; without specifying the minimum Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16353 ground and flight training time (3) The school must have held the recommendation for the issuance of that requirements of this part, provided the rating in which examining authority is certificate or rating is in accordance following conditions are met: sought for at least 24 consecutive with the following requirements: (1) The school has held initial calendar months preceding the month of (a) The person graduated from a approval for that training course for at application for examining authority; training course for which the pilot least 24 calendar months. (4) The training course for which school holds examining authority. (2) The school has— examining authority is requested may (b) Except as provided in this (i) Trained at least 10 students in that not be a course that is approved without paragraph, the person satisfactorily training course within the preceding 24 meeting the minimum ground and flight completed all the curriculum calendar months and recommended training time requirements of this part; requirements of that pilot school’s those students for a pilot, flight and approved training course. A person who instructor, or ground instructor (5) Within 24 calendar months after transfers from one part 141 approved certificate or rating; and the date of application for examining pilot school to another part 141 (ii) At least 80 percent of those authority, that school must meet the approved pilot school may receive students passed the practical or following requirements— credit for that previous training, knowledge test, or any combination (i) The school must have trained at provided the following requirements are thereof, on the first attempt, and that least 10 students in the training course met: test was given by— for which examining authority is sought (1) The maximum credited training (A) An FAA inspector; or and recommended those students for a time does not exceed one-half of the (B) An examiner who is not an pilot, flight instructor, or ground receiving school’s curriculum employee of the school. instructor certificate or rating; and requirements; (3) In addition to the information (ii) At least 90 percent of those (2) The person completes a knowledge required by paragraph (c) of this section, students passed the required practical or and proficiency test conducted by the the training course specifies planned knowledge test, or any combination receiving school for the purpose of ground and flight training time thereof, for the pilot, flight instructor, or determining the amount of pilot requirements for the course. ground instructor certificate or rating on experience and knowledge to be (4) The school does not request that the first attempt, and that test was given credited; the training course be approved for by— (3) The receiving school determines examining authority nor may that (A) An FAA inspector; or (based on the person’s performance on school hold examining authority for that (B) An examiner who is not an the knowledge and proficiency test course. employee of the school. required by paragraph (b)(2) of this (b) A pilot school must meet the section) the amount of credit to be § 141.57 Special curricula. following requirements to retain awarded, and records that credit in the An applicant for a pilot school approval of its examining authority: person’s training record; certificate or provisional pilot school (1) The school must complete the (4) The person who requests credit for certificate may apply for approval to application for renewal of its examining previous pilot experience and conduct a special course of airman authority on a form and in a manner knowledge obtained the experience and training for which a curriculum is not prescribed by the Administrator; knowledge from another part 141 prescribed in the appendixes of this (2) The school must hold a pilot approved pilot school and training part, if the applicant shows that the school certificate and rating issued course; and training course contains features that under this part; (5) The receiving school retains a could achieve a level of pilot (3) The school must have held the copy of the person’s training record proficiency equivalent to that achieved rating for which examining authority is from the previous school. sought for at least 24 calendar months by a training course prescribed in the (c) Tests given by a pilot school that preceding the month of application for appendixes of this part or the holds examining authority must be renewal of its examining authority; and requirements of part 61 of this chapter. approved by the Administrator and be at (4) The training course for which least equal in scope, depth, and Subpart DÐExamining Authority examining authority is requested may difficulty to the comparable knowledge not be a course that is approved without and practical tests prescribed by the § 141.61 Applicability. meeting the minimum ground and flight Administrator under part 61 of this This subpart prescribes the training time requirements of this part. requirements for the issuance of chapter. examining authority to the holder of a § 141.65 Privileges. (d) A pilot school that holds pilot school certificate, and the A pilot school that holds examining examining authority may not use its privileges and limitations of that authority may recommend a person who knowledge or practical tests if the examining authority. graduated from its course for the school: appropriate pilot, flight instructor, or (1) Knows, or has reason to believe, § 141.63 Examining authority qualification ground instructor certificate or rating the test has been compromised; or requirements. without taking the FAA knowledge test (2) Is notified by a FAA Flight (a) A pilot school must meet the or practical test in accordance with the Standards District Office that there is following prerequisites to receive initial provisions of this subpart. reason to believe or it is known that the approval for examining authority: test has been compromised. (1) The school must complete the § 141.67 Limitations and reports. (e) A pilot school that holds application for examining authority on A pilot school that holds examining examining authority must maintain a a form and in a manner prescribed by authority may only recommend the record of all temporary airman the Administrator; issuance of a pilot, flight instructor, or certificates it issues, which consist of (2) The school must hold a pilot ground instructor certificate and rating the following information: school certificate and rating issued to a person who does not take an FAA (1) A chronological listing that under this part; knowledge test or practical test, if the includes— 16354 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(i) The date the temporary airman § 141.75 Aircraft requirements. paragraph (c)(2) of this section, based on certificate was issued; (a) The following items must be a proficiency test or knowledge test, or (ii) The student to whom the carried on each aircraft used for flight both, of the student; and temporary airman certificate was issued, training and solo flights: (4) Credit for training specified in and that student’s permanent mailing (1) A pretakeoff and prelanding paragraph (c)(1) or paragraph (c)(2) may address and telephone number; checklist; and be given if the previous provider of the (iii) The training course from which (2) The operator’s handbook for the training has certified the kind and the student graduated; aircraft, if one is furnished by the amount of training provided, and the (iv) The name of person who manufacturer, or copies of the handbook result of each stage check and end-of- conducted the knowledge or practical if furnished to each student using the course test, if applicable, given to the test; aircraft. student. (b) Each aircraft used in the (v) The type of temporary airman certification and rating courses listed in § 141.79 Flight training. certificate or rating issued to the § 141.11 of this part must have a student; and (a) No person other than a certificated standard airworthiness certificate or a flight instructor or commercial pilot (vi) The date the student’s airman primary airworthiness certificate; and with a lighter-than-air rating who has application file was sent to the FAA for (c) Each aircraft used in the the ratings and the minimum processing for a permanent airman agricultural aircraft operations, external- qualifications specified in the approved certificate. load operations, test pilot, and special training course outline may give a (2) A copy of the record containing operations courses listed in § 141.11 of student flight training under an each student’s graduation certificate, this part may have a restricted approved course of training. airman application, temporary airman airworthiness certificate, if its use for (b) No student pilot may be certificate, superseded airman certificate training is not prohibited by the authorized to start a solo practice flight (if applicable), and knowledge test or aircraft’s operating limitations. from an airport until the flight has been practical test results; and approved by a certificated flight (3) The records required by paragraph § 141.77 Limitations. instructor or commercial pilot with a (e) of this section must be retained for (a) The holder of a pilot school lighter-than-air rating who is present at 1 year and made available to the certificate or a provisional pilot school that airport. Administrator upon request. These certificate may not issue a graduation (c) Each chief instructor and assistant records must be surrendered to the certificate to a student, or recommend a chief instructor assigned to a training Administrator when the pilot school student for a pilot certificate or rating, course must complete, at least once ceases to have examining authority. unless the student has: every 12 calendar months, an approved (f) Except for pilot schools that have (1) Completed the training specified syllabus of training consisting of ground an airman certification representative, in the pilot school’s course of training; or flight training, or both, or an when a student passes the knowledge and approved flight instructor refresher test or practical test, the pilot school (2) Passed the required final tests. course. that holds examining authority must (b) Except as provided in paragraph (d) Each certificated flight instructor submit that student’s airman application (c) of this section, the holder of a pilot or commercial pilot with a lighter-than- file and training record to the FAA for school certificate or a provisional pilot air rating who is assigned to a flight processing for the issuance of a school certificate may not graduate a training course must satisfactorily permanent airman certificate. student from a course of training unless the student has completed all of the complete the following tasks, which Subpart EÐOperating Rules curriculum requirements of that course; must be administered by the school’s (c) A student may be given credit chief instructor, assistant chief § 141.71 Applicability. towards the curriculum requirements of instructor, or check instructor: This subpart prescribes the operating a course for previous pilot experience (1) Prior to receiving authorization to rules applicable to a pilot school or and knowledge, provided the following train students in a flight training course, provisional pilot school certificated conditions are met: accomplish— under the provisions of this part. (1) If the credit is based upon a part (i) A review of and receive a briefing 141-approved training course, the credit on the objectives and standards of that § 141.73 Privileges. given that student for the previous pilot training course; and (a) The holder of a pilot school experience and knowledge may be 50 (ii) An initial proficiency check in certificate or a provisional pilot school percent of the curriculum requirements each make and model of aircraft used in certificate may advertise and conduct and must be based upon a proficiency that training course in which that approved pilot training courses in test or knowledge test, or both, person provides training; and accordance with the certificate and any conducted by the receiving pilot school; (2) Every 12 calendar months after the ratings that it holds. (2) If the credit is not based upon a month in which the person last (b) A pilot school that holds part 141-approved training course, the complied with paragraph (d)(1)(ii) of examining authority for an approved credit given that student for the this section, accomplish a recurrent training course may recommend a previous pilot experience and proficiency check in one of the aircraft graduate of that course for the issuance knowledge shall not exceed more than the person trains students. of an appropriate pilot, flight instructor, 25 percent of the curriculum or ground instructor certificate and requirements and must be based upon a § 141.81 Ground training. rating, without taking an FAA proficiency test or knowledge test, or (a) Except as provided in paragraph knowledge test or practical test, both, conducted by the receiving pilot (b) of this section, each instructor who provided the training course has been school; is assigned to a ground training course, approved and meets the minimum (3) The receiving school determines must hold a flight or ground instructor ground and flight training time the amount of course credit to be certificate, or a commercial pilot requirements of this part. transferred under paragraph (c)(1) or certificate with a lighter-than-air rating Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16355 with the appropriate rating for that (2) Ensuring that each certificated (3) Applying for reinstatement on a course of training. flight instructor, certificated ground form and in a manner prescribed by the (b) A person who does not meet the instructor, or commercial pilot with a Administrator. requirements of paragraph (a) of this lighter-than-air rating passes an initial section may be assigned ground training proficiency check prior to that § 141.89 Maintenance of personnel, facilities, and equipment. duties in a ground training course, if: instructor being assigned instructing (1) The chief instructor who is duties in the school’s approved training The holder of a pilot school certificate assigned to that ground training course course and thereafter that the instructor or provisional pilot school certificate finds the person qualified to give that passes a recurrent proficiency check may not provide training to a student training; and every 12 calendar months after the who is enrolled in an approved course (2) The training is given while under month in which the initial test was of training unless: the supervision of the chief instructor or accomplished; (a) Each airport, aircraft, and facility the assistant chief instructor who is (3) Ensuring that each student necessary for that training meets the present at the facility when the training accomplishes the required stage checks standards specified in the holder’s is given. and end-of-course tests in accordance approved training course outline and (c) An instructor may not be used in with the school’s approved training the appropriate requirements of this a ground training course until that course; and part; and instructor has been briefed in regard to (4) Maintaining training techniques, (b) Except as provided in § 141.87 of the objectives and standards of that procedures, and standards for the school this part, each chief instructor, assistant course by the chief instructor, assistant that are acceptable to the Administrator. chief instructor, check instructor, or chief instructor, or check instructor. (b) The chief instructor or an assistant instructor meets the qualifications § 141.83 Quality of training. chief instructor must be available at the specified in the holder’s approved pilot school or, if away from the pilot course of training and the appropriate (a) Each pilot school or provisional requirements of this part. pilot school must meet the following school, be available by telephone, radio, requirements: or other electronic means during the § 141.91 Satellite bases. (1) Comply with its approved training time that training is given for an The holder of a pilot school certificate course; and approved training course. or provisional pilot school certificate (2) Provide training of such quality (c) The chief instructor may delegate may conduct ground training or flight that meets the requirements of authority for conducting stage checks, training in an approved course of § 141.5(d) of this part. end-of-course tests, and flight instructor training at a base other than its main (b) The failure of a pilot school or proficiency checks to the assistant chief operations base if: provisional pilot school to maintain the instructor or a check instructor. (a) An assistant chief instructor is quality of training specified in paragraph (a) of this section may be the § 141.87 Change of chief instructor. designated for each satellite base, and that assistant chief instructor is basis for suspending or revoking that Whenever a pilot school or available at the satellite pilot school or, school’s certificate. provisional pilot school makes a change if away from the premises, by telephone, (c) When requested by the of designation of its chief instructor, radio, or other electronic means during Administrator, a pilot school or that school: the time that training is provided for an provisional pilot school must allow the (a) Must immediately provide the approved training course; FAA to administer any knowledge test, FAA Flight Standards District Office (b) The airport, facilities, and practical test, stage check, or end-of- that has jurisdiction over the area in personnel used at the satellite base meet course test to its students. which the school is located with written the appropriate requirements of subpart (d) When a stage check or end-of- notification of the change; B of this part and its approved training course test is administered by the FAA (b) May conduct training without a under the provisions of paragraph (c) of course outline; chief instructor for that training course (c) The instructors are under the this section, and the student has not for a period not to exceed 60 days while completed the training course, then that direct supervision of the chief instructor awaiting the designation and approval or assistant chief instructor for the test will be based on the standards of another chief instructor; prescribed in the school’s approved appropriate training course, who is (c) May, for a period not to exceed 60 readily available for consultation in training course. days, have the stage checks and end-of- (e) If the practical test or knowledge accordance with § 141.85(b) of this part; course tests administered by: test administered by the FAA under the and (1) The training course’s assistant provisions of paragraph (c) of this (d) The FAA Flight Standards District chief instructor, if one has been section is given to a student who has Office having jurisdiction over the area designated; completed the school’s training course, in which the school is located is (2) The training course’s check that test will be based upon the areas of notified in writing if training is instructor, if one has been designated; operation approved by the conducted at a base other than the (3) An FAA inspector; or Administrator. school’s main operations base for more (4) An examiner. than 7 consecutive days. § 141.85 Chief instructor responsibilities. (d) Must, after 60 days without a chief (a) Each person designated as a chief instructor, cease operations and § 141.93 Enrollment. instructor for a pilot school or surrender its certificate to the (a) The holder of a pilot school provisional pilot school shall be Administrator; and certificate or a provisional pilot school responsible for: (e) May have its certificate reinstated, certificate shall, at the time a student is (1) Certifying each student’s training upon: enrolled in an approved training course, record, graduation certificate, stage (1) Designating and approving another furnish that student with a copy of the check and end-of-course test reports, chief instructor; following: recommendation for course completion, (2) Showing it meets the requirements (1) A certificate of enrollment and application; of § 141.27(a)(2) of this part; and containing— 16356 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(i) The name of the course in which Subpart FÐRecords (c) Applicable subjects in the the student is enrolled; and ‘‘Aeronautical Information Manual’’ and the (ii) The date of that enrollment. § 141.101 Training records. appropriate FAA advisory circulars; (2) A copy of the student’s training (a) Each holder of a pilot school (d) Use of aeronautical charts for VFR syllabus. certificate or provisional pilot school navigation using pilotage with the aid of a (3) A copy of the safety procedures certificate must establish and maintain magnetic compass; a current and accurate record of the (e) Recognition of critical weather and practices developed by the school situations from the ground and in flight, that describe the use of school’s participation of each student enrolled in windshear avoidance, and the procurement facilities and the operation of its an approved course of training and use of aeronautical weather reports and aircraft. Those procedures and practices conducted by the school that includes forecasts; shall include training on at least the the following information: (f) Safe and efficient operation of aircraft, following information— (1) The date the student was enrolled including collision avoidance, and (i) The weather minimums required in the approved course; recognition and avoidance of wake by the school for dual and solo flights; (2) A chronological log of the turbulence; (ii) The procedures for starting and student’s course attendance, subjects, (g) Effects of density altitude on takeoff and taxiing aircraft on the ramp; and flight operations covered in the climb performance; (iii) Fire precautions and procedures; student’s training, and the names and (h) Weight and balance computations; grades of any tests taken by the student; (i) Principles of aerodynamics, (iv) Redispatch procedures after powerplants, and aircraft systems; unprogrammed landings, on and off and (3) The date the student graduated, (j) Stall awareness, spin entry, spins, and airports; spin recovery techniques, if applying for an (v) Aircraft discrepancies and write- terminated training, or transferred to airplane single-engine rating; offs; another school. (k) Aeronautical decision making and (vi) Securing of aircraft when not in (b) The records required to be judgment; and use; maintained in a student’s logbook will (l) Preflight action that includes— (vii) Fuel reserves necessary for local not suffice for the record required by (1) How to obtain information on runway and cross-country flights; paragraph (a) of this section. lengths at airports of intended use, data on (viii) Avoidance of other aircraft in (c) Whenever a student graduates, takeoff and landing distances, weather flight and on the ground; terminates training, or transfers to reports and forecasts, and fuel requirements; (ix) Minimum altitude limitations and another school, the student’s record and must be certified to that effect by the (2) How to plan for alternatives if the simulated emergency landing planned flight cannot be completed or delays instructions; and chief instructor. (d) The holder of a pilot school are encountered. (x) A description of and instructions 4. Flight training. (a) Each approved course regarding the use of assigned practice certificate or a provisional pilot school must include at least 30 hours of flight areas. certificate must retain each student training (of which 15 hours must be with a (b) The holder of a pilot school record required by this section for at certificated flight instructor and 3 hours must certificate or provisional pilot school least 1 year from the date that the be solo flight training) on the approved areas certificate must maintain a monthly student: of operation listed in paragraph (c) of this listing of persons enrolled in each (1) Graduates from the course to section that are appropriate to the aircraft training course offered by the school. which the record pertains; category and class rating for which the course (2) Terminates enrollment in the applies, including: § 141.95 Graduation certificate. course to which the record pertains; or (1) Except as provided in § 61.100 of this (a) The holder of a pilot school (3) Transfers to another school. chapter, 2 hours of dual flight training to and at an airport that is located more than 25 certificate or provisional pilot school (e) The holder of a pilot school certificate or a provisional pilot school nautical miles from the airport where the certificate shall issue a graduation applicant normally trains, with at least three certificate to each student who certificate must make a copy of the student’s training record available to the takeoffs and three landings; and completes its approved course of (2) 3 hours of dual flight training in an training. student upon request. aircraft that is appropriate to the aircraft (b) The graduation certificate must be Appendix A tp Part 141—Recreational Pilot category and class for which the course issued to the student upon completion Certification Course applies, in preparation for the practical test of the course of training and contain at 1. Applicability. This appendix prescribes within 60 days preceding the date of the test. least the following information: the minimum curriculum required for a (b) Each training flight must include a (1) The name of the school and the recreational pilot certification course under preflight briefing and a postflight critique of certificate number of the school; this part, for the following ratings: the student by the flight instructor assigned to that flight. (2) The name of the graduate to whom (a) Airplane single-engine. (b) Rotorcraft helicopter. (c) Flight training must include the it was issued; following approved areas of operation (3) The course of training for which it (c) Rotorcraft gyroplane. 2. Eligibility for enrollment. A person must appropriate to the aircraft category and class was issued; hold a student pilot certificate prior to rating— (4) The date of graduation; enrolling in the flight portion of the (1) For an airplane single-engine course: (i) (5) A statement that the student has recreational pilot certification course. Preflight preparation; satisfactorily completed each required 3. Aeronautical knowledge training. Each (ii) Preflight procedures; stage of the approved course of training approved course must include at least 20 (iii) Airport operations; including the tests for those stages; hours of ground training on the following (iv) Takeoffs, landings, and go-arounds; (6) A certification of the information aeronautical knowledge areas, appropriate to (v) Performance maneuvers; contained on the graduation certificate the aircraft category and class for which the (vi) Ground reference maneuvers; course applies: (vii) Navigation; by the chief instructor for that course of (a) Applicable Federal Aviation (viii) Slow flight and stalls; training; and Regulations for recreational pilot privileges, (ix) Emergency operations; and (7) A statement showing the cross- limitations, and flight operations; (x) Postflight procedures. country training that the student (b) Accident reporting requirements of the (2) For a rotorcraft helicopter course: (i) received in the course of training. National Transportation Safety Board; Preflight preparation; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16357

(ii) Preflight procedures; (1) Applicable Federal Aviation practical test within 60 days preceding the (iii) Airport and heliport operations; Regulations for private pilot privileges, date of the test. (iv) Hovering maneuvers; limitations, and flight operations; (2) For an airplane multiengine course: 20 (v) Takeoffs, landings, and go-arounds; (2) Accident reporting requirements of the hours of flight training from a certificated (vi) Performance maneuvers; National Transportation Safety Board; flight instructor on the approved areas of (vii) Navigation; (3) Applicable subjects of the operation in paragraph (d)(2) of this section (viii) Emergency operations; and ‘‘Aeronautical Information Manual’’ and the that includes at least— (ix) Postflight procedures. appropriate FAA advisory circulars; (i) Except as provided in § 61.111 of this (3) For a rotorcraft gyroplane course: (i) (4) Aeronautical charts for VFR navigation chapter, 3 hours of cross-country flight Preflight preparation; using pilotage, dead reckoning, and training in a multiengine airplane; (ii) Preflight procedures; navigation systems; (ii) 3 hours of night flight training in a (iii) Airport operations; (5) Radio communication procedures; multiengine airplane that includes— (iv) Takeoffs, landings, and go-arounds; (6) Recognition of critical weather (A) One cross-country flight of more than (v) Performance maneuvers; situations from the ground and in flight, 100-nautical-miles total distance; and (vi) Ground reference maneuvers; windshear avoidance, and the procurement (B) 10 takeoffs and 10 landings to a full (vii) Navigation; and use of aeronautical weather reports and stop (with each landing involving a flight in (viii) Flight at slow airspeeds; forecasts; the traffic pattern) at an airport. (ix) Emergency operations; and (7) Safe and efficient operation of aircraft, (iii) 3 hours of instrument training in a (x) Postflight procedures. including collision avoidance, and multiengine airplane; and 5. Solo flight training. Each approved recognition and avoidance of wake (iv) 3 hours of flight training in a course must include at least 3 hours of solo turbulence; multiengine airplane in preparation for the flight training on the approved areas of (8) Effects of density altitude on takeoff practical test within 60 days preceding the operation listed in paragraph (c) of section and climb performance; date of the test. No. 4 of this appendix that are appropriate (9) Weight and balance computations; (3) For a rotorcraft helicopter course: 20 to the aircraft category and class rating for (10) Principles of aerodynamics, hours of flight training from a certificated which the course applies. powerplants, and aircraft systems; flight instructor on the approved areas of 6. Stage checks and end-of-course tests. (a) (11) If the course of training is for an operation in paragraph (d)(3) of this section Each student enrolled in a recreational pilot airplane category or glider category rating, that includes at least— course must satisfactorily accomplish the stall awareness, spin entry, spins, and spin (i) Except as provided in § 61.111 of this stage checks and end-of-course tests, in recovery techniques; chapter, 3 hours of cross-country flight accordance with the school’s approved (12) Aeronautical decision making and training in a helicopter. training course, consisting of the approved judgment; and (ii) 3 hours of night flight training in a areas of operation listed in paragraph (c) of (13) Preflight action that includes— helicopter that includes— section No. 4 of this appendix that are (i) How to obtain information on runway (A) One cross-country flight of more than appropriate to the aircraft category and class lengths at airports of intended use, data on 50-nautical-miles total distance; and rating for which the course applies. takeoff and landing distances, weather (B) 10 takeoffs and 10 landings to a full (b) Each student must demonstrate reports and forecasts, and fuel requirements; stop (with each landing involving a flight in satisfactory proficiency prior to being and the traffic pattern) at an airport. endorsed to operate an aircraft in solo flight. (ii) How to plan for alternatives if the (iii) 3 hours of flight training in a Appendix B—Private Pilot Certification planned flight cannot be completed or delays helicopter in preparation for the practical test Course are encountered. within 60 days preceding the date of the test. 1. Applicability. This appendix prescribes 4. Flight training. (a) Each approved course (4) For a rotorcraft gyroplane course: 20 the minimum curriculum for a private pilot must include at least the following flight hours of flight training from a certificated certification course required under this part, training, as provided in this section and flight instructor on the approved areas of for the following ratings: section No. 5 of this appendix, on the operation in paragraph (d)(4) of this section (a) Airplane single-engine. approved areas of operation listed in that includes at least— (b) Airplane multiengine. paragraph (d) of this section, appropriate to (i) Except as provided in § 61.111 of this (c) Rotorcraft helicopter. the aircraft category and class rating: chapter, 3 hours of cross-country flight (d) Rotorcraft gyroplane. (1) 35 hours of training if the course is for training in a gyroplane. (e) Powered-lift. an airplane, rotorcraft, powered-lift, or (ii) 3 hours of night flight training in a (f) Glider. airship rating. gyroplane that includes— (g) Lighter-than-air airship. (2) 6 hours of training if the course is for (A) One cross-country flight over 50- (h) Lighter-than-air balloon. a glider rating. nautical-miles total distance; and 2. Eligibility for enrollment. A person must (3) 8 hours of training if the course is for (B) 10 takeoffs and 10 landings to a full hold a recreational or student pilot certificate a balloon rating. stop (with each landing involving a flight in prior to enrolling in the flight portion of the (b) Each approved course must include at the traffic pattern) at an airport. private pilot certification course. least the following flight training: (iii) 3 hours of flight training in a gyroplane 3. Aeronautical knowledge training. (1) For an airplane single-engine course: 20 in preparation for the practical test within 60 (a) Each approved course must include at hours of flight training from a certificated days preceding the date of the test. least the following ground training on the flight instructor on the approved areas of (5) For a powered-lift course: 20 hours of aeronautical knowledge areas listed in operation in paragraph (d)(1) of this section flight training from a certificated flight paragraph (b) of this section, appropriate to that includes at least— instructor on the approved areas of operation the aircraft category and class rating: (i) Except as provided in § 61.111 of this in paragraph (d)(5) of this section that (1) 35 hours of training if the course is for chapter, 3 hours of cross-country flight includes at least— an airplane, rotorcraft, or powered-lift training in a single-engine airplane; (i) Except as provided in § 61.111 of this category rating. (ii) 3 hours of night flight training in a chapter, 3 hours of cross-country flight (2) 15 hours of training if the course is for single-engine airplane that includes— training in a powered-lift; a glider category rating. (A) One cross-country flight of more than (ii) 3 hours of night flight training in a (3) 10 hours of training if the course is for 100-nautical-miles total distance; and powered-lift that includes— a lighter-than-air category with a balloon (B) 10 takeoffs and 10 landings to a full (A) One cross-country flight of more than class rating. stop (with each landing involving a flight in 100-nautical-miles total distance; and (4) 35 hours of training if the course is for the traffic pattern) at an airport. (B) 10 takeoffs and 10 landings to a full a lighter-than-air category with an airship (iii) 3 hours of instrument training in a stop (with each landing involving a flight in class rating. single-engine airplane; and the traffic pattern) at an airport. (b) Ground training must include the (iv) 3 hours of flight training in a single- (iii) 3 hours of instrument training in a following aeronautical knowledge areas: engine airplane in preparation for the powered-lift; and 16358 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(iv) 3 hours of flight training in a powered- requirements of the approved course, or of (viii) Navigation; lift in preparation for the practical test, this section, whichever is less. (ix) Slow flight and stalls; within 60 days preceding the date of the test. (4) Training in flight simulators or flight (x) Basic instrument maneuvers; (6) For a glider course: 4 hours of flight training devices described in paragraphs (xi) Emergency operations; training from a certificated flight instructor (c)(2) and (c)(3) of this section, if used in (xii) Night operations; and on the approved areas of operation in combination, may be credited for a maximum (xiii) Postflight procedures. paragraph (d)(6) of this section that includes of 15 percent of the total flight training hour (6) For a glider course: (i) Preflight at least— requirements of the approved course, or of preparation; (i) Five training flights in a glider on this section, whichever is less. However, (ii) Preflight procedures; launch/tow procedures approved for the credit for training in a flight training device (iii) Airport and gliderport operations; course and in the appropriate approved areas that meets the requirements of § 141.41(b) (iv) Launches/tows, as appropriate, and of operation listed in paragraph (d)(6) of this cannot exceed the limitation provided for in landings; section; and paragraph (c)(3) of this section. (v) Performance speeds; (ii) Three training flights in a glider in (d) Each approved course must include the (vi) Soaring techniques; preparation for the practical test within 60 flight training on the approved areas of (vii) Performance maneuvers; days preceding the date of the test. operation listed in this paragraph that are (viii) Navigation; (7) For a lighter-than-air airship course: 20 appropriate to the aircraft category and class (ix) Slow flight and stalls; hours of flight training from a commercial rating— (x) Emergency operations; and pilot with an airship rating on the approved (1) For a single-engine airplane course: (i) (xi) Postflight procedures. areas of operation in paragraph (d)(7) of this Preflight preparation; (7) For a lighter-than-air airship course: (i) section that includes at least— (ii) Preflight procedures; Preflight preparation; (i) Except as provided in § 61.111 of this (iii) Airport and seaplane base operations; (ii) Preflight procedures; chapter, 3 hours of cross-country flight (iv) Takeoffs, landings, and go-arounds; (iii) Airport operations; training in an airship; (v) Performance maneuvers; (iv) Takeoffs, landings, and go-arounds; (ii) 3 hours of night flight training in an (vi) Ground reference maneuvers; (v) Performance maneuvers; airship that includes— (vii) Navigation; (vi) Ground reference maneuvers; (A) One cross-country flight over 25- (viii) Slow flight and stalls; (vii) Navigation; nautical-miles total distance; and (ix) Basic instrument maneuvers; (viii) Emergency operations; and (B) Five takeoffs and five landings to a full (x) Emergency operations; (ix) Postflight procedures. stop (with each landing involving a flight in (xi) Night operations, and (8) For a lighter-than-air balloon course: (i) the traffic pattern) at an airport. (xii) Postflight procedures. Preflight preparation; (iii) 3 hours of instrument training in an (2) For a multiengine airplane course: (i) (ii) Preflight procedures; airship; and Preflight preparation; (iii) Airport operations; (iv) 3 hours of flight training in an airship (ii) Preflight procedures; (iv) Launches and landings; in preparation for the practical test within 60 (iii) Airport and seaplane base operations; (v) Performance maneuvers; days preceding the date of the test. (iv) Takeoffs, landings, and go-arounds; (vi) Navigation; (8) For a lighter-than-air balloon course: 8 (v) Performance maneuvers; (vii) Emergency operations; and hours of flight training, including at least five (vi) Ground reference maneuvers; (viii) Postflight procedures. flights, from a commercial pilot with a (vii) Navigation; 5. Solo flight training. Each approved balloon rating on the approved areas of (viii) Slow flight and stalls; course must include at least the following operation in paragraph (d)(8) of this section, (ix) Basic instrument maneuvers; solo flight training: that includes— (x) Emergency operations; (a) For an airplane single-engine course: 5 (i) If the training is being performed in a (xi) Multiengine operations; hours of solo flight training in a single-engine gas balloon— (xii) Night operations; and airplane on the approved areas of operation (A) Two flights of 1 hour each; (xiii) Postflight procedures. in paragraph (d)(1) of section No. 4 of this (B) One flight involving a controlled ascent (3) For a rotorcraft helicopter course: (i) appendix that includes at least— to 3,000 feet above the launch site; and Preflight preparation; (1) One solo cross-country flight of at least (C) Two flights in preparation for the (ii) Preflight procedures; 100 nautical miles with landings at a practical test within 60 days preceding the (iii) Airport and heliport operations; minimum of three points, and one segment date of the test. (iv) Hovering maneuvers; of the flight consisting of a straight-line (ii) If the training is being performed in a (v) Takeoffs, landings, and go-arounds; distance of at least 50 nautical miles between balloon with an airborne heater— (vi) Performance maneuvers; the takeoff and landing locations; and (A) Two flights of 30 minutes each; (vii) Navigation; (2) Three takeoffs and three landings to a (B) One flight involving a controlled ascent (viii) Emergency operations; full stop (with each landing involving a flight to 2,000 feet above the launch site; and (ix) Night operations; and in the traffic pattern) at an airport with an (C) Two flights in preparation for the (x) Postflight procedures. operating control tower. practical test within 60 days preceding the (4) For a rotorcraft gyroplane course: (b) For an airplane multiengine course: 5 date of the test. (i) Preflight preparation; hours of flight training in a multiengine (c) For use of flight simulators or flight (ii) Preflight procedures; airplane performing the functions of a pilot training devices: (iii) Airport operations; in command while under the supervision of (1) The course may include training in a (iv) Takeoffs, landings, and go-arounds; a certificated flight instructor. The training flight simulator or flight training device, (v) Performance maneuvers; shall consist of the approved areas of provided it is representative of the aircraft for (vi) Ground reference maneuvers; operation in paragraph (d)(2) of section No. which the course is approved, meets the (vii) Navigation; 4 of this appendix, and include at least— requirements of this paragraph, and the (viii) Flight at slow airspeeds; (1) One cross-country flight of at least 100 training is given by an instructor. (ix) Emergency operations; nautical miles with landings at a minimum (2) Training in a flight simulator that meets (x) Night operations; and of three points, and one segment of the flight the requirements of § 141.41(a) of this part (xi) Postflight procedures. consisting of a straight-line distance of at may be credited for a maximum of 15 percent (5) For a powered-lift course: (i) Preflight least 50 nautical miles between the takeoff of the total flight training hour requirements preparation; and landing locations; and of the approved course, or of this section, (ii) Preflight procedures; (2) Three takeoffs and three landings to a whichever is less. (iii) Airport and heliport operations; full stop (with each landing involving a flight (3) Training in a flight training device that (iv) Hovering maneuvers; in the traffic pattern) at an airport with an meets the requirements of § 141.41(b) of this (v) Takeoffs, landings, and go-arounds; operating control tower. part may be credited for a maximum of 7.5 (vi) Performance maneuvers; (c) For a rotorcraft helicopter course: 5 percent of the total flight training hour (vii) Ground reference maneuvers; hours of solo flight training in a helicopter Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16359 on the approved areas of operation in section No. 4 of this appendix that are which the course is approved, meets the paragraph (d)(3) of section No. 4 of this appropriate to the aircraft category and class requirements of this paragraph, and the appendix that includes at least— rating for which the course applies. training is given by an instructor. (1) One solo cross-country flight of more (b) Each student must demonstrate (2) Training in a flight simulator that meets than 50 nautical miles with landings at a satisfactory proficiency prior to being the requirements of § 141.41(a) of this part minimum of three points, and one segment endorsed to operate an aircraft in solo flight. may be credited for a maximum of 50 percent of the flight consisting of a straight-line of the total flight training hour requirements distance of at least 25 nautical miles between Appendix C to Part 141—Instrument Rating of the approved course, or of this section, the takeoff and landing locations; and Course whichever is less. (2) Three takeoffs and three landings to a 1. Applicability. This appendix prescribes (3) Training in a flight training device that full stop (with each landing involving a flight the minimum curriculum for an instrument meets the requirements of § 141.41(b) of this in the traffic pattern) at an airport with an rating course and an additional instrument part may be credited for a maximum of 25 operating control tower. rating course, required under this part, for percent of the total flight training hour (d) For a rotorcraft gyroplane course: 5 the following ratings: requirements of the approved course, or of hours of solo flight training in gyroplanes on (a) Instrument—airplane. this section, whichever is less. the approved areas of operation in paragraph (b) Instrument—helicopter. (4) Training in flight simulators or flight (d)(4) of section No. 4 of this appendix that (c) Instrument—powered-lift. training devices described in paragraphs includes at least— 2. Eligibility for enrollment. A person must (b)(2) and (b)(3) of this section, if used in (1) One solo cross-country flight of more hold at least a private pilot certificate with combination, may be credited for a maximum than 50 nautical miles with landings at a an aircraft category and class rating of 50 percent of the total flight training hour minimum of three points, and one segment appropriate to the instrument rating for requirements of the approved course, or of of the flight consisting of a straight-line which the course applies prior to enrolling in this section, whichever is less. However, distance of at least 25 nautical miles between the flight portion of the instrument rating credit for training in a flight training device the takeoff and landing locations; and course. that meets the requirements of § 141.41(b) (2) Three takeoffs and three landings to a 3. Aeronautical knowledge training. (a) cannot exceed the limitation provided for in full stop (with each landing involving a flight Each approved course must include at least paragraph (b)(3) of this section. in the traffic pattern) at an airport with an the following ground training on the (c) Each approved course must include the operating control tower. aeronautical knowledge areas listed in following flight training— (e) For a powered-lift course: 5 hours of paragraph (b) of this section appropriate to (1) For an instrument airplane course: solo flight training in a powered-lift on the the instrument rating for which the course Instrument training time from a certificated approved areas of operation in paragraph applies: flight instructor with an instrument rating on (d)(5) of section No. 4 of this appendix that (1) 30 hours of training if the course is for the approved areas of operation in paragraph includes at least— an initial instrument rating. (d) of this section including at least one (1) One solo cross-country flight of at least (2) 20 hours of training if the course is for cross-country flight that— 100 nautical miles with landings at a an additional instrument rating. (i) Is in the category and class of airplane minimum of three points, and one segment (b) Ground training must include the that the course is approved for, and is of the flight consisting of a straight-line following aeronautical knowledge areas: performed under IFR; distance of at least 50 nautical miles between (1) Applicable Federal Aviation (ii) Is a distance of at least 250 nautical the takeoff and landing locations; and Regulations for IFR flight operations; miles along airways or ATC-directed routing (2) Three takeoffs and three landings to a (2) Appropriate information in the with one segment of the flight consisting of full stop (with each landing involving a flight ‘‘Aeronautical Information Manual’’; at least a straight-line distance of 100 in the traffic pattern) at an airport with an (3) Air traffic control system and nautical miles between airports; operating control tower. procedures for instrument flight operations; (iii) Involves an instrument approach at (f) For a glider course: Two solo flights in (4) IFR navigation and approaches by use each airport; and a glider on the approved areas of operation of navigation systems; (iv) Involves three different kinds of in paragraph (d)(6) of section No. 4 of this (5) Use of IFR en route and instrument approaches with the use of navigation appendix, and the launch and tow approach procedure charts; systems. procedures appropriate for the approved (6) Procurement and use of aviation (2) For an instrument helicopter course: course. weather reports and forecasts, and the Instrument training time from a certificated (g) For a lighter-than-air airship course: 5 elements of forecasting weather trends on the flight instructor with an instrument rating on hours of flight training in an airship basis of that information and personal the approved areas of operation in paragraph performing the functions of pilot in observation of weather conditions; (d) of this section including at least one command while under the supervision of a (7) Safe and efficient operation of aircraft cross-country flight that— commercial pilot with an airship rating. The under instrument flight rules and conditions; (i) Is in a helicopter and is performed training shall consist of the approved areas (8) Recognition of critical weather under IFR; of operation in paragraph (d)(7) of section situations and windshear avoidance; (ii) Is a distance of at least 100 nautical No. 4 of this appendix. (9) Aeronautical decision making and miles along airways or ATC-directed routing (h) For a lighter-than-air balloon course: judgment; and with one segment of the flight consisting of Two solo flights in a balloon with an airborne (10) Crew resource management, to include at least a straight-line distance of 50 nautical heater if the course involves a balloon with crew communication and coordination. miles between airports; an airborne heater, or, if the course involves 4. Flight training. (a) Each approved course (iii) Involves an instrument approach at a gas balloon, at least two flights in a gas must include at least the following flight each airport; and balloon performing the functions of pilot in training on the approved areas of operation (iv) Involves three different kinds of command while under the supervision of a listed in paragraph (d) of this section, approaches with the use of navigation commercial pilot with a balloon rating. The appropriate to the instrument-aircraft systems. training shall consist of the approved areas category and class rating for which the course (3) For an instrument powered-lift course: of operation in paragraph (d)(8) of section applies: Instrument training time from a certificated No. 4 of this appendix, in the kind of balloon (1) 35 hours of instrument training if the flight instructor with an instrument rating on for which the course applies. course is for an initial instrument rating. the approved areas of operation in paragraph 6. Stage checks and end-of-course tests. (2) 15 hours of instrument training if the (d) of this section including at least one (a) Each student enrolled in a private pilot course is for an additional instrument rating. cross-country flight that— course must satisfactorily accomplish the (b) For the use of flight simulators or flight (i) Is in a powered-lift and is performed stage checks and end-of-course tests in training devices— under IFR; accordance with the school’s approved (1) The course may include training in a (ii) Is a distance of at least 250 nautical training course, consisting of the approved flight simulator or flight training device, miles along airways or ATC-directed routing areas of operation listed in paragraph (d) of provided it is representative of the aircraft for with one segment of the flight consisting of 16360 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations at least a straight-line distance of 100 (3) 20 hours of training if the course is for a total straight-line distance of more than 100 nautical miles between airports; a glider category rating. nautical miles from the original point of (iii) Involves an instrument approach at (4) 20 hours of training if the course is for departure, and occurring in night VFR each airport; and a lighter-than-air category with a balloon conditions; and (iv) Involves three different kinds of class rating. (v) 3 hours in a single-engine airplane in approaches with the use of navigation (b) Ground training must include the preparation for the practical test within 60 systems. following aeronautical knowledge areas: days preceding the date of the test. (d) Each approved course must include the (1) Federal Aviation Regulations that apply (2) For an airplane multiengine course: 55 flight training on the approved areas of to commercial pilot privileges, limitations, hours of flight training from a certificated operation listed in this paragraph appropriate and flight operations; flight instructor on the approved areas of to the instrument aircraft category and class (2) Accident reporting requirements of the rating for which the course applies: National Transportation Safety Board; operation listed in paragraph (d)(2) of this (1) Preflight preparation; (3) Basic aerodynamics and the principles section that includes at least— (2) Preflight procedures; of flight; (i) 5 hours of instrument training in a (3) Air traffic control clearances and (4) Meteorology, to include recognition of multiengine airplane; procedures; critical weather situations, windshear (ii) 10 hours of training in a multiengine (4) Flight by reference to instruments; recognition and avoidance, and the use of airplane that has retractable landing gear, (5) Navigation systems; aeronautical weather reports and forecasts; flaps, and a controllable pitch propeller, or (6) Instrument approach procedures; (5) Safe and efficient operation of aircraft; is turbine-powered; (7) Emergency operations; and (6) Weight and balance computations; (iii) One cross-country flight in a (8) Postflight procedures. (7) Use of performance charts; multiengine airplane of at least a 2-hour 5. Stage checks and end-of-course tests. (8) Significance and effects of exceeding duration, a total straight-line distance of Each student enrolled in an instrument rating aircraft performance limitations; more than 100 nautical miles from the course must satisfactorily accomplish the (9) Use of aeronautical charts and a original point of departure, and occurring in stage checks and end-of-course tests, in magnetic compass for pilotage and dead day VFR conditions; accordance with the school’s approved reckoning; (iv) One cross-country flight in a training course, consisting of the approved (10) Use of air navigation facilities; multiengine airplane of at least a 2-hour areas of operation listed in paragraph (d) of (11) Aeronautical decision making and duration, a total straight-line distance of section No. 4 of this appendix that are judgment; more than 100 nautical miles from the appropriate to the aircraft category and class (12) Principles and functions of aircraft original point of departure, and occurring in systems; rating for which the course applies. night VFR conditions; and (13) Maneuvers, procedures, and (v) 3 hours in a multiengine airplane in Appendix D to Part 141—Commercial Pilot emergency operations appropriate to the Ccrtification Course aircraft; preparation for the practical test within 60 1. Applicability. This appendix prescribes (14) Night and high-altitude operations; days preceding the date of the test. the minimum curriculum for a commercial (15) Descriptions of and procedures for (3) For a rotorcraft helicopter course: 30 pilot certification course required under this operating within the National Airspace hours of flight training from a certificated part, for the following ratings: System; and flight instructor on the approved areas of (a) Airplane single-engine. (16) Procedures for flight and ground operation listed in paragraph (d)(3) of this (b) Airplane multiengine. training for lighter-than-air ratings. section that includes at least— (c) Rotorcraft helicopter. 4. Flight training. (a) Each approved course (i) 5 hours of instrument training; (d) Rotorcraft gyroplane. must include at least the following flight (ii) One cross-country flight in a helicopter (e) Powered-lift. training, as provided in this section and of at least a 2-hour duration, a total straight- (f) Glider. section No. 5 of this appendix, on the line distance of more than 50 nautical miles (g) Lighter-than-air airship. approved areas of operation listed in from the original point of departure and (h) Lighter-than-air balloon. paragraph (d) of this section that are occurring in day VFR conditions; 2. Eligibility for enrollment. A person must appropriate to the aircraft category and class (iii) One cross-country flight in a helicopter hold the following prior to enrolling in the rating for which the course applies: of at least a 2-hour duration, a total straight- flight portion of the commercial pilot (1) 155 hours of training if the course is for line distance of more than 50 nautical miles certification course: an airplane, powered-lift, or an airship rating. from the original point of departure, and (a) At least a private pilot certificate; and (2) 115 hours of training if the course is for occurring in night VFR conditions; and (b) If the course is for a rating in an a rotorcraft rating. (iv) 3 hours in a helicopter in preparation airplane or a powered-lift category, then the (3) 6 hours of training if the course is for for the practical test within 60 days person must: a glider rating. preceding the date of the test. (1) Hold an instrument rating in the aircraft (4) 10 hours and 8 training flights if the (4) For a rotorcraft gyroplane course: 30 that is appropriate to the aircraft category course is for a balloon rating. hours of flight training from a certificated rating for which the course applies; or (b) Each approved course must include at flight instructor on the approved areas of (2) Be concurrently enrolled in an least the following flight training: operation listed in paragraph (d)(4) of this instrument rating course that is appropriate (1) For an airplane single-engine course: 55 section that includes at least— to the aircraft category rating for which the hours of flight training from a certificated (i) 5 hours of instrument training; course applies, and pass the required flight instructor on the approved areas of (ii) One cross-country flight in a gyroplane instrument rating practical test prior to operation listed in paragraph (d)(1) of this of at least a 2-hour duration, a total straight- completing the commercial pilot certification section that includes at least— course. (i) 5 hours of instrument training in a line distance of more than 50 nautical miles 3. Aeronautical knowledge training. (a) single-engine airplane; from the original point of departure, and Each approved course must include at least (ii) 10 hours of training in a single-engine occurring in day VFR conditions; the following ground training on the airplane that has retractable landing gear, (iii) One cross-country flight in a gyroplane aeronautical knowledge areas listed in flaps, and a controllable pitch propeller, or of at least a 2-hour duration, a total straight- paragraph (b) of this section, appropriate to is turbine-powered; line distance of more than 50 nautical miles the aircraft category and class rating for (iii) One cross-country flight in a single- from the original point of departure, and which the course applies: engine airplane of at least a 2-hour duration, occurring in night VFR conditions; and (1) 65 hours of training if the course is for a total straight-line distance of more than 100 (iv) 3 hours in a gyroplane in preparation an airplane category rating, powered-lift nautical miles from the original point of for the practical test within 60 days category rating, or a lighter-than-air category departure, and occurring in day VFR preceding the date of the test. with an airship class rating. conditions; (5) For a powered-lift course: 55 hours of (2) 30 hours of training if the course is for (iv) One cross-country flight in a single- flight training from a certificated flight a rotorcraft category rating. engine airplane of at least a 2-hour duration, instructor on the approved areas of operation Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16361 listed in paragraph (d)(5) of this section that (1) The course may include training in a (viii) Emergency operations; and includes at least— flight simulator or flight training device, (ix) Postflight procedures. (i) 5 hours of instrument training in a provided it is representative of the aircraft for (5) For a powered-lift course: (i) Preflight powered-lift; which the course is approved, meets the preparation; (ii) One cross-country flight in a powered- requirements of this paragraph, and is given (ii) Preflight procedures; lift of at least a 2-hour duration, a total by an instructor. (iii) Airport and heliport operations; straight-line distance of more than 100 (2) Training in a flight simulator that meets (iv) Hovering maneuvers; nautical miles from the original point of the requirements of § 141.41(a) of this part (v) Takeoffs, landings, and go-arounds; departure, and occurring in day VFR may be credited for a maximum of 20 percent (vi) Performance maneuvers; conditions; of the total flight training hour requirements (vii) Navigation; (iii) One cross-country flight in a powered- of the approved course, or of this section, (viii) Slow flight and stalls; lift of at least a 2-hour duration, a total whichever is less. (ix) Emergency operations; straight-line distance of more than 100 (3) Training in a flight training device that (x) High altitude operations; nautical miles from the original point of meets the requirements of § 141.41(b) of this (xi) Special operations; and departure, and occurring in night VFR part may be credited for a maximum of 10 (xii) Postflight procedures. conditions; and percent of the total flight training hour (6) For a glider course: (i) Preflight (iv) 3 hours in a powered-lift in requirements of the approved course, or of preparation; preparation for the practical test within 60 this section, whichever is less. (ii) Preflight procedures; days preceding the date of the test. (4) Training in the flight training devices (iii) Airport and gliderport operations; (6) For a glider course: 4 hours of flight described in paragraphs (c)(2) and (c)(3) of (iv) Launches/tows, as appropriate, and training from a certificated flight instructor this section, if used in combination, may be landings; on the approved areas of operation in credited for a maximum of 20 percent of the (v) Performance speeds; paragraph (d)(6) of this section, that includes total flight training hour requirements of the (vi) Soaring techniques; at least— approved course, or of this section, (vii) Performance maneuvers; (i) Five training flights in a glider on whichever is less. However, credit for (viii) Navigation; launch/tow procedures approved for the training in a flight training device that meets (ix) Slow flight and stalls; course and on the appropriate approved areas the requirements of § 141.41(b) cannot (x) Emergency operations; and of operation listed in paragraph (d)(6) of this exceed the limitation provided for in (xi) Postflight procedures. section; and paragraph (c)(3) of this section. (7) For a lighter-than-air airship course: (i) (ii) Three training flights in a glider in (d) Each approved course must include the Fundamentals of instructing; preparation for the practical test within the flight training on the approved areas of (ii) Technical subjects; 60 days preceding the date of the test. operation listed in this paragraph that are (iii) Preflight preparation; (7) For a lighter-than-air airship course: 55 appropriate to the aircraft category and class (iv) Preflight lessons on a maneuver to be hours of flight training in airships from a rating— performed in flight; commercial pilot with an airship rating on (1) For an airplane single-engine course: (i) (v) Preflight procedures; the approved areas of operation in paragraph (d)(7) of this section that includes at least— Preflight preparation; (vi) Airport operations; (i) 3 hours of instrument training in an (ii) Preflight procedures; (vii) Takeoffs, landings, and go-arounds; airship; (iii) Airport and seaplane base operations; (viii) Performance maneuvers; (ii) One cross-country flight in an airship (iv) Takeoffs, landings, and go-arounds; (ix) Navigation; of at least a 1-hour duration, a total straight- (v) Performance maneuvers; (x) Emergency operations; and line distance of more than 25 nautical miles (vi) Navigation; (xi) Postflight procedures. from the original point of departure, and (vii) Slow flight and stalls; (8) For a lighter-than-air balloon course: (i) occurring in day VFR conditions; and (viii) Emergency operations; Fundamentals of instructing; (iii) One cross-country flight in an airship (ix) High-altitude operations; and (ii) Technical subjects; of at least a 1-hour duration, a total straight- (x) Postflight procedures. (iii) Preflight preparation; line distance of more than 25 nautical miles (2) For an airplane multiengine course: (i) (iv) Preflight lesson on a maneuver to be from the original point of departure, and Preflight preparation; performed in flight; occurring in night VFR conditions; and (ii) Preflight procedures; (v) Preflight procedures; (iv) 3 hours in an airship, in preparation (iii) Airport and seaplane base operations; (vi) Airport operations; for the practical test within 60 days (iv) Takeoffs, landings, and go-arounds; (vii) Launches and landings; preceding the date of the test. (v) Performance maneuvers; (viii) Performance maneuvers; (8) For a lighter-than-air balloon course: (vi) Navigation; (ix) Navigation; Flight training from a commercial pilot with (vii) Slow flight and stalls; (x) Emergency operations; and a balloon rating on the approved areas of (viii) Emergency operations; (xi) Postflight procedures. operation in paragraph (d)(8) of this section (ix) Multiengine operations; 5. Solo training. Each approved course that includes at least— (x) High-altitude operations; and must include at least the following solo flight (i) If the course involves training in a gas (xi) Postflight procedures. training: balloon: (3) For a rotorcraft helicopter course: (i) (a) For an airplane single-engine course: 10 (A) Two flights of 1 hour each; Preflight preparation; hours of solo flight training in a single-engine (B) One flight involving a controlled ascent (ii) Preflight procedures; airplane on the approved areas of operation to at least 5,000 feet above the launch site; (iii) Airport and heliport operations; in paragraph (d)(1) of section No. 4 of this and (iv) Hovering maneuvers; appendix that includes at least— (C) Two flights in preparation for the (v) Takeoffs, landings, and go-arounds; (1) One cross-country flight, if the training practical test within 60 days preceding the (vi) Performance maneuvers; is being performed in the State of Hawaii, date of the test. (vii) Navigation; with landings at a minimum of three points, (ii) If the course involves training in a (viii) Emergency operations; and one of the segments consisting of a balloon with an airborne heater: (ix) Special operations; and straight-line distance of at least 150 nautical (A) Two flights of 30 minutes each; (x) Postflight procedures. miles; (B) One flight involving a controlled ascent (4) For a rotorcraft gyroplane course: (i) (2) One cross-country flight, if the training to at least 3,000 feet above the launch site; Preflight preparation; is being performed in a State other than and (ii) Preflight procedures; Hawaii, with landings at a minimum of three (C) Two flights in preparation for the (iii) Airport operations; points, and one segment of the flight practical test within 60 days preceding the (iv) Takeoffs, landings, and go-arounds; consisting of a straight-line distance of at date of the test. (v) Performance maneuvers; least 250 nautical miles; and (c) For the use of flight simulators or flight (vi) Navigation; (3) 5 hours in night VFR conditions with training devices: (vii) Flight at slow airspeeds; 10 takeoffs and 10 landings (with each 16362 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations landing involving a flight with a traffic landing involving a flight with a traffic (d) Hold either a foreign airline transport pattern) at an airport with an operating pattern) at an airport with an operating pilot license or foreign commercial pilot control tower. control tower. license and an instrument rating, if the (b) For an airplane multiengine course: 10 (f) For a glider course: 5 solo flights in a person holds a pilot license issued by a hours of flight training in a multiengine glider on the approved areas of operation in contracting State to the Convention on airplane performing the functions of pilot in paragraph (d)(6) of section No. 4 of this International Civil Aviation. command while under the supervision of a appendix. 3. Aeronautical knowledge areas. (a) Each certificated flight instructor. The training (g) For a lighter-than-air airship course: 10 approved course must include at least 40 shall consist of the approved areas of hours of flight training in an airship, while hours of ground training on the aeronautical operation in paragraph (d)(2) of section No. performing the functions of pilot in knowledge areas listed in paragraph (b) of 4 of this appendix, and include at least— command under the supervision of a this section, appropriate to the aircraft (1) One cross-country flight, if the training commercial pilot with an airship rating. The category and class rating for which the course is being performed in the State of Hawaii, training shall consist of the approved areas applies. with landings at a minimum of three points, of operation in paragraph (d)(7) of section (b) Ground training must include the and one of the segments consisting of a No. 4 of this appendix and include at least— following aeronautical knowledge areas: straight-line distance of at least 150 nautical (1) One cross-country flight with landings (1) Applicable Federal Aviation miles; at a minimum of three points, and one (2) One cross-country flight, if the training segment of the flight consisting of a straight- Regulations of this chapter that relate to is being performed in a State other than line distance of at least 25 nautical miles airline transport pilot privileges, limitations, Hawaii, with landings at a minimum of three from the original point of departure; and and flight operations; points and one segment of the flight (2) 5 hours in night VFR conditions with (2) Meteorology, including knowledge of consisting of straight-line distance of at least 10 takeoffs and 10 landings (with each and effects of fronts, frontal characteristics, 250 nautical miles; and landing involving a flight with a traffic cloud formations, icing, and upper-air data; (3) 5 hours in night VFR conditions with pattern). (3) General system of weather and NOTAM 10 takeoffs and 10 landings (with each (h) For a lighter-than-air balloon course: collection, dissemination, interpretation, and landing involving a flight with a traffic Two solo flights if the course is for a hot air use; pattern) at an airport with an operating balloon rating, or, if the course is for a gas (4) Interpretation and use of weather control tower. balloon rating, at least two flights in a gas charts, maps, forecasts, sequence reports, (c) For a rotorcraft helicopter course: 10 balloon, while performing the duties of pilot abbreviations, symbols; hours of solo flight training in a helicopter in command under the supervision of a (5) National Weather Service functions as on the approved areas of operation in commercial pilot with a balloon rating. The they pertain to operations in the National paragraph (d)(3) of section No. 4 of this training shall consist of the approved areas Airspace System; appendix that includes at least— of operation in paragraph (d)(8) of section (6) Windshear and microburst awareness, (1) One cross-country flight with landings No. 4 of this appendix, in the kind of balloon identification, and avoidance; at a minimum of three points and one for which the course applies. (7) Principles of air navigation under segment of the flight consisting of a straight- 6. Stage checks and end-of-course tests. (a) instrument meteorological conditions in the line distance of at least 50 nautical miles Each student enrolled in a commercial pilot National Airspace System; from the original point of departure; and course must satisfactorily accomplish the (8) Air traffic control procedures and pilot (2) 5 hours in night VFR conditions with stage checks and end-of-course tests, in responsibilities as they relate to en route 10 takeoffs and 10 landings (with each accordance with the school’s approved operations, terminal area and radar landing involving a flight with a traffic training course, consisting of the approved operations, and instrument departure and pattern) at an airport with an operating areas of operation listed in paragraph (d) of approach procedures; control tower. section No. 4 of this appendix that are (9) Aircraft loading; weight and balance; (d) For a rotorcraft-gyroplane course: 10 appropriate to aircraft category and class use of charts, graphs, tables, formulas, and hours of solo flight training in a gyroplane on rating for which the course applies. computations; and the effects on aircraft the approved areas of operation in paragraph (b) Each student must demonstrate performance; (d)(4) of section No. 4 of this appendix that satisfactory proficiency prior to being (10) Aerodynamics relating to an aircraft’s includes at least— endorsed to operate an aircraft in solo flight. flight characteristics and performance in (1) One cross-country flight with landings normal and abnormal flight regimes; at a minimum of three points, and one Appendix E to Part 141—Airline Transport (11) Human factors; segment of the flight consisting of a straight- Pilot Certification Course (12) Aeronautical decision making and line distance of at least 50 nautical miles 1. Applicability. This appendix prescribes judgment; and from the original point of departure; and the minimum curriculum for a airline (13) Crew resource management to include (2) 5 hours in night VFR conditions with transport pilot certification course under this 10 takeoffs and 10 landings (with each part, for the following ratings: crew communication and coordination. landing involving a flight with a traffic (a) Airplane single-engine. 4. Flight training. (a) Each approved course pattern) at an airport with an operating (b) Airplane multiengine. must include at least 25 hours of flight control tower. (c) Rotorcraft helicopter. training on the approved areas of operation (e) For a powered-lift course: 10 hours of (d) Powered-lift. listed in paragraph (c) of this section solo flight training in a powered-lift on the 2. Eligibility for enrollment. Prior to appropriate to the aircraft category and class approved areas of operation in paragraph enrolling in the flight portion of the airline rating for which the course applies. At least (d)(5) of section No. 4 of this appendix that transport pilot certification course, a person 15 hours of this flight training must be includes at least— must: instrument flight training; and (1) One cross-country flight, if the training (a) Meet the aeronautical experience (b) For the use of flight simulators or flight is being performed in the State of Hawaii, requirements prescribed in subpart G of part training devices— with landings at a minimum of three points, 61 of this chapter for an airline transport (1) The course may include training in a and one segment of the flight consisting of a pilot certificate that is appropriate to the flight simulator or flight training device, straight-line distance of at least 150 nautical aircraft category and class rating for which provided it is representative of the aircraft for miles; the course applies; which the course is approved, meets the (2) One cross-country flight, if the training (b) Hold at least a commercial pilot requirements of this paragraph, and the is being performed in a State other than certificate and an instrument rating; training is given by an instructor. Hawaii, with landings at a minimum of three (c) Meet the military experience (2) Training in a flight simulator that meets points, and one segment of the flight requirements under § 61.73 of this chapter to the requirements of § 141.41(a) of this part consisting of a straight-line distance of at qualify for a commercial pilot certificate and may be credited for a maximum of 50 percent least 250 nautical miles; and an instrument rating, if the person is a rated of the total flight training hour requirements (3) 5 hours in night VFR conditions with military pilot or former rated military pilot of of the approved course, or of this section, 10 takeoffs and 10 landings (with each an Armed Force of the United States; or whichever is less. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16363

(3) Training in a flight training device that aeronautical knowledge areas listed in operation listed in this paragraph that are meets the requirements of § 141.41(b) of this paragraph (b) of this section: appropriate to the aircraft category and class part may be credited for a maximum of 25 (1) 40 hours of training if the course is for rating for which the course applies— percent of the total flight training hour an initial issuance of a flight instructor (1) For an airplane—single-engine course: requirements of the approved course, or of certificate; or (i) Fundamentals of instructing; this section, whichever is less. (2) 20 hours of training if the course is for (ii) Technical subject areas; (4) Training in flight simulators or flight an additional flight instructor rating. (iii) Preflight preparation; training devices described in paragraphs (b) Ground training must include the (iv) Preflight lesson on a maneuver to be (b)(2) and (b)(3) of this section, if used in following aeronautical knowledge areas: performed in flight; combination, may be credited for a maximum (1) The fundamentals of instructing (v) Preflight procedures; of 50 percent of the total flight training hour including— (vi) Airport and seaplane base operations; requirements of the approved course, or of (i) The learning process; (vii) Takeoffs, landings, and go-arounds; this section, whichever is less. However, (ii) Elements of effective teaching; (viii) Fundamentals of flight; credit for training in a flight training device (iii) Student evaluation and testing; (ix) Performance maneuvers; that meets the requirements of § 141.41(b) (iv) Course development; (x) Ground reference maneuvers; cannot exceed the limitation provided for in (v) Lesson planning; and (xi) Slow flight, stalls, and spins; paragraph (b)(3) of the section. (vi) Classroom training techniques. (xii) Basic instrument maneuvers; (c) Each approved course must include (2) The aeronautical knowledge areas in (xiii) Emergency operations; and flight training on the approved areas of which training is required for— (xiv) Postflight procedures. operation listed in this paragraph appropriate (i) A recreational, private, and commercial (2) For an airplane—multiengine course: (i) to the aircraft category and class rating for pilot certificate that is appropriate to the Fundamentals of instructing; which the course applies: aircraft category and class rating for which (ii) Technical subject areas; (1) Preflight preparation; the course applies; and (iii) Preflight preparation; (2) Preflight procedures; (ii) An instrument rating that is appropriate (iv) Preflight lesson on a maneuver to be (3) Takeoff and departure phase; to the aircraft category and class rating for performed in flight; which the course applies, if the course is for (4) In-flight maneuvers; (v) Preflight procedures; an airplane or powered-lift aircraft rating. (5) Instrument procedures; (vi) Airport and seaplane base operations; (c) A student who satisfactorily completes (6) Landings and approaches to landings; (vii) Takeoffs, landings, and go-arounds; 2 years of study on the principles of (7) Normal and abnormal procedures; (viii) Fundamentals of flight; education at a college or university may be (ix) Performance maneuvers; (8) Emergency procedures; and credited with no more than 20 hours of the (x) Ground reference maneuvers; (9) Postflight procedures. training required in paragraph (a)(1) of this (xi) Slow flight and stalls; 5. Stage checks and end-of-course tests. (a) section. (xii) Basic instrument maneuvers; Each student enrolled in an airline transport 4. Flight training. (a) Each approved course (xiii) Emergency operations; pilot course must satisfactorily accomplish must include at least the following flight (xiv) Multiengine operations; and the stage checks and end-of-course tests, in training on the approved areas of operation accordance with the school’s approved of paragraph (c) of this section appropriate to (xv) Postflight procedures. training course, consisting of the approved the flight instructor rating for which the (3) For a rotorcraft—helicopter course: (i) areas of operation listed in paragraph (c) of course applies: Fundamentals of instructing; section No. 4 of this appendix that are (1) 25 hours, if the course is for an (ii) Technical subject areas; appropriate to the aircraft category and class airplane, rotorcraft, or powered-lift rating; (iii) Preflight preparation; rating for which the course applies. and (iv) Preflight lesson on a maneuver to be (b) Each student must demonstrate (2) 10 hours and 10 flights, if the course performed in flight; satisfactory proficiency prior to being is for a glider category rating. (v) Preflight procedures; endorsed to operate an aircraft in solo flight. (b) For the use of flight simulators or flight (vi) Airport and heliport operations; training devices: (vii) Hovering maneuvers; Appendix F to Part 141—Floght Instructor (viii) Takeoffs, landings, and go-arounds; Certification Course (1) The course may include training in a flight simulator or flight training device, (ix) Fundamentals of flight; 1. Applicability. This appendix prescribes provided it is representative of the aircraft for (x) Performance maneuvers; the minimum curriculum for a flight which the course is approved, meets the (xi) Emergency operations; instructor certification course and an requirements of this paragraph, and the (xii) Special operations; and additional flight instructor rating course training is given by an instructor. (xiii) Postflight procedures. required under this part, for the following (2) Training in a flight simulator that meets (4) For a rotorcraft—gyroplane course: (i) ratings: the requirements of § 141.41(a) of this part, Fundamentals of instructing; (a) Airplane single-engine. may be credited for a maximum of 10 percent (ii) Technical subject areas; (b) Airplane multiengine. of the total flight training hour requirements (iii) Preflight preparation; (c) Rotorcraft helicopter. of the approved course, or of this section, (iv) Preflight lesson on a maneuver to be (d) Rotorcraft gyroplane. whichever is less. performed in flight; (e) Powered-lift. (3) Training in a flight training device that (v) Preflight procedures; (f) Glider category. meets the requirements of § 141.41(b) of this (vi) Airport operations; 2. Eligibility for enrollment. A person must part, may be credited for a maximum of 5 (vii) Takeoffs, landings, and go-arounds; hold the following prior to enrolling in the percent of the total flight training hour (viii) Fundamentals of flight; flight portion of the flight instructor or requirements of the approved course, or of (ix) Performance maneuvers; additional flight instructor rating course: this section, whichever is less. (x) Flight at slow airspeeds; (a) A commercial pilot certificate or an (4) Training in flight simulators or flight (xi) Ground reference maneuvers; airline transport pilot certificate, with an training devices described in paragraphs (xii) Emergency operations; and aircraft category and class rating appropriate (b)(2) and (b)(3) of this section, if used in (xiii) Postflight procedures. to the flight instructor rating for which the combination, may be credited for a maximum (5) For a powered-lift course: (i) course applies; and of 10 percent of the total flight training hour Fundamentals of instructing; (b) An instrument rating or privilege in an requirements of the approved course, or of (ii) Technical subject areas; aircraft that is appropriate to the aircraft this section, whichever is less. However, (iii) Preflight preparation; category and class rating for which the course credit for training in a flight training device (iv) Preflight lesson on a maneuver to be applies, if the course is for a flight instructor that meets the requirements of § 141.41(b) performed in flight; airplane or powered-lift instrument rating. cannot exceed the limitation provided for in (v) Preflight procedures; 3. Aeronautical knowledge training. (a) paragraph (b)(3) of this section. (vi) Airport and heliport operations; Each approved course must include at least (c) Each approved course must include (vii) Hovering maneuvers; the following ground training in the flight training on the approved areas of (viii) Takeoffs, landings, and go-arounds; 16364 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(ix) Fundamentals of flight; helicopter-, or powered-lift-instrument (6) Flight by reference to instruments; (x) Performance maneuvers; rating, as appropriate) for which the course (7) Navigation systems; (xi) Ground reference maneuvers; applies. (8) Instrument approach procedures; (xii) Slow flight and stalls; 3. Aeronautical knowledge training. (a) (9) Emergency operations; and (xiii) Basic instrument maneuvers; Each approved course must include at least (10) Postflight procedures. (xiv) Emergency operations; 15 hours of ground training on the 5. Stage checks and end-of-course tests. (xv) Special operations; and aeronautical knowledge areas listed in Each student enrolled in a flight instructor (xvi) Postflight procedures. paragraph (b) of this section, appropriate to instrument course must satisfactorily the flight instructor instrument rating (for an (6) For a glider course: (i) Fundamentals of accomplish the stage checks and end-of- airplane-, helicopter-, or powered-lift- instructing; course tests, in accordance with the school’s (ii) Technical subject areas; instrument rating, as appropriate) for which approved training course, consisting of the (iii) Preflight preparation; the course applies: approved areas of operation listed in (iv) Preflight lesson on a maneuver to be (b) Ground training must include the paragraph (c) of section No. 4 of this performed in flight; following aeronautical knowledge areas: appendix that are appropriate to the flight (v) Preflight procedures; (1) The fundamentals of instructing (vi) Airport and gliderport operations; including: instructor instrument rating (for an airplane- (vii) Launches, landings, and go-arounds; (i) Learning process; , helicopter-, or powered-lift-instrument (viii) Fundamentals of flight; (ii) Elements of effective teaching; rating, as appropriate) for which the course (ix) Performance speeds; (iii) Student evaluation and testing; applies. (x) Soaring techniques; (iv) Course development; (v) Lesson planning; and Appendix H to Part 141—Ground Instructor (xi) Performance maneuvers; Certification Course (xii) Slow flight, stalls, and spins; (vi) Classroom training techniques. (xiii) Emergency operations; and (2) The aeronautical knowledge areas in 1. Applicability. This appendix prescribes (xiv) Postflight procedures. which training is required for an instrument the minimum curriculum for a ground 5. Stage checks and end-of-course tests. (a) rating that is appropriate to the aircraft instructor certification course and an category and class rating for the course which Each student enrolled in a flight instructor additional ground instructor rating course, applies. course must satisfactorily accomplish the required under this part, for the following 4. Flight training. (a) Each approved course stage checks and end-of-course tests, in ratings: must include at least 15 hours of flight accordance with the school’s approved (a) Ground Instructor—Basic. training in the approved areas of operation of (b) Ground Instructor—Advanced. training course, consisting of the appropriate paragraph (c) of this section appropriate to (c) Ground Instructor—Instrument. approved areas of operation listed in the flight instructor rating for which the 2. Aeronautical knowledge training. (a) paragraph (c) of section No. 4 of this course applies. appendix appropriate to the flight instructor (b) For the use of flight simulators or flight Each approved course must include at least rating for which the course applies. training devices: the following ground training on the (b) In the case of a student who is enrolled (1) The course may include training in a knowledge areas listed in paragraphs (b), (c), in a flight instructor-airplane rating or flight flight simulator or flight training device, (d), and (e) of this section, appropriate to the instructor-glider rating course, that student provided it is representative of the aircraft for ground instructor rating for which the course must have: which the course is approved for, meets applies: (1) Received a logbook endorsement from requirements of this paragraph, and the (1) 20 hours of training if the course is for a certificated flight instructor certifying the training is given by an instructor. an initial issuance of a ground instructor student received ground and flight training (2) Training in a flight simulator that meets certificate; or on stall awareness, spin entry, spins, and the requirements of § 141.41(a) of this part, (2) 10 hours of training if the course is for spin recovery procedures in an aircraft that may be credited for a maximum of 10 percent an additional ground instructor rating. is certificated for spins and is appropriate to of the total flight training hour requirements (b) Ground training must include the the rating sought; and of the approved course, or of this section, following aeronautical knowledge areas: (2) Demonstrated instructional proficiency whichever is less. (1) Learning process; in stall awareness, spin entry, spins, and spin (3) Training in a flight training device that (2) Elements of effective teaching; recovery procedures. meets the requirements of § 141.41(b) of this (3) Student evaluation and testing; Appendix G to Part 141—Flight Instructor part, may be credited for a maximum of 5 (4) Course development; Instrument (For an Airplane, Helicopter, or percent of the total flight training hour (5) Lesson planning; and Powered-Lift Instrument Instructor Rating, requirements of the approved course, or of (6) Classroom training techniques. ae Appropriate) Certification Course this section, whichever is less. (c) Ground training for a basic ground (4) Training in flight simulators or flight instructor certificate must include the 1. Applicability. This appendix prescribes training devices described in paragraphs aeronautical knowledge areas applicable to a the minimum curriculum for a flight (b)(2) and (b)(3) of this section, if used in instructor instrument certification course recreational and private pilot. combination, may be credited for a maximum (d) Ground training for an advanced required under this part, for the following of 10 percent of the total flight training hour ratings: ground instructor rating must include the requirements of the approved course, or of aeronautical knowledge areas applicable to a (a) Flight Instructor Instrument—Airplane. this section, whichever is less. However, recreational, private, commercial, and airline (b) Flight Instructor Instrument— credit for training in a flight training device transport pilot. Helicopter. that meets the requirements of § 141.41(b) (e) Ground training for an instrument (c) Flight Instructor Instrument—Powered- cannot exceed the limitation provided for in lift aircraft. paragraph (b)(3) of this section. ground instructor rating must include the 2. Eligibility for enrollment. A person must (c) An approved course for the flight aeronautical knowledge areas applicable to hold the following prior to enrolling in the instructor-instrument rating must include an instrument rating. flight portion of the flight instructor flight training on the following approved (f) A student who satisfactorily completed instrument course: areas of operation that are appropriate to the 2 years of study on the principles of (a) A commercial pilot certificate or airline instrument-aircraft category and class rating education at a college or university may be transport pilot certificate with an aircraft for which the course applies: credited with 10 hours of the training category and class rating appropriate to the (1) Fundamentals of instructing; required in paragraph (a)(1) of this section. flight instructor category and class rating for (2) Technical subject areas; 3. Stage checks and end-of-course tests. which the course applies; and (3) Preflight preparation; Each student enrolled in a ground instructor (b) An instrument rating or privilege on (4) Preflight lesson on a maneuver to be course must satisfactorily accomplish the that flight instructor applicant’s pilot performed in flight; stage checks and end-of-course tests, in certificate that is appropriate to the flight (5) Air traffic control clearances and accordance with the school’s approved instructor instrument rating (for an airplane, procedures; training course, consisting of the approved Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16365 knowledge areas in paragraph (b), (c), (d), 5. Stage checks and end-of-course tests. (a) (6) Location of and purpose of inspecting and (e) of section No. 2 of this appendix Each student enrolled in an additional each item on the aircraft’s checklist that appropriate to the ground instructor rating aircraft category rating course or an relate to the exterior and interior preflight; for which the course applies. additional aircraft class rating course must and satisfactorily accomplish the stage checks (7) Use of the aircraft’s prestart checklist, Appendix I to Part 141—Additional Aircraft and end-of-course tests, in accordance with Category or Class Rating Course appropriate control system checks, starting the school’s approved training course, procedures, radio and electronic equipment 1. Applicability. This appendix prescribes consisting of the approved areas of operation checks, and the selection of proper the minimum curriculum for an additional in section No. 4 of this appendix that are navigation and communication radio aircraft category rating course or an appropriate to the aircraft category and class facilities and frequencies. additional aircraft class rating course rating for which the course applies at the 4. Flight training. (a) Each approved course required under this part, for the following appropriate pilot certificate level. ratings: (b) Each student must demonstrate must include at least: (a) Airplane single-engine. satisfactory proficiency prior to being (1) Flight training on the approved areas of (b) Airplane multiengine. endorsed to operate an aircraft in solo flight. operation of paragraph (c) of this section in the aircraft type for which the course applies; (c) Rotorcraft helicopter. Appendix J to Part 141—Aircraft Type (d) Rotorcraft gyroplane. and Rating Course, For Other Than an Airline (2) 10 hours of training of which at least (e) Powered-lift. Transport Pilot Certificate (f) Glider. 5 hours must be instrument training in the (g) Lighter-than-air airship. 1. Applicability. This appendix prescribes aircraft for which the course applies. (h) Lighter-than-air balloon. the minimum curriculum for an aircraft type (b) For the use of flight simulators or flight 2. Eligibility for enrollment. A person must rating course other than an airline transport training devices: hold the level of pilot certificate for the pilot certificate, for: (1) The course may include training in a additional aircraft category and class rating (a) A type rating in an airplane category— flight simulator or flight training device, for which the course applies prior to single-engine class. provided it is representative of the aircraft for enrolling in the flight portion of an (b) A type rating in an airplane category— which the course is approved, meets additional aircraft category or additional multiengine class. requirements of this paragraph, and the aircraft class rating course. (c) A type rating in a rotorcraft category— training is given by an instructor. helicopter class. 3. Aeronautical knowledge training. Each (2) Training in a flight simulator that meets (d) A type rating in a powered-lift category. approved course for an additional aircraft the requirements of § 141.41(a) of this part, (e) Other aircraft type ratings specified by category rating and additional aircraft class may be credited for a maximum of 50 percent the Administrator through the aircraft type rating must include the total number of hours certificate procedures. of the total flight training hour requirements of training in all the aeronautical knowledge 2. Eligibility for enrollment. Prior to of the approved course, or of this section, areas appropriate to the aircraft rating and enrolling in the flight portion of an aircraft whichever is less. pilot certificate level for which the course type rating course, a person must hold at (3) Training in a flight training device that applies. least a private pilot certificate and: meets the requirements of § 141.41(b) of this 4. Flight training. (a) Each approved course (a) An instrument rating in the category part, may be credited for a maximum of 25 for an additional aircraft category rating or and class of aircraft that is appropriate to the percent of the total flight training hour additional aircraft class must include the aircraft type rating for which the course requirements of the approved course, or of total number of hours of flight training on all applies, provided the aircraft’s type this section, whichever is less. of the approved areas of operation of this certificate does not have a VFR limitation; or (4) Training in the flight simulators or paragraph appropriate to the aircraft rating (b) Be concurrently enrolled in an flight training devices described in and pilot certificate level for which the instrument rating course in the category and paragraphs (b)(2) and (b)(3) of this section, if course applies. class of aircraft that is appropriate to the used in combination, may be credited for a (b) For the use of flight simulators or flight aircraft type rating for which the course maximum of 50 percent of the total flight training devices: applies, and pass the required instrument training hour requirements of the approved (1) The course may include training in a rating practical test concurrently with the course, or of this section, whichever is less. flight simulator or flight training device, aircraft type rating practical test. However, credit training in a flight training provided it is representative of the aircraft for 3. Aeronautical knowledge training. (a) device that meets the requirements of which the course is approved, meets the Each approved course must include at least § 141.41(b) cannot exceed the limitation requirements of this paragraph, and the 10 hours of ground training on the provided for in paragraph (b)(3) of this training is given by an instructor. aeronautical knowledge areas listed in section. (2) Training in a flight simulator that meets paragraph (b) of this section, appropriate to (c) Each approved course must include the the requirements of § 141.41(a) of this part the aircraft type rating for which the course flight training on the areas of operation listed may be credited for a maximum of 10 percent applies. of the total flight training hour requirements in this paragraph, that are appropriate to the (b) Ground training must include the aircraft category and class rating for which of the approved course, or of this section, following aeronautical areas: whichever is less. the course applies: (1) Proper control of airspeed, (1) A type rating for an airplane—single- (3) Training in a flight training device that configuration, direction, altitude, and engine course: (i) Preflight preparation; meets the requirements of § 141.41(b) of this attitude in accordance with procedures and (ii) Preflight procedures; part may be credited for a maximum of 5 limitations contained in the aircraft’s flight (iii) Takeoff and departure phase; percent of the total flight training hour manual, checklists, or other approved requirements of the approved course, or of material appropriate to the aircraft type; (iv) In-flight maneuvers; this section, whichever is less. (2) Compliance with approved en route, (v) Instrument procedures; (4) Training in the flight simulators or instrument approach, missed approach, ATC, (vi) Landings and approaches to landings; flight training devices described in or other applicable procedures that apply to (vii) Normal and abnormal procedures; paragraphs (b)(2) and (b)(3) of this section, if the aircraft type; (viii) Emergency procedures; and used in combination, may be credited for a (3) Subjects requiring a practical (ix) Postflight procedures. maximum of 10 percent of the total flight knowledge of the aircraft type and its (2) A type rating for an airplane— training hour requirements of the approved powerplant, systems, components, multiengine course: (i) Preflight preparation; course, or of this section, whichever is less. operational, and performance factors; (ii) Preflight procedures; However, credit for training in a flight (4) The aircraft’s normal, abnormal, and (iii) Takeoff and departure phase; training device that meets the requirements emergency procedures, and the operations (iv) In-flight maneuvers; of § 141.41(b) cannot exceed the limitation and limitations relating thereto; (v) Instrument procedures; provided for in paragraph (c)(3) of this (5) Appropriate provisions of the approved (vi) Landings and approaches to landings; section. aircraft’s flight manual; (vii) Normal and abnormal procedures; 16366 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(viii) Emergency procedures; and 4. Use of flight simulators or flight training (2) Safe piloting operating practices and (ix) Postflight procedures. devices. (a) The approved special preparation procedures for performing aircraft (3) A type rating for a powered-lift course: course may include training in a flight maintenance, quality assurance, and (i) Preflight preparation; simulator or flight training device, provided certification test flight operations; (ii) Preflight procedures; it is representative of the aircraft for which (3) Applicable parts of this chapter that (iii) Takeoff and departure phase; the course is approved, meets requirements pertain to aircraft maintenance, quality (iv) In-flight maneuvers; of this paragraph, and the training is given assurance, and certification tests; and (v) Instrument procedures; by an instructor. (4) Test pilot duties and responsibilities. (vi) Landings and approaches to landings; (b) Training in a flight simulator that meets (b) 15 hours of flight training on test pilot (vii) Normal and abnormal procedures; the requirements of § 141.41(a) of this part, duties and responsibilities. (viii) Emergency procedures; and may be credited for a maximum of 10 percent 9. Special operations course. An approved (ix) Postflight procedures. of the total flight training hour requirements special preparation course for pilots in (4) A type rating for a rotorcraft— of the approved course, or of this section, special operations that are mission-specific helicopter course: (i) Preflight preparation; whichever is less. for certain aircraft must include at least the (ii) Preflight procedures; (c) Training in a flight training device that following— (iii) Takeoff and departure phase; meets the requirements of § 141.41(b) of this (a) Aeronautical knowledge training on: (iv) In-flight maneuvers; part, may be credited for a maximum of 5 (1) Performing that special flight operation; (v) Instrument procedures; percent of the total flight training hour (2) Safe piloting operating practices and (vi) Landings and approaches to landings; requirements of the approved course, or of procedures for performing that special flight (vii) Normal and abnormal procedures; this section, whichever is less. operation; (viii) Emergency procedures; and (d) Training in the flight simulators or (3) Applicable parts of this chapter that (ix) Postflight procedures. flight training devices described in pertain to that special flight operation; and (5) Other aircraft type ratings specified by paragraphs (b) and (c) of this section, if used (4) Pilot in command duties and the Administrator through aircraft type in combination, may be credited for a responsibilities for performing that special certificate procedures: (i) Preflight maximum of 10 percent of the total flight flight operation. preparation; training hour requirements of the approved (b) Flight training: (1) On that special flight operation; and (ii) Preflight procedures; course, or of this section, whichever is less. (2) To develop skills, competency, (iii) Takeoff and departure phase; However, credit for training in a flight proficiency, resourcefulness, self-confidence, (iv) In-flight maneuvers; training device that meets the requirements and self-reliance in the student for (v) Instrument procedures; of § 141.41(b) cannot exceed the limitation provided for in paragraph (c) of this section. performing that special flight operation in a (vi) Landings and approaches to landings; safe manner. 5. Stage check and end-of-course tests. (vii) Normal and abnormal procedures; 10. Pilot refresher course. An approved Each person enrolled in a special preparation (viii) Emergency procedures; and special preparation pilot refresher course for course must satisfactorily accomplish the (ix) Postflight procedures. a pilot certificate, aircraft category and class stage checks and end-of-course tests, in 5. Stage checks and end-of-course tests. (a) rating, or an instrument rating must include accordance with the school’s approved Each student enrolled in an aircraft type at least the following— rating course must satisfactorily accomplish training course, consisting of the approved (a) 4 hours of aeronautical knowledge the stage checks and end-of-course tests, in areas of operation that are appropriate to the training on: accordance with the school’s approved operating privileges or authorization sought, (1) The aeronautical knowledge areas that training course, consisting of the approved and for which the course applies. are applicable to the level of pilot certificate, areas of operation that are appropriate to the 6. Agricultural aircraft operations course. aircraft category and class rating, or aircraft type rating for which the course An approved special preparation course for instrument rating, as appropriate, that pertain applies at the airline transport pilot pilots in agricultural aircraft operations must to that course; certificate level; and include at least the following— (2) Safe piloting operating practices and (b) Each student must demonstrate (a) 25 hours of training on: procedures; and satisfactory proficiency prior to being (1) Agricultural aircraft operations; (3) Applicable provisions of parts 61 and endorsed to operate an aircraft in solo flight. (2) Safe piloting operating practices and 91 of this chapter for pilots. procedures for handling, dispensing, and (b) 6 hours of flight training on the Appendix K to Part 141—Special disposing agricultural and industrial Preparation Courses approved areas of operation that are chemicals, including operating in and around applicable to the level of pilot certificate, 1. Applicability. This appendix prescribes congested areas; and aircraft category and class rating, or the minimum curriculum for the special (3) Applicable provisions of part 137 of instrument rating, as appropriate, for preparation courses that are listed in § 141.11 this chapter. performing pilot-in-command duties and of this part. (b) 15 hours of flight training on responsibilities. 2. Eligibility for enrollment. Prior to agricultural aircraft operations. 11. Flight instructor refresher course. An enrolling in the flight portion of a special 7. Rotorcraft external-load operations approved special preparation flight instructor preparation course, a person must hold a course. An approved special preparation refresher course must include at least a pilot certificate, flight instructor certificate, course for pilots of external-load operations combined total of 16 hours of aeronautical or ground instructor certificate that is must include at least the following— knowledge training, flight training, or any appropriate for the exercise of the operating (a) 10 hours of training on: combination of ground and flight training on privileges or authorizations sought. (1) Rotorcraft external-load operations; the following— 3. General requirements. (a) To be (2) Safe piloting operating practices and (a) Aeronautical knowledge training on: approved, a special preparation course must: procedures for external-load operations, (1) The aeronautical knowledge areas of (1) Meet the appropriate requirements of including operating in and around congested part 61 of this chapter that apply to student, this appendix; and areas; and recreational, private, and commercial pilot (2) Prepare the graduate with the necessary (3) Applicable provisions of part 133 of certificates and instrument ratings; skills, competency, and proficiency to this chapter. (2) The aeronautical knowledge areas of exercise safely the privileges of the (b) 15 hours of flight training on external- part 61 of this chapter that apply to flight certificate, rating, or authorization for which load operations. instructor certificates; the course is established. 8. Test pilot course. An approved special (3) Safe piloting operating practices and (b) An approved special preparation course preparation course for pilots in test pilot procedures, including airport operations and must include ground and flight training on duties must include at least the following— operating in the National Airspace System; the operating privileges or authorization (a) Aeronautical knowledge training on: and sought, for developing competency, (1) Performing aircraft maintenance, (4) Applicable provisions of parts 61 and proficiency, resourcefulness, self-confidence, quality assurance, and certification test flight 91 of this chapter that apply to pilots and and self-reliance in the student. operations; flight instructors. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16367

(b) Flight training to review: (d) Applicable provisions of parts 61 and (b) An adequate number of total (1) The approved areas of operations 91 of this chapter that apply to pilots and aeronautical knowledge training hours applicable to student, recreational, private, ground instructors. appropriate to the aircraft rating and pilot certificate level for which the course applies. and commercial pilot certificates and Appendix L to Part 141—Pilot Ground 4. Stage checks and end-of-course tests. instrument ratings; and School Course (2) The skills, competency, and proficiency Each person enrolled in a pilot ground school 1. Applicability. This appendix prescribes course must satisfactorily accomplish the for performing flight instructor duties and the minimum curriculum for a pilot ground stage checks and end-of-course tests, in responsibilities. school course required under this part. accordance with the school’s approved 12. Ground instructor refresher course. An 2. General requirements. An approved training course, consisting of the approved approved special preparation ground course of training for a pilot ground school areas of operation that are appropriate to the instructor refresher course must include at must include training on the aeronautical operating privileges or authorization that least 16 hours of aeronautical knowledge knowledge areas that are: graduation from the course will permit and training on: (a) Needed to safely exercise the privileges for which the course applies. (a) The aeronautical knowledge areas of of the certificate, rating, or authority for part 61 of this chapter that apply to student, which the course is established; and PART 143ÐGROUND INSTRUCTORS recreational, private, and commercial pilots (b) Conducted to develop competency, [REMOVED AND RESERVED] and instrument rated pilots; proficiency, resourcefulness, self-confidence, and self-reliance in each student. 5. Part 143 is removed and reserved. (b) The aeronautical knowledge areas of 3. Aeronautical knowledge training Issued in Washington, D.C., on March 19, part 61 of this chapter that apply to ground requirements. Each approved pilot ground 1997. instructors; school course must include: Barry L. Valentine, (c) Safe piloting operating practices and (a) The aeronautical knowledge training procedures, including airport operations and that is appropriate to the aircraft rating and Acting Administrator. operating in the National Airspace System; pilot certificate level for which the course [FR Doc. 97–7450 Filed 3–27–97; 11:28 am] and applies; and BILLING CODE 4910±13±P federal register April 4,1997 Friday Motor CarrierSafetyRegulations;Rule Regulatory GuidancefortheFederal 49 CFRChapterIII Federal HighwayAdministration Transportation Department of Part III 16369 16370 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

DEPARTMENT OF TRANSPORTATION 20590. Office hours are from 7:45 a.m. § 393.75, question 5 of § 393.100, and to 4:15 p.m., e.t., Monday through question 1 of § 393.106 have been Federal Highway Administration Friday, except Federal legal holidays. amended for clarity. Guidance for SUPPLEMENTARY INFORMATION: This question 1 under § 393.95 has been 49 CFR Chapter III document is an update of the notice of incorporated into the regulations (58 FR regulatory guidance for the FMCSRs 34708) and is therefore removed from Regulatory Guidance for the Federal issued by the FHWA November 17, 1993 this document. Guidance for § 395.1 has Motor Carrier Safety Regulations (58 FR 60734). This notice contains been reordered to consecutively follow AGENCY: Federal Highway previously issued, revised, and new the paragraphs within the section. Administration (FHWA), DOT. regulatory guidance pertaining to Title Question 15 under § 395.2 was ACTION: Regulatory guidance. 49, Code of Federal Regulations (CFR), expanded by guidance issued June 11, Parts 40, 325, 382, 383, 384, 386, 387, 1995. Question 20 under § 395.2 has SUMMARY: This document presents 390 to 393, 395 to 397, and 399 of the been revised to reflect an interpretation interpretive guidance material for the FMCSRs. In some instances, old previously issued August 15, 1991, Federal Motor Carrier Safety regulatory guidance has been removed. treating the same issue in a more Regulations (FMCSRs) now contained in The information published in this explicit manner. Question 1 under the FHWA’s Motor Carrier Regulation document supersedes all previously § 397.1 has been changed to more Information System (MCREGIS). The issued interpretations and regulatory accurately explain who must comply FHWA has consolidated previously guidance, to the extent they are with part 397. The 1994 Regulatory issued interpretations and regulatory inconsistent with the guidance Guidance booklet, which reprinted the guidance materials and developed published today, including that interpretations issued in the Federal concise interpretive guidance in published on November 23, 1977, at 42 Register in 1993, is available in the question and answer form for each part FR 60078, and on July 10, 1980, at 45 public docket on this rulemaking for of the FMCSRs. These questions and FR 46425. To the maximum extent reference answers are generally applicable to possible, all valid prior opinions have The FHWA issued an advance notice drivers, commercial motor vehicles, and been incorporated into this document. motor carrier operations on a national of proposed rulemaking on November 5, This notice is consistent with the Small 1996 (61 FR 57252) concerning the basis. All prior interpretations and Business Regulatory Enforcement hours of service regulations (49 CFR regulatory guidance of the FMCSRs Fairness Act of 1996 (Pub. L. 104–121, part 395). On page 57258 of the notice, issued previously in the Federal March 29, 1996). Register, as well as FHWA memoranda The FHWA issued a final rule on the FHWA erroneously indicated that an and letters, may no longer be relied March 8, 1996, which codified most of interpretation which allowed CMVs to upon as authoritative insofar as they are the regulatory guidance for CDL waivers be driven from motels to restaurants in inconsistent with the guidance under § 383.3 (61 FR 9546). Guidance the vicinity as ‘‘off-duty time’’ had published today. Many of the concerning CDL waivers had been recently been rescinded. The FHWA interpretations of the FMCSRs issued under § 383.7. From the 1993 intended to rescind recent published on November 23, 1977, and Regulatory Guidance notice for § 383.7, interpretations that describe conditions the interpretations of the Inspection, only questions 7(a), 8, 9, 10, 16, 17, 21, under which a CMV may be used as a Repair, and Maintenance regulations and 22 still remain. These questions and ‘‘personal conveyance’’ (issued August published on July 10, 1980, have been guidance are now listed as guidance for 10, 1995), and address the entire issue revised. These revisions are reflected in § 383.3, where the CDL waivers have of personal conveyance through notice the new questions and answers. This been codified. and comment rulemaking. Question 8 document also includes regulatory Guidance for question 3 under § 383.5 under § 395.2 has been expanded by guidance issued since November 17, has been changed to reflect a more guidance issued November 18, 1996, 1993, when the agency last published a expansive version of the same guidance and placed more appropriately under collection of such guidance. Future in existence prior to the November 1993 § 395.8 (see § 395.8, question 27). All regulatory guidance will be issued Notice. Guidance for question 2 under prior interpretations of personal within the MCREGIS which will be kept § 383.93, as it appeared in the 1993 conveyance are invalid. current in the FHWA’s Office of Motor notice, has been revised to clarify the Since 1993, new interpretive guidance Carrier Standards. The MCREGIS will be existing guidance. Guidance for has been issued for, or existing guidance updated periodically and published in question 1 under § 390.31 has been has been removed from, the following the Federal Register so that interested expanded to include guidance derived sections: parties may have ready reference to from a Final Order issued by the official interpretations and guidance Department (58 FR 62467). Guidance for 49 CFR Part 40 §§ 40.3, 40.21, 40.23, regarding the FMCSRs. This guidance question 1 of § 391.1 has been changed 40.25, 40.29, 40.31, 40.33, 40.35, will provide the motor carrier industry to remove a reference to part 391 40.39, 40.69, 40.81, 40.93, Special with a clearer understanding of the subpart H. Guidance for question 6 Topics—Requirements for Random applicability of many of the under § 391.11 has been moved to Testing, Special Topics— requirements contained in the FMCSRs § 392.9. Guidance for question 2 under Procedures for Handling and in particular situations. § 391.27 has been removed: violations of Processing a Split Specimen EFFECTIVE DATE: May 4, 1997. size and weight laws are not considered 49 CFR Part 382 §§ 382.103, 382.105, FOR FURTHER INFORMATION CONTACT: Mr. violations of motor vehicle traffic laws. 382.107, 382.109, 382.113, 382.115, Neill L. Thomas or Mr. Nathan C. Root, Question 1 for § 391.41 has been 382.204, 382.205, 382.213, 382.301, Office of Motor Carrier Standards, (202) changed for clarity. Guidance for 382.303, 382.305, 382.307, 382.401, 366–1790, or Mr. Charles E. Medalen, question 1 under § 391.43 has been 382.403, 382.405, 382.413, 382.501, Office of the Chief Counsel, (202) 366– expanded for greater clarity. Guidance 382.507, 382.601, 382.603, 382.605, 1354, Federal Highway Administration, for § 392.62 has been moved to § 391.41. Subpart B—Prohibitions, Special Department of Transportation, 400 Guidance for question 1 of § 393.51, Topics—Responsibility for Payment Seventh Street, SW., Washington, DC question 1 of § 393.65, question 1 of for Testing, Special Topics— Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16371

Multiple Service Providers, Special Specific questions addressing any of the Part 325—Compliance With Interstate Motor Topics—Medical Examiners Acting interpretive material published in this Carrier Noise Emission Standards as MRO, Special Topics—Biennial document may be directed to the Part 382—Controlled Substances and Alcohol (Periodic) Testing Requirements contact persons listed above, the FHWA Use and Testing Part 383—Commercial Driver’s License 49 CFR Part 383 §§ 383.3, 383.5, 383.7, Regional Offices, or the FHWA Division Standards; Requirements and Penalties 383.31, 383.71, 383.73, 383.91, Office in each State. Part 384—State Compliance With 383.93, Special Topics— For ease of reference, the following Commercial Driver’s License Program International listing of acronyms used throughout this Part 386—Rules of Practice for Motor Carrier 49 CFR Part 384 §§ 384.209, 384.211 document is provided: Safety and Hazardous Materials 49 CFR Part 387 §§ 387.9, 387.15, 387.39 Proceedings 49 CFR Part 390 §§ 390.3, 390.5, 390.15, Appendix G—The Minimum Periodic Part 387—Minimum Levels of Financial Special Topics—Serious Pattern of Inspection Standards published as an Responsibility for Motor Carriers appendix to the Federal Motor Carrier Violations Part 390—Federal Motor Carrier Safety Safety Regulations Regulations; General 49 CFR Part 391 §§ 391.1, 391.11, BAT—Breath Alcohol Technician Part 391—Qualifications of Drivers 391.27, 391.41, 391.43, 391.49, CDL—Commercial Driver’s License Part 392—Driving of Motor Vehicles 391.51, 391.63 CDLIS—Commercial Driver’s License Part 393—Parts and Accessories Necessary 49 CFR Part 392 §§ 392.5, 392.9, 392.62 Information System for Safe Operation 49 CFR Part 393 §§ 393.11, 393.42, CFR—Code of Federal Regulations Part 395—Hours of Service of Drivers 393.48, 393.51, 393.65, 393.75, CMV—Commercial Motor Vehicle Part 396—Inspection, Repair and 393.89, 393.95, 393.100, 393.106, CMVSA—Commercial Motor Vehicle Safety Maintenance 393.201 Act of 1986 Part 397—Transportation of Hazardous COE—Cab-over-engine truck tractor 49 CFR Part 395 §§ 395.1, 395.2, 395.8, Materials; Driving and Parking Rules C/TPA—Consortium or Third-Party Part 399—Employee Safety and Health 395.13, 395.15 Administrator Standards 49 CFR Part 396 §§ 396.11, 396.17, CVSA—Commercial Vehicle Safety Alliance 396.23 DHHS–SAMHSA—Department of Health and Regulatory Guidance Additional guidance will continue to Human Services, Substance Abuse Part 40ÐProcedures for Transportation be published in future issues of the Mental Health Services Administration Workplace Drug and Alcohol Testing Federal Register. The FHWA will be DOT—U.S. Department of Transportation Programs DVIR—Driver Vehicle Inspection Report modifying or removing numerous DWI—Driving While Intoxicated Sections Interpreted regulations as part of President Clinton’s EAP—Employee Assistance Program 40.3 Definitions Regulatory Reform Initiative. Many of EPA—U.S. Environmental Protection Agency 40.21 The Drugs these changes will have an impact on FHWA—Federal Highway Administration 40.23 Preparation for testing the regulatory guidance in this FMCSRs—Federal Motor Carrier Safety 40.25 Specimen collection procedures document. These changes will be Regulations 40.29 Laboratory analysis procedures reflected in future issues of the Federal FMVSS—Federal Motor Vehicle Safety 40.31 Quality assurance and quality control Register. Members of the motor carrier Standards (developed and issued by the 40.33 Reporting and review of results 40.35 Protection of employee records industry and other interested parties National Highway Traffic Safety Administration) 40.39 Use Of DHHS-certified laboratories may access the guidance in this FR—Federal Register 40.69 Inability to provide an adequate document through the FHWA’s FRSI—Farm-Related Service Industries amount of breath Electronic Bulletin Board System GCWR—Gross Combination Weight Rating 40.81 Availability and disclosure of alcohol (FEBBS) using a microcomputer and GVW—Gross Vehicle Weight testing information about individual modem. The FEBBS is a read-only GVWR—Gross Vehicle Weight Rating employees facility. Access numbers for FEBBS are HM—Hazardous Materials 40.93 The screening test technician (202) 366–3764 for the Washington, DC HMRs—Hazardous Materials Regulations Special Topics—Requirements for random area, or toll-free at (800) 337–3492. The HMTUSA—Hazardous Materials testing Special Topics—Procedures for Handling and system supports a variety of modem Transportation Uniform Safety Act of 1990 Processing a Split Specimen speeds up to 14,400 baud line speeds, ICC—Interstate Commerce Commission and a variety of terminal types and Forms MCS–90 and MCS–90B— Section 40.3 Definitions protocols. Modems should be set to 8 Endorsements for Motor Carrier Policies Question 1: May a Doctor of data bits, full duplex, and no parity for of Insurance for Public Liability Under Chiropractic, holding a Certified optimal performance. Once a Sections 29 and 30 of the Motor Carrier Addiction Professional degree, serve as connection has been established, new Act of 1980 issued by an insurer an MRO? users will have to go through a MCSA—Motor Carrier Safety Act of 1984 Guidance: A Doctor of Chiropractic, registration process. Instructions are MPH—Miles Per Hour holding a Certified Addiction given on the screen. FEBBS is mostly MRO—Medical Review Officer NDR—National Driver Register Professional degree, is not considered to menu-drive and hot keys are indicated NHTSA—National Highway Traffic Safety be a licensed medical doctor or doctor with ‘‘< >’’ enclosing the hot key. After Administration within DOT of osteopathy and, therefore, cannot logging on to FEBBS and arriving at the RDMC—Regional Director of Motor Carriers serve as an MRO. MAIN MENU, select for SAP—Substance Abuse Professional Question 2: What are the Conference; then for Motor Carrier; SSN—Social Security Number qualifications and responsibilities of the then either again for MCREGIS STAA—Surface Transportation Assistance MRO? Are MROs required to be Questions and Answers, or for Act of 1982 certified? Information (more detailed help). STT—Screening Test Technician Guidance: Section 40.3 defines the For Technical Assistance to gain U.S.C.—United States Code qualifications for an MRO and § 40.33 access to FEBBS, contact: FHWA Table of Contents specifies the MRO’s responsibilities. An Computer Help Desk, HMS–40, room Part 40—Procedures for Transportation MRO is defined as a licensed physician 4401, 400 Seventh Street, SW, Workplace Drug and Alcohol Testing (medical doctor or doctor of osteopathy) Washington, DC 20590 (202) 366–1120. Programs responsible for receiving laboratory 16372 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations results generated by an employer’s drug supervisor in the hope of preventing results directly to the actual employer as testing program who has knowledge of future mistakes. soon as the results are available * ** substance abuse disorders and has results may be maintained afterwards by Section 40.23 Preparation for Testing appropriate medical training to interpret the C/TPA * * * while there is no and evaluate an individual’s confirmed Question 1: On the testing of a split objection to the MRO or BAT positive test result together with his or specimen, is it necessary to maintain transmitting results simultaneously both her medical history and any other anonymity of a person, at the laboratory to the employer and to the C/TPA, it is relevant biomedical information. An level, when both the primary laboratory not appropriate for the MRO or BAT to MRO is responsible for reviewing and and the laboratory testing the split may send the results only to the C/TPA, interpreting confirmed positive test have fees and could directly bill the which subsequently retransmits them to results obtained through the employer’s employee? the employer.’’ testing program. The DOT does not Guidance: Section 40.23(a) addresses A laboratory, regardless of what type require any certification of MROs at the mandatory use of the Federal Drug of arrangement it has with the employer, present time. However, there are several Testing Custody and Control Form in is prohibited from receiving the national professional organizations DOT urine collection and testing. This employer’s copy of the Breath Alcohol which provide MRO certification. paragraph states, in part, that ‘‘* ** Testing Form together with the Federal personal identifying information on the Drug Testing Custody and Control Section 40.21 The Drugs donor (other than the social security Form(s) which accompany the urine Question 1: Is testing for additional number or other employee ID number) specimen. The breath testing form drugs authorized? Must a separate may not be provided to the laboratory.’’ contains individual identifying specimen be obtained? If circumstances arise in which the information. The DOT rule specifically MRO orders a test of the split specimen, Guidance: Under part 40, an employer states that this information may not be at the request of the employee, no must test for the following drugs: provided to a laboratory. additional identifying information on marijuana, cocaine, amphetamines, However, a laboratory functioning as the employee may be provided to the opiates, and phencyclidine. An a C/TPA may receive the employer’s laboratory that will be testing the split employer may not test for any other copies of the Federal Drug Testing specimen. As directed by § 40.33(f), substances under DOT authority. Part 40 Custody and Control Form and the ‘‘* * * The MRO shall direct, in does not, however, prohibit an employer employer’s copy of the Breath Alcohol writing, the laboratory to provide the from testing for other controlled Testing Form from the collection site split specimen to another DHHS- substances as long as that testing is under the following conditions: certified laboratory for analysis.’’ This done under the authority of the a. The employer’s copy of the Federal request would reference only items Drug Testing Custody and Control Form employer. contained on the face of the Drug Employers in the transportation (Copy 7) must not be included with the Testing Custody and Control Form (e.g., laboratory copies (Copies 1 and 2) industry who establish a drug testing Specimen Identification No., SSN or program that tests beyond the five drugs which accompany the urine specimen. Employee ID No., Collection Date, etc.); b. The employer’s copies of the currently required by part 40 must also the MRO would not specify the Federal Drug Testing Custody and make clear to their employees what employee’s name. Should a personal Control Form and the Breath Alcohol testing is required by DOT authority and check (bearing the employee’s name) Testing Forms must not be received by what testing is required by the accompany the request (e.g., a letter the accession/receiving (testing) section company. Additionally, employers must from the MRO), the MRO should not of the laboratory. ensure that DOT urine specimens are make any particular reference linking These procedures should prevent that collected in accordance with the the split request with the person signing portion of the laboratory which provisions outlined in part 40 and that the check. In actuality, the primary conducts the drug analysis from having a separate specimen collection process laboratory will most likely bill the access to the identity (from the alcohol including a separate act of urination is employer for the cost of sending the testing form) of the donor. used to obtain specimens for company split specimen to the split laboratory; The DOT rule requires the BAT testing programs. the split laboratory will normally immediately to transmit the results to Question 2: Should labs conduct tests require a cashier’s check, money order, the employer, regardless of what for five (5) drugs even if the drug testing or an account to be set up (generally by procedures have been established for custody and control form fails to the employer) prior to initiating providing to the employer or the C/TPA, indicate what tests are to be performed? processing. the employer’s copy of the breath testing Guidance: Part 40 indicates that DOT Question 2: In a case where an form. agency drug testing programs require employee is providing a urine specimen In all instances, it is the employer (not that employers test for marijuana, and a breath test is conducted at the the C/TPA) who designates in writing to cocaine, opiates, amphetamines, and same time, may a laboratory receive the BAT or the BAT’s company, who the phencyclidine (§ 40.21). All DOT both the Federal Drug Testing Custody employer’s agent is and the procedures specimens, therefore, must be tested for and Control Form (with the specimens that the employer wants the BAT to use the above five categories of drugs even for testing) and the employer’s copy of for transmission of data and forms. if the accompanying drug testing the Breath Alcohol Testing Form (with Question 3: Is a specific MRO name custody and control form fails to the test results) from the collection site? required in Step 1 on the Federal Drug indicate this. Guidance: The DOT provided Testing Custody and Control Form, or While the DOT does not view this clarification in its Guidance on the Role may a clinic, hospital, health care type of collection site error as a fatal of Consortia and Third-Party organization, or MRO company name flaw, it nevertheless jeopardizes the Administrators in DOT Drug and appear in the MRO Name and Address integrity of the entire collection process Alcohol Testing Programs published on area? and could lead to a challenge and July 25, 1995 in the Federal Register Guidance: The DOT has determined subsequent third party review. These which stated in part ‘‘* * * MROs and that a specific physician’s name and errors should be addressed with the site BATs must send final individual test address is required in Step 1 of the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16373

Federal Drug Testing Custody and be used to take DOT-required custody and control form to be sent Control Form as opposed to only a administrative actions? directly from the collection site to the generic clinic, health care organization, Guidance: The collection of blood for laboratory, and the MRO (Part 4) copy or company name. The name should be alcohol or drug testing under DOT of the custody and control form to be that of a responsible physician rather authority is not authorized. Therefore, sent directly to the physician. There is than an administrative staff member or while a company, under its own no need to maintain a chain of custody other company official. However, a authority, may require a blood specimen tracking the handling of the sealed company name may appear as part of to be collected and tested for drugs and/ shipping container. In fact, the August the address, provided it is followed by or alcohol under certain circumstances, 19, 1994 Federal Register (59 FR 42996) or includes the MRO’s name. Collection it is not acceptable for the company- expressly notes this fact in changes to sites send copies of the MRO’s custody required blood specimen to be § 40.25 to clarify this point. and control form to this address, and supported by the same custody and Question 9: Should a specimen be drug testing laboratories use it to submit control form that accompanies a DOT- rejected by a lab if the donor-identifying laboratory results to the MRO. The use required urine specimen. information is erroneously provided? of the MRO name will preclude If a urine specimen for a DOT Guidance: The intent of the DOT potential compromises of reasonable suspicion test is rejected for procedures is to limit the amount of confidentiality. In many cases, where testing at the laboratory, results from a personal identifying information that is only the name of a clinic, hospital or blood specimen collected in accordance recorded on the specimen bottle and company appears on the mailing with a company policy could be used to those copies of the drug testing custody address, the laboratory results are sent take action against an employee and control form that accompany the to the clinic or hospital and are either depending upon the drug testing policy specimen bottle to the laboratory. The circulated through numerous established by that company. Under no rule only requires that a donor initial departments or, in some cases, never circumstances, however, may the results the specimen bottle label/seal and reach the MRO. of the blood test be used to take provide an SSN or employee The physician named in Step 1 may administrative or disciplinary action identification number to be recorded on be the MRO who will actually perform against an employee using DOT the laboratory copies of the drug testing the verification review or the name of a authority, for the reasons cited above. custody and control form. The rule does Question 7: Is the collector required to not allow for additional personal physician within the practice sign or initial the shipping container information to be provided to the (company), but not necessarily the one label? laboratory. In fact, the intent was to who will actually perform the Guidance: Sections 40.23(c) and prevent the donor’s identity from being verification (in those cases where there 40.25(h) describe the requirements for routinely disclosed to the laboratory. is more than one MRO working in that packaging the specimen and custody It was never intended, however, that office or company). and control form in preparation for the inadvertent or erroneous disclosure Question 4: Is the collector’s signature shipment to the laboratory. Section of the donor’s identity (i.e., name or required on the chain of custody section 40.23(c) states that the shipping signature) on the specimen bottle or of drug testing custody and control container must be sealed and initialed laboratory copies of the drug testing form? to prevent undetected tampering. custody and control form be a Guidance: The collector’s signature is Section 40.25(h) states that the justification, in and of itself, for a required in both the ‘‘received by’’ and collection site person shall sign and laboratory to reject the specimen for the ‘‘released by’’ spaces in Step 6 of the enter the date specimens were sealed in testing or for an MRO to invalidate the drug testing custody and control form. the shipping containers for shipment. test results. Furthermore, all Part 40 Appendix A specifies that the The DOT has determined that initialing accessioning procedures at laboratories form shall provide both ‘‘received by’’ and dating the seal by the collection site certified by the DHHS–SAMHSA and ‘‘released by’’ entries of the person is sufficient to meet the intent of requires that specimens be identified by collector’s signature and printed names the regulation. specimen identification number, donor (see the instructions on the back of Question 8: How and to whom are identification number, and laboratory Appendix A, copy 7, Step 6. Combining copies of drug testing custody and accession number only. Even though these entries is not authorized by the control forms distributed? laboratory accessioning personnel may rule. Guidance: The historically acceptable have access to a donor’s name in these Question 5: May the drug testing procedures for handling the custody and cases, the analytical personnel will not. custody and control form be used for control form have been as follows: Parts Therefore, the donor’s identity is still non-DOT tests? 1, 2, and 3 must accompany the urine protected during the actual testing Guidance: Employee drug testing specimen in a sealed shipping container process. conducted under local, State, or private to the laboratory; Part 3 (Split Question 10: Must the collector authority must not be represented to the Specimen) must be retained by the provide a real name on the collector employee as being Federally mandated laboratory in case the split specimen certification section of drug testing or required. The use of the custody and must be sent to a second laboratory; Part custody and control form? control form required under 49 CFR part 4 must be sent from the collection site Guidance: The intent of the DOT drug 40 conveys that the testing is being directly to the physician (MRO); Part 5 testing custody and control form is to conducted in accordance with is given to the donor at the collection provide complete documentation of the applicable Federal regulations. A ‘‘look- site; Part 6 is retained by the collection specimen collection process including alike’’ form that deletes references to site personnel; and Part 7 is provided to the name of the collector and the DOT, Part 40, and Federal requirements the employer representative. It is location of the collection site. The may be used for non-DOT testing. unacceptable for the MRO copy of the collection site person who receives the Question 6: Is collection of blood form to accompany the urine specimen urine specimen from the donor should authorized? May blood specimens be to the laboratory. Clearly the intent of be identified by name on the block supported by the drug testing custody the regulation is for the urine specimen specifying ‘‘collector’s name.’’ Use of a and control form? May blood test results and Parts 1, 2, and 3 of the Federal ‘‘code name,’’ collector I.D. number, or 16374 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations other substitution for the collector’s would authorize the collection site provide a specimen has the same name is not acceptable. The collector’s person to do the observed collection(s), sanctions under the DOT rule as a name should be the same as that as applicable. Directly observed positive test. appearing on the identification each collections are always performed by a Once it has been determined that the collector is required to make available to collector of the same gender as the employee has violated a DOT rule (e.g., the donor, if so requested. employee. verified positive test, refusal), the Question 2: In a ‘‘shy bladder’’ employee must be immediately removed Section 40.25 Specimen Collection situation, if the physician conducting from performing any safety-sensitive Procedures the medical examination is not the duties. The employee may not again Question 1: Under what MRO, may that physician report his/her perform safety-sensitive duties until he circumstances must an employee be conclusions directly to the employer? or she has met the conditions of the observed while submitting a urine Also, if a company has a corporate or applicable operating administration sample? Under what circumstances is contract physician, may that physician (e.g., Federal Highway Administration) observation an optional choice of the perform the examination? rule for return to duty. The DOT rule employer? Guidance: The rule does not preclude does not address employer policies on Guidance: A direct-observation the MRO from performing this medical subsequent personnel actions. collection is mandatory only when the evaluation if the MRO has the expertise Question 4: In a ‘‘shy bladder’’ collection site person observes behavior and is willing to conduct this scenario, does DOT consider a clearly indicating an attempt to tamper evaluation. The DOT’s requirement that company’s ordering the donor back to or when the specimen temperature is the MRO review the results of the work prior to completion of the time outside the normal range and an oral medical evaluation is related to the fact and fluid intake period an obstruction of body temperature reading is refused or that the MRO may have additional the collection process? Or, is the donor’s is inconsistent with the specimen information on the circumstances failure to complete the collection, after temperature. surrounding the attempt to provide the having been compelled by the employer The collection site person would urine specimen, other pertinent to leave the collection site, considered contact a higher-level supervisor, or a information regarding the collection a refusal to test if no medical reason is designated employer representative, to process, problems or lack of problems provided for donor’s failure to provide relay the circumstances which require during previous collections, etc. the required amount of urine? the observed collection. The supervisor All reporting to the employer Guidance: A company’s ordering the or representative would review the regarding the final determination on the employee to return to work prior to the circumstances for compliance with Part results of a urine specimen is expiration of the time period, with no 40 requirements, and finding such, accomplished by the MRO. This provisions for personal observation or would approve in advance the decision includes the findings and conclusions of for ensuring the employee’s return to to do the observed collection. The the medical examination. the collection site, appears to be in clear collection site person—of the same If a company has a physician on the violation of DOT rules. The employer is gender as the employee—would staff or has a contract physician, this not authorized to discontinue a test or immediately conduct the observed individual may perform the medical to conduct a subsequent collection at a collection. examination if he/she has the required later time in lieu of a current collection. The employer has the discretion to expertise. The company should ensure The employer could order the employee require the employee to provide a that the MRO is informed of this back to work while waiting for the specimen under direct-observation arrangement and makes the referral to three-hour period to elapse, but the collection procedures for the return-to- that particular physician. However, the employer must ensure that the duty test and any subsequent follow-up requirement still exists to submit the employee drinks the prescribed amount tests. The employer also has the findings of the evaluation to the MRO, of liquids, is under observation during authority to require an employee to who then reports his/her conclusions to the entire period of time, and returns to provide a specimen under direct- the employer. A company may also the collection site prior to the expiration observation procedures when the designate its staff physician or contract of the three hours. specific gravity and creatinine content physician as the MRO if that individual It should be noted that because the of the employee’s previous sample are meets the regulatory criteria. donor was not afforded the full time below the regulatory standards. In the Question 3: In a ‘‘shy bladder’’ period during which to provide a latter case, the MRO would receive the scenario, may an employer require an specimen, the donor’s inability to test results from the laboratory (i.e., individual to provide a specimen within provide the required amount of urine positive, negative, or in the case where three hours, and if the individual does not constitute a refusal to test but no immunoassay result is reported) doesn’t provide a specimen, is the is the result of employer hindrance with along with information that the inability considered to be a refusal? the collection process. The MRO should specimen had a specific gravity of less Guidance: The individual must advise the employer of its violation of than 1.003 and creatinine concentration provide the specimen within three 49 CFR part 40 and propose corrective less than 0.2g/L. The MRO would hours. The inability to provide does not action accordingly (i.e., establish correct inform the employer of the laboratory automatically mean that the individual policy). In addition, the MRO may findings. The employer would make the being tested will be deemed to have report the violation to the appropriate decision to do a direct-observation refused testing. The required medical DOT operating administration or may collection on the employee on the next evaluation would produce the request that the DOT Drug Enforcement DOT test that the employee is required information which the MRO will use to and Program Compliance office report to take. draw final conclusions. If the finding by the matter. The company is required to It would be the employer’s the MRO is that there was no legitimate maintain, in accordance with the responsibility to notify the employee of medical reason for the individual’s appropriate governing regulation, a the decision to exercise the option to do inability to provide the sufficient record of this ‘‘test’’ for review by a DOT the collection(s) under the direct- quantity of urine, then this finding operating administration in the event of observation procedure. The employer constitutes a refusal. A refusal to an audit. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16375

Question 5: Is a current and valid problems or other shortfalls in its Question 7: May donors be required to picture/photo identification required policy/program. remove all clothing, wear a hospital before a urine collection takes place or Question 6: May a urine specimen gown, or empty pockets? may a physical description verification collection site be constructed to have Guidance: The DOT’s procedures for transportation workplace drug testing by telephone by an employer two or more collectors or must each programs contained in § 40.25(f)(4) representative suffice? collection ‘‘station’’ be physically states: ‘‘The collection site person shall Guidance: The rule does not address separated by a barrier or wall to ensure ask the individual to remove any if the photo identification is current nor modesty and privacy of the donor? does it prohibit telephonic verification unnecessary outer garments such as a of identity. The intent of the rule was Guidance: In specifying privacy and coat or jacket that might conceal items that if the employee did not have proper security of the collection site, the DOT or substances that could be used to identification, an employer’s was concerned that the act of urination tamper with or adulterate the representative would be on site to by a donor would have maximum individual’s urine specimen. The identify that employee. There is no privacy under most circumstances and collection site person shall ensure that requirement that the representative sign that the specimen sample would be all personal belongings such as a purse any type of form, although procedures under sufficient security to prevent any or briefcase remain with the outer should be established to ensure the true allegation of tampering. Additionally, garments. The individual may retain his identity of the representative. the regulatory requirement exists that or her wallet.’’ (Emphasis added.) If telephonic identification is used, the collection site person have only one While it is clear that the rule does specific procedures should be in place donor under his/her supervision at any allow for collectors to request that to ensure that the employer one time. In other words, one collection donors remove unnecessary outer garments in order to ensure the integrity representative is fully identified to the site person may not process the of the collection, the rule does not collection site person and that paperwork or collect a specimen from authorize collectors to require or request reasonable procedures exist to ensure more than one donor at a time. There that donors remove other garments as that the employer’s representative can are collection sites, particularly at well, e.g. shirts, blouses, pants, or skirts, truly identify the employee. If the health clinics, that may have ‘‘stations’’ thereby ensuring a modicum of privacy employee’s identification cannot be or booths which are partially partitioned and reducing potential embarrassment. established to the satisfaction of the from each other or from the rest of the Additionally, donors may not be collection site person (or based on the clinic. The collection site person required or requested to wear hospital collection site protocol for usually gathers relevant information from the donor at the booth, completes or examination gowns when providing a identification), the collection should not specimen. be completed. Additionally, any the necessary paperwork, and escorts the donor to a toilet area where the There is an exception to the above. identification procedure allowed under The DOT has determined that if a urine specific DOT operating administration’s donor can provide a specimen in privacy. specimen is being collected as part of a rules is also permissible. DOT-required physical examination Exception: If the donor is self- The rule does not permit (i.e., § 391.43 Medical examination; employed and has no photo unauthorized personnel in any part of certificate of physical examination) in identification, the collector should the designated collection site where which an individual is required to notify the collection site supervisor and urine specimens are collected or stored. disrobe and wear a hospital or record in the remarks section that In the multiple booth situation, another examination gown, the collection may positive identification is not available. collection site person would not be be completed with the donor so attired. The donor must be asked to provide two considered an unauthorized person. It should also be noted that if a items of identification bearing his/her However, when other donors are present collection site person, during the course signature. Proceed with the collection. in a waiting area or another donor is of a collection procedure, notices an When the donor signs the certification being processed by another collection unusual indicator that an individual statement, compare the donor’s site person, the integrity of the may attempt to tamper with or signature with signatures on the specimen must be ensured. During the adulterate a specimen as evidenced by identification presented. If the collection process, the collection site a bulging or overstuffed pocket for signatures appear consistent, continue person must ensure that the specimen is example, the collector may request that the collection process. If the signature under his or her direct control from the the donor empty his or her pockets, does not match signatures on the time the specimen is provided by the display the items, and explain the need identification presented, make an donor to the time it is sealed in the for them during the collection. This additional note in remarks section mailer. Additionally, regardless of the procedure may be done only when there stating that ‘‘signature identification is physical configuration of the collection is a suspicion that an individual may be unconfirmed’’ and continue the site, there is the expectation that the about to tamper with or adulterate a collection process. donor will have some semblance of specimen. Otherwise, requiring donors When this (self-employed) donor does aural and visual privacy. For example, to empty their pockets as a common not have appropriate identification this a donor may tell the collector that he/ practice is also prohibited under the should not be considered a refusal. The she is suffering from a particular illness, current rules. collector should remember that his/her is on medication, or that he/she has an Question 8: Please clarify donor primary function is to obtain a specimen indwelling catheter, and wonder if this identifying information requirements on that can be tested for drugs under DOT will impact on the test results. The the drug testing custody and control rules. The collector should provide donor should be able to make these form. sufficient information in the remarks statements without embarrassment or Guidance: In accordance with section to help the MRO make a concern that another individual (i.e., § 40.25(f)(20), the donor/employee is determination regarding the merit of the another collector or donor) may required to initial the specimen bottle collection process or for the employer to overhear or see what the donor is seal/label. The employee/donor’s determine if there are systemic providing to the collector. identification number or SSN is to be 16376 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations provided on the custody and control of their specimen bottles in one control form. Inadvertently not marking form and shall not be included on the shipment container when collectors are the temperature-taken box, in and of specimen bottle seal/label. Other donor required by rule to deal with only one itself, does not constitute a ‘‘fatal flaw’’ identification (i.e., name, signature) donor at a time. in the DOT chain of custody process. should not be provided on the copies of Question 11: In a post-accident Question 15: What are the collection the custody and control form that situation requiring both a company test site requirements? accompany the specimen to the and a DOT test, which should be Guidance: Section 40.25(a)–(b) laboratory. However, disclosure of the conducted first? outlines employer requirements for donor’s name/signature does not, in and Guidance: In a post-accident situation designating and maintaining the of itself, require that the specimen be in which drug/alcohol testing is security of collection sites. To rejected for testing by the laboratory. required under company authority or summarize the contents of this section, Question 9: Is a consent form policy, and DOT-mandated tests are a collection site must at a minimum authorized? required, the DOT tests must be provide: (1) An enclosure where privacy Guidance: Section 40.25(f)(22)(ii) conducted first. for urination is possible; (2) A toilet for states, ‘‘When specified by DOT agency Question 12: Please address the issue urination (unless a single use, regulation or required by the collection of low specific gravity/creatinine. disposable container is used with site (other than an employer site) or by Guidance: Laboratory reports. The sufficient capacity to contain the entire the laboratory, the employee may be laboratory may report in the laboratory void); (3) A source of water for washing required to sign a consent or release remarks section of the custody and hands; (4) A suitable writing surface for form authorizing the collection of the control form that specific gravity is less completing the required paperwork specimen, analysis of the specimen for than 1.003 and creatinine is less than (custody and control form); and (5) designated controlled substances, and 0.2 grams per liter. Actual values of Restricted access so that the site is release of the results to the employer.’’ specific gravity and creatinine should secure during collection. The purpose of this statement is to not be reported. Any facility, including a physician’s allow collection sites or laboratories, of Medical Review Officer office, that meets the minimum their own accord, or when required by Interpretations MROs shall report the requirements may be used as a a DOT agency regulation, to utilize laboratory findings (positive, negative or collection site for DOT-required drug consent or release of information forms not tested (canceled)) to the employer tests. It is the employer’s responsibility for the collection, analysis, and release and that specific gravity and creatinine to not only designate and ensure that of specimen results to the employer. are below 1.003 and 0.2 g/l, collection sites meet these minimum § 40.25(f)(22)(ii) continues, ‘‘The respectively. requirements, but also to ensure that employee may not be required to waive Employer Actions The employer shall collection site personnel at these liability with respect to negligence on not require the driver to submit to locations are properly trained and/or the part of any person participating in another specimen collection under qualified to collect urine specimens in the collection, handling, or analysis of FHWA authority. A dilute specimen accordance with the provisions outlined the specimen or to indemnify any does not constitute reasonable suspicion in 49 CFR part 40. person for the negligence of others.’’ of controlled substance use. The Question 16: Are middle names The intent of this statement is to prevent employer may require the next required on the drug testing custody and anyone who participates in either the specimen, required by DOT regulations, control form? collection, handling, or analysis of the submitted by the driver to be collected Guidance: Section 40.25(a) specifies specimen from trying to require the under direct observation. that the custody and control form used employee to exempt them from liability Question 13: What should donors do to document DOT mandated drug arising from their actions. This pertains if specimen collection procedures are testing shall provide space for collector, not only to collection site and laboratory not being followed? donor, and laboratory certifying personnel, but also to MROs, their staff, Guidance: Under DOT agency scientist names and signatures. The if applicable, and to the employer. regulations, the employer is responsible regulation does not specify that a Failure of an employee to sign the for ensuring that specimens are middle name or initial must be used. consent form does not equal a refusal to collected in accordance with part 40. If The intent of the regulation is to provide test and the test must proceed in all the employees subject to DOT-mandated for the identification of the person(s) circumstances. The DOT also intends drug testing regulations believe that part signing the certification statements. The that this interpretation shall be followed 40 collection procedures are not being use of supplemental instructions on the for alcohol testing requirements. followed, they should so inform the custody and control form (e.g. further Question 10: Is the donor’s presence employer. If the employer does not defining name to include first, middle, required when the collector prepares a respond to the complaints and take last), does not impact on the security, specimen for shipment? appropriate corrective actions, the identification, or integrity of the urine Guidance: The tamper-proof seal employees may seek resolution of their specimen and should not be used as a placed on the specimen bottle must be complaints through a DOT agency that basis for invalidating the specimen affixed in the presence of the donor, but has regulatory authority over the results. the regulation is clear that the donor employer. does not have to be present when the Question 14: Is failure to check the Section 40.29 Laboratory Analysis specimens are prepared for shipment to temperature box on the drug testing Procedures the laboratory. The collection site custody and control form considered a Question 1: May a laboratory provide person is the only person required to fatal flaw? ‘‘one-stop shopping’’ to an employer by sign or initial the seal on the shipment Guidance: In accordance with § 40.29, including the services of a MRO or a list container. In fact, the rule allows the the collector is to check the temperature of MROs (which the laboratory does not use of shipment containers that of the specimen to ensure the integrity employ) from which the employer or accommodate multiple specimen of the specimen. The fact that it was client could select a specific MRO? bottles. It would be impossible to have checked should be marked Guidance: Under current DOT more than one donor witness the sealing appropriately on the custody and interpretation of the rule, a laboratory Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16377 would be prohibited from supplying a a consortium provided the laboratory certifying scientist is received by the limited list of MROs from which the provides employer-specific data and the MRO. employer would select individuals that consortium forwards the employer- Question 5: May a lab certifying would provide MRO services. In this specific data to the respective employers scientist use a ‘‘signature stamp’’? circumstance, there is a clear financial within 14 days of receipt of the Guidance: In accordance with advantage to the MROs who appear on laboratory report.’’ § 40.29(g)(5), ‘‘in the case of a positive the laboratory list, since this makes The above reference also contains the report for drug use [the drug testing them among the candidates for use by following information: ‘‘Quarterly custody and control form (part 2)], shall that laboratory’s clients. This advantage reports shall not contain personal be signed (after the required could readily be viewed as providing identifying information or other data certification block) by the individual these MROs an incentive to maintain a from which it is reasonably likely that responsible for day-to-day management good relationship with the laboratory, so information about individuals’ tests can of the drug testing laboratory or the as to ensure that they remain on the list, be readily inferred. If necessary, in order individual responsible for attesting to which is in their financial interest. The to prevent disclosure of such data, the the validity of the test reports.* * *’’ existence of this incentive could, in laboratory shall not send a report until In accordance with § 40.29(g)(1), turn, call into question the objectivity data are sufficiently aggregated to make ‘‘Before any test result is reported (the and independence of the MROs in the such an inference unlikely. In any results of initial tests, confirmatory review of the test results and the quarter in which a report is withheld for tests, or quality control data), it shall be reporting to relevant officials of any this reason, or because no testing was reviewed and the test certified as an potential errors in test results or conducted, the laboratory shall so accurate report by the responsible procedures. The regulatory prohibition inform the consortium/employer in individual.’’ The DOT’s opinion is that is not limited to actual, demonstrated writing.’’ negative reports must be reviewed and conflict of interest. It includes matters As referred to above, the DOT has the test certified as an accurate report by that ‘‘may be construed as a potential held that during a quarter in which the laboratory’s responsible individual. conflict of interest’’. The DOT position there was ‘‘no activity’’ the laboratory is This certification must be accomplished is that the above described laboratory still required to inform the employer, in by a signature for positive test results arrangement presents the appearance of writing, of the negative activity. This while a signature stamp with initials for a conflict of interest. provision is necessary to assist Federal negative test results on the custody and Question 2: May a laboratory continue auditors during inspections of control form may be used. to submit monthly summary reports to employers that are required by an Question 6: Does the regulation the employer/consortia or is the Operating Administration to conduct a require lab ‘‘batch reporting’’ of drug laboratory limited to quarterly reports drug testing program. Unless the auditor test results? only? has a complete quarter-by-quarter Guidance: The laboratory may report Guidance: The DOT changed the history and record of drug testing results results to the MRO as soon as the results requirement for a monthly statistical from a laboratory, there is nothing to have been reviewed by the appropriate report to a quarterly report to provide preclude an employer, for example, laboratory personnel. There is no cost savings to the industry without from destroying a quarterly summary requirement for ‘‘batch reporting,’’ or substantially decreasing the that does contain a confirmed positive reporting simultaneously all results for effectiveness of the report. Although the result and claim that there simply was specimens received in a given shipment. original regulatory language appears to no activity during the month. This, of Nor does part 40 require ‘‘batch require reporting only on a quarterly course, would allow the company to reporting’’ of results by the MRO to the basis, the intent of this change was to continue to use that individual in a employer. Batch reporting, which require, as a minimum, a quarterly safety-sensitive function with no causes the transmission of negative report, but not to limit those employers evidence that there was a confirmed results before positive results have been or laboratories who desired monthly positive drug test result. In effect, the verified, may create a problem by reports. Monthly reports may be negative lab report serves as an leading an employer to make premature generated provided the reports do not important check and balance used by assumptions about a particular test contain personal identifying auditors in their compliance and result. However, the rule provides no information or other data from which it enforcement efforts. authority for an employer to take any is reasonably likely that information Question 4: May labs transmit results adverse action against an employee about individuals’ tests can be readily to an MRO by faxing Part 2 of drug whose test result is pending. The inferred. If a laboratory provides testing custody and control form? differences in reporting time of test monthly reports, there is no requirement Guidance: Laboratory test results may results may be due to a variety of to additionally provide a quarterly be provided to the MRO via facsimile circumstances including laboratory aggregate report. Likewise, the transmission of the custody and control processing time, MRO administrative regulatory requirement to prevent form. However, the ‘‘true copy’’ of the review processes for negatives, or the individual identifying information custody and control form must also be verification process for positives. remains for both monthly and quarterly sent to the MRO. The purpose of Question 7: Is a lab required to send reports. If a report is withheld for this permitting facsimile transmission of the results directly to the MRO? reason, the laboratory will notify the custody and control form is to facilitate Guidance: Yes. Section 40.29(g) employer. a quicker administrative review of test requires confidentiality and limited Question 3: Explain the requirements results by the MRO. The MRO may access to laboratory test results, and the for quarterly lab summaries. complete verification of a negative laboratory must send only to the MRO Guidance: Section 40.29(g)(6) requires result based on the facsimile of the the original or a certified true copy of each laboratory to ‘‘provide the custody and control form; however, the the drug testing custody and control employer an aggregate quarterly verification of a positive result cannot form (Part 2). Furthermore, § 40.33(b)(3) statistical summary of urinalysis testing be completed until the ‘‘true copy’’ of states: ‘‘The role of the MRO is to review of the employer’s employees. the custody and control form bearing and interpret confirmed positive test Laboratories may provide the report to the original signature of the laboratory’s results obtained through the employer’s 16378 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations testing program.’’ Section 40.33(c)(2) given an opportunity to discuss the test safety sensitive function (whether or not states: ‘‘The MRO shall contact the result directly with the MRO. An the substance is prescribed for the individual directly, on a confidential appropriately medically trained staff appropriate condition), the MRO should basis, to determine whether the person (e.g., a nurse with substance discuss this with the donor’s employee wishes to discuss the test abuse training) may gather information (prescribing) physician. The donor’s result. A staff person under the MRO’s from an employee about the employee’s physician may decide to prescribe an supervision may make the initial explanation for a positive result. In alternate substance that may not have contact, and a medically licensed or every case, however, the MRO must talk adverse effects on the donor’s certified staff person may gather to the employee before making the performance of his/her duties. information from the employee.’’ decision to confirm a laboratory positive Section 40.33(i) states in part, that Given the above, it should be clear as a verified positive drug test result. No ‘‘(1) The MRO may disclose such that the intent of the current regulations staff person may make this decision for [medical] information to the employer, is that all laboratory test results be sent the MRO. a DOT agency * * * or a physician directly to the MRO. When the test Question 2: Does the DOT drug testing responsible for determining the medical result is positive, the MRO must make rule permit the use of a second and qualification of the employee * * * if the verification determination; when the different MRO to whom the results of * * * (iii) * * * the information test result is negative, the MRO may the split specimen can be sent by the indicates that continued performance by delegate to a person under his/her direct second laboratory? the employee * * * could pose a supervision the administrative review of Guidance: There is no appropriate significant safety risk. (2) Before the negative results. role for a second and different MRO to obtaining medical information from the Question 8: Does the regulation allow whom the results of the split specimen employee as part of the verification the MRO to disclose to the employer the would be submitted. The DOT’s process, the MRO shall inform the drug(s) involved in a positive test? interpretation is that this procedure is employee that information may be Guidance: Section 40.29(g)(3) requires not permissible under the DOT rule. disclosed to third parties as provided in MROs to report to employers whether The laboratory results of the split this paragraph * ** ’’. If after talking to the drug test was positive or negative. It specimen are for the presence of the the prescribing physician, the MRO still also allows the MRO to report the drug or drug metabolite and the rule text determines that a safety risk exists, he/ drug(s) for which there was a positive does not authorize a ‘‘second’’ she may inform the employer, DOT, or test. verification process of the split results. the employer’s physician of the Therefore, the use of a second MRO existence of a medical condition that Section 40.31 Quality Assurance and does not add to the overall verification could preclude the donor from Quality Control process required by the rule. performing a safety sensitive function. Question 1: Please explain the timing Additionally, if the split specimen fails However, the MRO must ensure that he/ of blind performance test specimens. to reconfirm or is not available for she informed the employee prior to the Guidance: Section 40.31(d) delineates testing, it is the responsibility of the verification process that this (medical) employer and consortia blind (original) MRO to cancel the test and information may be provided to a third performance test requirements. The provide notification of this cancellation party. intent of these requirements is to test to the appropriate parties. It would be Question 4: Is there such a thing as an the laboratory’s ability to correctly inappropriate for the second MRO to MRO management company or does the identify positive and negative samples. cancel the test nor would the second law specify that a single certified MRO These samples are to be unidentifiable MRO have the appropriate information review each lab result from tested as blind samples by the laboratory. to accomplish the cancellation employees and personally transmit the The regulation does not specify the notification. test results to the specific employer? distribution or the timing of the Question 3: If the MRO determines Does the law require that the owner of submissions except to stipulate in that a donor has a legitimate an MRO management company be a § 40.31(d)(2) that each ‘‘employer shall prescription for Marinol, would this be physician? Do negative test results have submit three blind performance test reported as a negative result? What if in to be handled by a physician MRO, or specimens for each 100 employee the MRO’s opinion, the use of the may the results be handled by the MRO specimens it submits, up to a maximum prescribed medication may compromise management company administrators? of 100 blind performance test specimens safety? Guidance: While part 40 makes no submitted per quarter.’’ This is the basic Guidance: Section 40.33(a)(1) states in mention of an ‘‘MRO management requirement. The optimum program part, that ‘‘ ** * A positive test result company’’ the regulations do address would be to evenly space the does not automatically identify an the role of the C/TPA. The rules do not submission of blind samples throughout employee/applicant as having used permit the C/TPA to receive drug testing the period. drugs in violation of a DOT agency results directly from either the regulation. An individual with a laboratory or from the MRO. The Section 40.33 Reporting and Review of detailed knowledge of possible alternate laboratory results are reported directly Results medical explanations is essential to the to the MRO, and the MRO results are Question 1: Does the MRO have to review of the results.’’ The DOT’s reported directly to the employer. personally conduct the verification of a interpretation has been that if the MRO Through interpretation of § 40.33(a), positive drug test result? can determine that the donor has a the DOT has permitted the Guidance: The DOT requirement that legitimate prescription, the positive administrative review to be conducted the MRO be a licensed physician with result would be ‘‘down graded’’ to a by staff persons working under the knowledge of substance abuse disorders negative. This would apply to any direct supervision of the MRO. While (§ 40.33(b)(1)) indicates the importance legitimately prescribed drug, including allowing this delegation of MRO that the DOT placed on this function. Marinol. If the MRO determines that the responsibility, the DOT never intended The regulatory requirement is that prior use of that particular prescription/ nor can it condone a practice which to making a final decision to verify a substance may compromise safety in the allows for MROs to appoint outside positive test result, the individual is performance of a transportation related ‘‘agents’’ to perform this review. The Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16379

MRO should have a direct supervisory five drugs. Multiple drug positive The employer may arrange with the relationship with the reviewer and not results for the same specimen (donor) applicant or employee for simply have access to the ‘‘process’’ of require the MRO to verify each reported reimbursement, but in no case does the the administrative review. Conversely, a drug to determine if there is a medical refusal by the applicant or employee to C/TPA cannot contract for the MRO to explanation for each positive result. contribute to the cost of the test excuse review only positive drug test results, Additionally, the DOT drug and alcohol the employer from ensuring that the test leaving the review or processing of management information system takes place. A previous agreement negatives to the C/TPA. requests information on multiple drug negotiated between the employee and Question 5: May a C/TPA act as an results (for each individual). The intent employer or a labor-management agent of the MRO for the purpose of is to capture this information. agreement that specifies payment conducting administrative reviews of all However, in the preemployment arrangements, could dictate the ultimate negative urine drug test results and process, it would appear that with the payment source. receive drug testing results directly from employer’s consent, the MRO may The split specimen testing process, the laboratory? report a verified positive result for one initiated by the MRO’s written request, Guidance: No. The DOT never drug out of several laboratory positive should not be delayed while awaiting intended nor can it condone a practice results (for one individual) without payment to come from the applicant or which allows MROs to appoint outside continuing to seek verification for the employee. If there is a dispute, the fall- agents to conduct such reviews. other drugs reported by the laboratory. back position would be for the employer Additionally, § 40.29(g) requires that all The MRO may need to use his/her to be billed (by either the primary drug test results be transmitted by the professional judgement to determine if laboratory for sending the split laboratory directly to the MRO. verification of the other drugs may be specimen, or the receiving laboratory for Transmission to the MRO means to the accomplished expeditiously. Regardless testing the split specimen) and then for MRO’s place of business and not to a of the number of drugs that are reported the employer to settle the matter after- subsidiary or contractor for the MRO. as verified for one individual, that the-fact with the applicant or employee. There is also the requirement that, individual cannot perform safety- Question 9: When may the MRO regardless of what forms/records a sensitive work until he/she provides a notify an employer of a positive drug consortium or third party administrator urine specimen that is negative. test result? maintains for an employer, notification In the case where the MRO verifies Guidance: The MRO may not notify of all positive results will be performed and reports only one drug, the other the employer of a positive test until he/ by the MRO and not through or by drugs should not be reported to the she has verified the test as positive. anyone else. employer if they have not been verified. Verification requires that the MRO Question 6: What are the MRO’s The MRO may document these review the chain of custody review requirements during the unverified positive results in his/her documentation, contact the employee, verification process when the MRO records as unverified and unreported review any documentation of a copy of the custody and control form is results. legitimate medical explanation for a not available? Question 8: Is a company obligated to positive test, and determine that the Guidance: The MRO may complete pay for the processing of a split urine positive resulted from unauthorized use the verification process if the MRO’s specimen when the primary specimen is of a controlled substance. The MRO is copy of the custody and control form is positive? Does a company have to pay not required to delay verification not available for review. The MRO for testing the split specimen if it was pending the outcome of the reanalysis needs to review a copy of the chain of a pre-employment test? or the split specimen. Only upon custody which contains the employee’s Guidance: The split sample procedure verification shall the MRO notify the signature. A copy may be obtained from is a statutory requirement of the employer of the positive result, and the the employee, the collector, or the Omnibus Transportation Employee employer shall then remove the employer. These copies have the Testing Act of 1991 for employers in the employee from the safety-sensitive employee’s signature. aviation, highway, rail, and transit duties/position. Once having received The preamble to part 40 (Medical industries, as well as the DOT rules. notice of a verified positive result from Officer Issues) published on December Section 40.3 states, in part: ‘‘Employee. the MRO, the employer shall not delay 1, 1989 requires the MRO not to declare An individual designated in a DOT removal of the employee from safety- a verified positive result until he or she agency regulation as subject to drug sensitive duties pending the outcome of receives the hard copy of the original testing and/or alcohol testing. As used the reanalysis or the split specimen. chain of custody form from the in this part ‘‘employee’’ includes an Question 10: Must the MRO report to laboratory. This is because, prior to applicant for employment.’’ And employers be in writing determining that the test is a verified § 40.33(f) states, in part: ‘‘If the Guidance: Part 40 does not require the positive, the MRO verifies the employee requests an analysis of the MRO to provide written notification to identifying information and the facial split specimen within 72 hours of employers of verified drug test results. completeness of the chain of custody having been informed of a verified The FHWA, however, does require (i.e., determines that, on the face of the positive test, the MRO shall direct, in MROs to forward a signed, written document, all the sign-offs are in the writing, the laboratory to provided the notification to the employer within right places). split specimen to another DHHS- three business days of the completion of Question 7: Does the MRO have to certified laboratory for analysis.’’ In the MRO’s review for both positive and verify each drug when the laboratory other words, if the applicant or negative results. A legible photocopy of reports a multiple positive drug test employee makes the request within this the fourth copy of the Federal Drug results for the same individual under time period, the split specimen must be Testing Custody and Control Form the DOT drug and alcohol rule? tested. This is true of all types of tests, required by part 40 appendix A may be Guidance: Section 40.33(a) states including pre-employment. used to make the signed, written ‘‘Medical review officer shall review The employer is responsible for notification to the employer for all test confirmed positive results.’’ The DOT ensuring that the test occurs, including results (positive, negative, canceled, drug rule requires analysis of urine for taking responsibility for paying for it. etc.), provided that the controlled 16380 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations substance(s) verified as positive, and the or fails to contact the MRO within five laboratory and the MRO, and it is MRO’s signature, shall be legibly noted days after being notified by a designated obvious that there must be a clear in the remarks section of step 8 of the employer representative to do so, the separation of functions between the form completed by the MRO. MRO may verify the laboratory test MRO and the laboratory. Question 11: May an MRO use part 2 result as a positive. This includes Question 15: In what situations may of drug testing custody and control form results that are positive for opiates. an MRO reopen a verification of a drug to report negative results? If the donor accepts the opportunity test? Guidance: No. The MRO should not to discuss the results with the MRO, the Guidance: Section 40.33 specifically provide the employer with a copy of the MRO must review any medical records allows the reopening of an MRO’s custody and control form bearing the provided by the donor to determine if verification of a confirmed positive drug results from the laboratory. Often, the opiate positive resulted from a test in only two situations. When a positive results reported by the legally prescribed medication. If the donor provides documentation that laboratory are determined by the MRO donor is unable to produce medical serious illness, injury, or other to be explained by authorized medical evidence and admits to unauthorized circumstances unavoidably prevented use of a substance, and thus are verified use of an opiate, the MRO should verify the employee from timely contacting the and reported negative. Employers are the result as a positive. However, if the MRO, the MRO may conclude from the not permitted to have the laboratory donor is unable to produce medical documentation that there is a legitimate information, only the MRO’s evidence, denies unauthorized use of an explanation for the employee’s failure to determination. opiate, or denies using another contact the MRO (see § 40.33(c)(6)). The Question 12: Please explain an MRO’s individual’s medication, the MRO must second situation is if neither the review of negative results. determine that there is clinical employer nor the MRO is able to contact Guidance: The duties of the MRO evidence—in addition to the urine test— the employee and the MRO declares the with respect to reviewing negative urine of unauthorized use of any opium, test result to be positive, and the drug test results are strictly opiate, or opium derivative before employee subsequently provides administrative, but must include a verifying the test result as positive. documentation that serious illness, review of the drug testing custody and Examples of clinical evidence include injury, or other circumstances control form prior to releasing the recent needle tracks or behavioral or unavoidably prevented the employee results to the employer. This is psychological signs of acute opiate from contacting the MRO in a timely necessary to substantiate that the intoxication or withdrawal. If a manner, the MRO may conclude from reported negative result is correctly laboratory confirms the presence of 6- the documentation that there is a identified with the donor and to ensure acetylmorphine (6–AM) through a GC/ legitimate explanation for the that the form is complete and sufficient MS test, no clinical evidence is employee’s failure to contact the MRO on its face (§ 40.33(a) (1–2)). While the necessary, since 6–AM is a direct (see § 40.33(g)). DOT, through interpretation, has deacetylated metabolite of heroin, Section 40.35 Protection of Employee permitted the administrative review to detectable within minutes, and its Records be conducted by a staff person working presence proves the recent use of under the direct supervision of the heroin. If 6–AM is not found, clinical Question 1: Please clarify release of MRO, the requirement to conduct the evidence will be required to verify a alcohol and drug test results with or review in accordance with current positive opiate result whether or not the without written authorization. regulations remains in effect. donor claims poppy seed ingestion as a Guidance: The rules governing release Question 13: Please explain MRO defense for the positive result. of employee test results (§§ 40.35 and verification of opiate positives. The verification process for an opiate 40.81) permit disclosure to persons Guidance: The MRO verification positive result can be a very complex other than the employee, employer, or process of any positive laboratory report and very difficult task for the MRO and decision-maker in a lawsuit or grievance requires several specific actions. These should be undertaken with a great deal action, only with the written include a review of the drug testing of caution. authorization of the employee. The custody and control form for Question 14: Please clarify the MRO/ authorization must be an informed completeness and accuracy, notifying lab relationship. consent, in that the employee fully and providing the donor an opportunity Guidance: Section 40.29(n)(6) states: understands the intended use and to discuss the results, reviewing the ‘‘The laboratory shall not enter into any disclosure of the test results. Each donor’s medical history and medical relationship with an employer’s MRO entity’s request for test results would records, and investigating other that may be construed as a potential require a separate authorization and biomedical factors that may account for conflict of interest or derive any must be specific. Specific items the positive result. financial benefit by having an employer including the purpose of the release, The above actions are especially use a specific MRO.’’ Section 40.33(b)(2) specific test(s) to be released, the important when the MRO is confronted further states: ‘‘The MRO shall not be an party(ies) to whom these specific results with an opiate positive, as the result employee of the laboratory conducting will be released must be included. may be caused by the use of a legally the drug test unless the laboratory Question 2: May employees be prescribed medication or an ingested establishes a clear separation of required to sign release forms for third- substance, such as poppy seeds. Using functions to prevent any appearance of party disclosures? the above steps as a guide, the MRO first a conflict of interest, including assuring Guidance: The intent of ensures that the drug testing custody that the MRO has no responsibility for, (§§ 40.29(g)(3), 40.35 and 40.37) is to and control form is complete and and is not supervised by or the ensure confidentiality of employee drug accurate on its face. Next, the MRO supervisor of, any persons who have test results. Employees cannot be notifies the donor of the positive test responsibility for the drug testing or required to sign release or consent result and offers the individual an quality control operations of the statements for third-party disclosure as opportunity to discuss the results. If the laboratory.’’ Therefore, the rule part of the drug testing process. donor expressly declines the prohibits an employer-employee or Information concerning the drug test opportunity to discuss the test results, contract relationship between the may be released by the employer in Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16381 unemployment or workmen’s sufficient to permit a valid breath test, employers and BATs. Breath Alcohol compensation proceedings, or other but does not allege that such inability is Testing Forms should not be duplicated situations in which the employee is due to a medical condition, what for purposes of supervision or billing as seeking a benefit or challenges an action actions must follow? this would create additional ‘‘data taken by the employer as a result of a Guidance: The rules prohibit a bases’’ or files with potential problems drug test. covered employee from refusing to of disclosure of confidential It should be noted, however, that submit to required alcohol tests. Post- information. Access to these records by employers are required to request accident, random, reasonable suspicion, unauthorized personnel would be written authorization from CMV drivers or follow-up tests must be taken when difficult to control. This does not to obtain past verified positive drug test those tests are required. Section 40.69 preclude use of input forms filled out by results, refusals to test, and alcohol sets forth the procedures to be followed the BAT or other personnel that would concentrations of 0.04 or greater over when an employee is unable to provide contain appropriate billing data and the past 2 years of driving a CMV an adequate amount of breath for any which could be maintained as backup (§§ 382.405(f) and 382.413(a)). reason. These procedures apply to the documentation. employee who claims a particular When the employer uses a C/TPA to Section 40.39 Use of DHHS-Certified medical condition is creating the act as the agent of the employer, then Laboratories inability to provide breath; they also that C/TPA could have access to the Question 1: May additional testing be apply to the employee who claims to Breath Alcohol Testing Form or the conducted on a DOT specimen reported have no idea as to the cause of the authority to obtain a copy of the form. by the laboratory as negative? inability, or to the employee who says Likewise, the employer’s copy of the Guidance: Section 2.4(e)(3) of the nothing at all. form may be submitted to the C/TPA by Department of Health and Human It is imperative that the employee the employer or by the BAT when the Service’s Mandatory Guidelines for understands that during the required employer has directed the BAT in Federal Workplace Drug Testing follow-on medical evaluation, the writing to do so. In all cases of positive Programs states, ‘‘Specimens that test physician will concentrate solely on results at or above the .02 BAC level, the negative on all initial immunoassay finding a medical condition to explain employer must be notified immediately, tests shall be reported as negative. No the inability. Paragraphs (d)(2)(i) and and prior to notification of the C/TPA. further testing of those negative (d)(2)(ii) of § 40.69 dictate that the only Positive results may not be sent from the specimens for drugs is permitted and acceptable reason for an employee to be BAT to the C/TPA and then submitted the specimens shall be either discarded unable to provide an adequate amount to the employer. or pooled for use in the laboratory’s of breath for testing is a medical internal quality control program.’’ condition. If a medical condition is not Section 40.93 The Screening Test The DOT requires use of DHHS- found, the employee will be deemed to Technician certified laboratories to do all DOT- have refused testing. Question 1: May an STT become required testing. Therefore, the above Section 40.81 Availability and trained to proficiency on an evidential DHHS requirement is a DOT Disclosure of Alcohol Testing breath tester (EBT) for the purposes of requirement as well. When a DOT Information About Individual conducting screening tests on that specimen is reported as negative by the Employees device? laboratory, no additional testing of the Guidance: No. Section 40.93 only specimen is permissible. Question 1: If there is one or more authorizes the STT to operate an alcohol Question 2: Why use DHHS-certified BAT working for a company, does the screening device (ASD); it does not laboratories? BAT supervisor have the right to review authorize the STT to operate an EBT. Guidance: The DOT requires that all (have access to) the Breath Alcohol This was by design. Likewise, the STT drug testing mandated under the Testing Forms for purposes of training manual does not address the provisions of its drug testing rules must supervisory control? Likewise, may this use of an EBT by the STT. This is in be conducted in DHHS-certified form be passed along by the BAT or the contrast with the training manual for the laboratories. The DOT decision to use employer to billing personnel? BAT which concentrates solely on the DHHS-certified laboratories for drug Guidance: The rule holds employers EBT; in fact, an entire unit in the BAT testing is mandated by statute (Omnibus responsible for implementation of the training manual is devoted to ‘‘EBT Transportation Employee Testing Act of total program. This includes Methodology.’’ Additionally, the 1991). The DHHS standards for confidentiality of information and proficiency requirements for the ASD, certification and the proficiency testing maintenance of records (including BAT as contained in the STT manual, are requirements comprise the most and MRO records). Individuals such as different from the proficiency stringent laboratory accreditation supervisors of BATs and billing requirements for the EBT, as contained program available in analytical forensic personnel with a ‘‘need to know’’ are in the BAT manual. toxicology for urine drug testing. considered authorized company When an EBT is used to conduct a Additionally, the DHHS certification personnel and are permitted to have DOT alcohol test, the operator must be program provides for standardization of access to breath alcohol testing a BAT. An STT is limited to conducting laboratory methodology and procedures, documentation. Access to information only the alcohol screening test, and the ensuring equal treatment of all would be for a specific purpose and only instrument the STT may use is an specimens analyzed. Finally, the use of necessary for the employer’s successful ASD. DHHS-certified laboratories provides a implementation of the program. This standard that has withstood the test of would include review of the forms for Special Topics—Requirements for legal challenges in Federal drug testing. completion, obtaining specific billing Random Testing data from the forms, filing the forms, Question 1: Please explain the Section 40.69 Inability To Provide an etc. Individuals with access to these random testing rates for alcohol and Adequate Amount of Breath forms are under the same regulatory drugs. Question 1: If an employee is unable requirements for maintaining Guidance: The DOT drug testing rules to provide an amount of breath confidentiality of these records as are require employers initially to conduct 16382 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations random drug testing at a rate equal to 50 individual owner-operator to be in a Question 5: Is it permissible to percent of their covered employees. consortium for random testing purposes. separate union and non-union Thus, if an employer has 100 covered The DOT allows and even advocates the employees, both covered by DOT, into employees, the employer must use of a consortium to assist smaller stand-alone pools? administer 50 random drug tests. The companies in complying with the Guidance: The DOT has determined number of random tests is determined alcohol and drug testing regulations. that it is permissible for an employer to by the covered employee population, While it is true that in a combined separate union and non-union while the number of employees employer pool, some employers will employees into separate pools for the randomly tested varies depending on have a higher percentage of their purpose of random drug testing. If using the random selection process. It is employees selected for testing than this approach, the employer must possible that 50 random tests may be others in a given 12-month period, over ensure that employees from each pool conducted on less than 50 employees, time this will even out. Additionally, are tested at equal rates. For example, if some employees being tested two or the DOT believes that the deterrent pool ‘‘A’’ consists of 50 non-union more times due to the random selection effect of random drug testing remains as employees and pool ‘‘B’’ consists of 300 of donors. The highway industry may be powerful in a combined employers pool union employees, the employer must allowed to reduce the annual rate to 25 as it would be in a stand-alone single ensure, if testing is done at a 50 percent percent in calendar year 1998 based on company pool. With this in mind, the rate, that 25 tests are conducted the highway industry’s performance in DOT has determined that combining annually on employees from pool ‘‘A’’ calendar years 1995 and 1996. The rate employer pools within a consortium and that 150 tests are conducted may be lowered to 25 percent based on meets the spirit and intent of the alcohol annually on employees from pool ‘‘B.’’ two years of data reported to FHWA and drug testing regulations and is, Special Topics—Procedures for indicating a positive rate of less than 1.0 therefore, permissible. Handling and Processing a Split percent use of drugs by CMV drivers. Question 3: May an employer Specimen The rate may increase again, however, combine DOT and non-DOT random to 50 percent based on one year of data pools? Question: Describe the proper reported to FHWA indicating a positive Guidance: No. While it would seem to handling and processing of a split rate equal to or greater than 1.0 percent be advantageous for an employer to specimen. use of drugs by CMV drivers. combine all employees into one random Guidance: ‘‘Where the employer has The alcohol testing rules require testing pool, this move could dilute the used the split sample method, and the employers initially conduct random number of DOT-covered employees who laboratory observes that the split sample testing at a rate equal to 25 percent of would actually be tested. For example, is untestable, inadequate, or unavailable their covered employees. Thus, if an in a pool that is comprised of 50 DOT- for testing, the laboratory shall employer has 100 covered employees, covered employees and 50 non-DOT- nevertheless test the primary specimen. the employer must administer 25 covered employees, and assuming a The laboratory does not inform the MRO random drug tests. The number of testing rate of 50 percent, it is possible or the employer of the untestability, random tests is determined by the that no DOT-covered employees would inadequacy, or unavailability of the split covered employee population, while the be tested (100 employees, 50 tests, all 50 specimen until and unless the primary number of employees randomly tested tests conducted on non-DOT specimen is a verified positive test and varies depending on the random the MRO has informed the laboratory selection process. It is possible that 25 employees). The likelihood of this that the employee has requested a test random tests may be conducted on less happening, albeit remote, is possible of the split specimen.’’ (§ 40.29(b)(1)(ii)) than 25 employees, some employees under a truly random scheme. On the being tested two or more times due to other hand, keeping the above two ‘‘In situations where the employer the random selection of donors. The classes of employees in separate pools uses the split sample collection method, highway industry may be allowed to assures that at least 25 of the tests the laboratory shall log in the split reduce the annual rate to 10 percent in conducted by the company will be specimen, with the split specimen bottle calendar year 1999 based on the conducted on DOT-covered employees. seal remaining intact.’’ (§ 40.29(b)(2)) highway industry’s performance in It is this assurance that ultimately ‘‘When directed in writing by the calendar years 1996 and 1997. The rate mandates that DOT-covered employees MRO to forward the split specimen to may be lowered to 10 percent based on remain in separate random pools. another DHHS-certified laboratory for two years of data reported to FHWA Question 4: May an employer analysis, the second laboratory shall indicating a violation rate of less than combine employees covered by different analyze the split specimen by GC/MS to 0.5 percent use of alcohol by CMV operating administration rules into a reconfirm the presence of the drug(s) or drivers. The highway industry would be single pool for random testing? drug metabolite(s) found in the primary required to raise the annual rate to 50 Guidance: The DOT has determined specimen.’’ (§ 40.29(b)(3)) percent in calendar year 1998 or later that it is, indeed, permissible for an ‘‘If the employee requests an analysis years based on the highway industry’s employer to combine covered of the split specimen within 72 hours of performance in calendar year 1996 or employees from different operating having been informed of a verified later years. The rate may increase to 50 administrations (e.g. Research and positive test, the MRO shall direct, in percent based on one year of data Special Programs Administration, Coast writing, the laboratory to provide the reported to FHWA indicating a violation Guard, and FHWA), into a single split specimen to another DHHS- rate of is equal to or greater than 1.0 selection pool for the purpose of certified laboratory for analysis. If the percent use of alcohol by CMV drivers. conducting random drug testing under analysis of the split specimen fails to Question 2: Is use of a consortium to DOT authority. When exercising this reconfirm the presence of the drug(s) or conduct random testing allowed? option, however, the employer must drug metabolite(s) found in the Guidance: The FHWA requires ensure that the random testing rate is at specimen, or if the split specimen is individual owner-operators to be in a least equal to the highest rate required unavailable, inadequate for testing or random testing pool of two or more by each of the operating untestable, the MRO shall cancel the persons. This, in effect, requires an administrations. test and report cancellation and the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16383 reasons for it to the DOT, the employer, 382.205 On-Duty Use 383.23(a)(1)). Virtually all of the and the employee.’’ (§ 40.33(f)) 382.213 Controlled Substances Use vehicles used for training purposes meet If the primary laboratory does not 382.301 Pre-employment Testing the definition of a CMV, and student receive a split specimen with the 382.303 Post-accident Testing drivers must therefore obtain a CDL. primary, or the split specimen is 382.305 Random Testing Question 3: Are part 382 alcohol and 382.307 Reasonable Suspicion Testing leaking, or the split specimen’s seal is 382.401 Retention of Records drug testing requirements applicable to broken, or has any other problem that 382.403 Reporting of Results in a firefighters in a State which gives them would make it unavailable for testing, Management Information System the option of obtaining a CDL or a non- the primary laboratory must still process 382.405 Access to Facilities and Records commercial class A or B license the primary specimen as if there were 382.413 Release of Alcohol and Controlled restricted to operating fire equipment no problems with the split specimen. Substances Test Information by Previous only? The laboratory should not bring any Employers Guidance: No. The applicability of split specimen deficiency to the 382.501 Removal From Safety-Sensitive part 382 is coextensive with part 383— attention of the MRO at this time. Functions the general CDL requirements. Only 382.507 Penalties (§ 40.29(b)(1)(ii)) those persons required to obtain a CDL 382.601 Motor Carrier Obligation to under Federal law and who actually The seal on the split specimen must Promulgate a Policy on the Misuse of remain intact—just as the split Alcohol and Use of Controlled perform safety-sensitive duties, are specimen was sealed at the collection Substances required to be tested for drugs and site. (§ 40.29(b)(2)) 382.603 Training for Supervisors alcohol. The MRO will direct the primary 382.605 Referral, Evaluation, and Treatment The FHWA, exercising its waiver authority, granted the States the option laboratory to forward the split specimen Subpart BÐProhibitions to a second DHHS-certified laboratory. of waiving firefighters from CDL At the second DHHS-certified Special Topics—Responsibility for Payment requirements. A State which gives for Testing laboratory, the split specimen shall only firefighters the choice of obtaining Special Topics—Multiple Service Providers either a CDL or a non-commercial be used to reconfirm the presence of the Special Topics—Medical Examiners Acting drug(s) or drug metabolite(s) found in as MRO license has exercised the option not to the primary specimen. (§ 40.29(b)(3)) Special Topics—Biennial (Periodic) Testing require CDLs. Therefore, because a CDL Only a request from the employee can Requirements is not required, by extension part 382 is authorize the MRO to initiate the not applicable. Section 382.103 Applicability forwarding of the split specimen to the A firefighter in the State would not be second DHHS-certified laboratory for Question 1: Are intrastate drivers of required under Federal law to be tested analysis. (§ 40.33(f)) CMVs, who are required to obtain CDLs, for drugs and alcohol regardless of the required to be alcohol and drug tested type of license which the employer PART 325ÐCOMPLIANCE WITH by their employer? required as a condition of employment INTERSTATE MOTOR CARRIER NOISE or the driver actually obtained. It is the EMISSION STANDARDS Guidance: Yes. The definition of commerce in 382.107 is taken from 49 Federal requirement to obtain a CDL, Sections Interpreted U.S.C. § 31301 which encompasses nonexistent in the State, that entails 325.1 interstate, intrastate and foreign drug and alcohol testing, not the fact of Section 325.1 Scope Of The Rules In commerce. actually holding a CDL. Question 4: An employer or State This Part Question 2: Are students who will be trained to be motor vehicle operators government agency requires CDLs for Question 1: What noise emission subject to alcohol and drug testing? Are drivers of motor vehicles: (1) with a requirements are applicable to auxiliary they required to obtain a CDL in order GVWR of 26,000 pounds or less; (2) generators? to operate training vehicles provided by with a GCWR of 26,000 pounds or less Guidance: Auxiliary generators which the school? inclusive of a towed unit with a GVWR normally operate only when a CMV is Guidance: Yes. Section 382.107 of 10,000 pounds or less; (3) designed to stopped or moving at 5 mph or less are includes the following definitions: transport 15 or less passengers, ‘‘auxiliary equipment’’ of the kind Employer means any person including the driver; or (4) which contemplated by EPA and are, therefore, (including the United States, a State, transport HM, but are not required to be exempt from the noise limits in Part District of Columbia or a political placarded under 49 CFR part 172, 325. However, noise from generators subdivision of a State) who owns or subpart F. Are such drivers required by that run while the CMV is moving at leases a CMV or assigns persons to part 382 to be tested for the use of higher speeds would be measured as operate such a vehicle. The term alcohol or controlled substances? part of total vehicle noise. employer includes an employer’s Guidance: No. Part 382 requires or Question 2: Do refrigeration units on agents, officers and representatives. authorizes drug and alcohol testing only tractor-trailer combinations fall within Driver means any person who of those drivers required by part 383 to the exemption listed in part 325, operates a CMV. obtain a CDL. Since the vehicles subpart A of the FMCSRs? Truck and bus driver training schools described above do not meet the Guidance: No. meet the definition of an employer definition of a CMV in part 383, their PART 382ÐCONTROLLED SUBSTANCES because they own or lease CMVs and drivers are not required by Federal AND ALCOHOL USE AND TESTING assign students to operate them at regulations to have a CDL. Sections Interpreted appropriate points in their training. Question 5: Are Alaskan drivers with Similarly, students who actually operate a CDL who operate CMVs and have been 382.103 Applicability CMVs to complete their course work 382.105 Testing Procedures waived from certain CDL requirements 382.107 Definitions qualify as drivers. subject to controlled substances and 382.109 Preemption of State and Local The CDL regulations provide that ‘‘no alcohol testing? Laws person shall operate’’ a CMV before Guidance: Yes. Alaskan drivers with 382.113 Requirement for Notice passing the written and driving tests a CDL who operate CMVs are subject to 382.115 Starting Date for Testing Programs required for that vehicle (49 CFR controlled substances and alcohol 16384 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations testing because they have licenses representative identify the driver via a use of the substance will not affect the marked either ‘‘commercial driver’s telephone conversation? CMV driver’s ability to safely operate a license’’ or ‘‘CDL’’. The waived drivers Guidance: Those subject to part 382 CMV (see §§ 382.213, 391.41(b)(12), and are only exempted from the knowledge are subject first, generally, to part 383. 392.4(c)). Individuals entering the and skills tests, and the photograph on Part 383 requires all States, with an United States must properly declare license requirements. exception in Alaska for a very small controlled substances with the U.S. Question 6: Do the FHWA’s alcohol group of individuals, to provide a CDL Customs Service. 21 CFR 1311.27. and controlled substances testing document to the individual that The FHWA expects MROs to properly regulations apply to employers and includes, among other things: the full investigate the facts concerning a CMV drivers in U.S. territories or possessions name, signature, and mailing address of driver’s claim that a positive controlled such as Puerto Rico and Guam? the person to whom such license is substance test result was caused by a Guidance: No. The rule by definition issued; physical and other information prescription written by a applies only to employers and drivers to identify and describe the person knowledgeable, licensed medical domiciled in the 50 states and the including date of birth (month, day, and practitioner or the use of an over-the- District of Columbia. year), sex, and height; and, a color counter substance that was obtained in Question 7: Which drivers are to be photograph of the person. Except in a foreign country without a prescription. included in a alcohol and controlled these rare Alaskan instances, the FHWA This investigation should be substances testing program under the fully expects most employer’s to require documented in the MRO’s files. FHWA’s rule? the driver to present the CDL document If the CMV driver lawfully obtained a Guidance: Any person who operates a to the BAT or urine collector. substance in a foreign country without A driver subject to alcohol and drug CMV, as defined in § 382.107, in a prescription which is a controlled testing should be able to provide the intrastate or interstate commerce and is substance in the United States, the MRO CDL document. In those rare instances subject to the CDL requirement of 49 must also investigate whether a that the CDL or other form of photo CFR part 383. knowledgeable, licensed medical identification is not produced for Question 8: Is a foreign resident driver practitioner provided instructions to the verification, an employer representative CMV driver that the use of the ‘‘over- operating between the U.S. and a foreign must be contacted and must provide country from a U.S. terminal for a U.S.- the-counter’’ substance would not affect identification. The FHWA will allow the driver’s ability to safely operate a based employer subject to the FHWA employer representatives to identify alcohol and controlled substances CMV. drivers in any way that the employer Potential violations of § 392.4 must be testing regulations? believes will positively identify the Guidance: Yes. A driver operating for investigated by the law enforcement driver. officer at the time possession or use is a U.S.-based employer is subject to part Question 3: Will foreign drug testing 382. discovered to determine whether the laboratories need to be certified by the exception applies. Question 9: What alcohol and drug National Institute on Drug Abuse testing provisions apply to foreign (NIDA)? Will they need to be certified Sections 382.107 Definitions drivers employed by foreign motor by the Department of Health and Human Question 1: What is an owner- carriers? Services (DHHS)? operator? Guidance: Foreign employers are Guidance: The NIDA, an agency of the Guidance: The FHWA neither defines subject to the alcohol and drug testing DHHS, no longer administers the the term ‘‘owner-operator’’ nor uses it in requirements in part 382 (see § 382.103). workplace drug testing laboratory regulation. The FHWA regulates All provisions of the rules will be certification program. This program is ‘‘employers’’ and ‘‘drivers.’’ An owner- applicable while drivers are operating in now administered by the DHHS’ operator may act as both an employer the U.S. Foreign drivers may also be Substance Abuse and Mental Health and a driver at certain times, or as a subject to State laws, such as probable Services Administration. All motor driver for another employer at other cause testing by law enforcement carriers are required to use DHHS- times depending on contractual officers. certified laboratories for analysis of arrangements and operational structure. Section 382.105 Testing Procedures alcohol and controlled substances tests as neither Mexico nor Canada has an Section 382.109 Preemption Of State Question 1: What does a BAT do equivalent laboratory certification And Local Laws when a test involves an independent, program. Question 1: An employer is required self-employed owner-operator with a Question 4: Particularly in light of the by State or local law, regulation, or confirmed alcohol concentration of 0.02 coverage of Canadian and Mexican order to bargain with unionized or greater, to notify a company employees, how should MROs deal, in employees over discretionary elements representative as required by § 40.65(i)? the verification process, with claims of of the DOT alcohol and drug testing Guidance: The independent, self- the use of foreign prescriptions or over- regulations (e.g., selection of DHHS- employed owner-operator will be the-counter medication? approved laboratories or MROs). May notified by the BAT immediately and Guidance: Possession or use of the employer defer the 1995 or 1996 the owner-operator’s certification in controlled substances are prohibited implementation dates for testing Step 4 notes that the self-employed when operating a CMV under the employees until the collective owner-operator has been notified. No FHWA regulations regardless of the bargaining process has produced further notification is necessary. The source of the substance. A limited agreement on these discretionary BAT will provide copies 1 and 2 to the exception exists for a substance’s use in elements, or must the employer self-employed owner-operator directly. accordance with instructions provided implement testing as required by part Question 2: A driver does not have a by a licensed medical practitioner who 382? photo identification card. Must an knows that the individual is a CMV Guidance: The FHWA provided large employer representative identify the driver who operates CMVs in a safety- employers 45 weeks and small driver in the presence of the BAT/urine sensitive job and has provided employers 97 weeks collectively to specimen collector or may the employer instructions to the CMV driver that the bargain the discretionary elements of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16385 the part 382 testing program. An actual knowledge of the driver’s use of any time employment has been employer must implement alcohol and alcohol, regardless of the level of terminated for more than 30 days and controlled substances testing in alcohol in the driver’s body. The form the exceptions under § 382.301(c) were accordance with the schedule in of knowledge is not specified. It may be not met. § 382.115. If observance of the collective obtained through observation or other Question 4: Must all drivers who do bargaining process would make it method. not work for an extended period of time impossible for the employer to comply (such as layoffs over the winter or Section 382.213 Controlled Substances with these deadlines, § 382.109(a)(1) summer months) be pre-employment Use preempts the State or local bargaining drug tested each season when they requirement to the extent needed to Question 1: Must a physician return to work? meet the implementation date. specifically advise that substances in a Guidance: If the driver is considered prescription will not adversely affect the to be an employee of the company Section 382.113 Requirement For driver’s ability to safely operate a CMV during the extended (layoff) period, a Notice or may a pharmacist’s advice or pre-employment test would not be Question 1: Must a notice be given precautions printed on a container required so long as the driver has been before each test or will a general notice suffice for the advice? included in the company’s random given to drivers suffice? Guidance: A physician must testing program during the layoff period. Guidance: A driver must be notified specifically advise the driver that the However, if the driver was not before submitting to each test that it is substances in a prescription will not considered to be an employee of the required by part 382. This notification adversely affect the driver’s ability to company at any point during the layoff can be provided to the driver either safely operate a CMV. period, or was not covered by a verbally or in writing. In addition, the program, or was not covered for more Section 382.301 Pre-Employment FHWA believes that the use of the DOT than 30 days, then a pre-employment Testing Breath Alcohol Testing Form, OMB No. test would be required. 2105–0529, and the Drug Testing Question 1: What is meant by the Question 5: What must an employer Custody and Control Form, 49 CFR part phrase, ‘‘an employer who uses, but do to avail itself of the exceptions to 40, appendix A, will support the verbal does not employ, a driver * * * ?’’ pre-employment testing listed under or written notice that the test is being Describe a situation to which the phrase § 382.301(c)? conducted in accordance with Part 382. would apply. Guidance: An employer must meet all Guidance: This exception was requirements in § 382.301(c) and (d), Section 382.115 Starting Date For contained in the original drug testing including maintaining all required Testing Programs rules and was generally applied to ‘‘trip- documents. An employer must produce Question 1: In a governmental entity lease’’ drivers involved in interstate the required documents at the time of structured into various subunits such as commerce. A trip-lease driver is the Compliance Review for the departments, divisions, and offices, how generally a driver employed by one exception to apply. is the number of an employer’s drivers motor carrier, but who is temporarily Question 6: May a CDL driving skills determined for purposes of the leased to another motor carrier for one test examiner conduct a driving skills implementation date of controlled or more trips generally for a time period test administered in accordance with 49 substances and alcohol testing? less than 30 days. The phrase would CFR part 383 before a person subject to Guidance: Part 382 testing applies to also apply to volunteer organizations part 382 is tested for alcohol and governmental entities, including those that use loaned drivers. controlled substances? of the Federal government, the States, Question 2: Must school bus drivers Guidance: Yes. A CDL driving skills and political subdivisions of the States. be pre-employment tested after they test examiner, including a third party An employer is defined as any person return to work after summer vacation in CDL driving skills test examiner, may that owns or leases CMVs, or assigns each year in which they do not drive for administer a driving skills test to a drivers to operate them. Therefore, any 30 consecutive days? person subject to part 382 without first governmental entity, or a subunit of it Guidance: A school bus driver whom testing him/her for alcohol and that controls CMVs and the day-to-day the employer expects to return to duty controlled substances. The intent of the operations of its drivers, may be the next school year does not have to be CDL driving skills test is to assess a considered the employer for purposes of pre-employment tested so long as the person’s ability to operate a commercial part 382. For example, a city driver has remained in the random motor vehicle during an official government divided into various selection pool over the summer. There government test of their driving skills. departments, such as parks and public is deemed to be no break in employment However, this guidance does not allow works, could consider the departments if the driver is expected to return in the an employer (including a truck or bus as separate employers if the CMV fall. driver training school) to use a person operations are separately controlled. On the other hand, if the driver is as a current company, lease, or student The city also has the option of deeming taken out of all DOT random pools for driver prior to obtaining a verified the city as the employer of all of the more than 30 days, the exception to pre- negative test result. An employer must drivers of the various departments. employment drug testing in § 382.301 obtain a verified negative controlled would be unavailable and a drug test substance test result prior to dispatching Section 382.205 On-duty Use would have to be administered after the a driver on his/her first trip. Question 1: What is meant by the summer vacation. terms ‘‘use alcohol’’ or ‘‘alcohol use?’’ Is Question 3: Is a pre-employment Section382.303 Post-Accident Testing observation of use sufficient or is an controlled substances test required if a Question 1: Why does the FHWA alcohol test result required? driver returns to a previous employer allow post-accident tests done by Guidance: The term ‘‘alcohol use’’ is after his/her employment had been Federal, State or local law enforcement defined in § 382.107. The employer is terminated? agencies to substitute for a § 382.303 test prohibited in § 382.205 from permitting Guidance: Yes. A controlled even though the FHWA does not allow a driver to drive when the employer has substances test must be administered a Federal, State or local law 16386 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations enforcement agency test to substitute for the test(s) were not promptly does not involve movements into or out a pre-employment, random, reasonable administered. of the United States. For example, the suspicion, return-to-duty, or follow-up If the fatality occurs following the FHWA does not believe it has authority test? Will such substitutions be allowed accident and within the time limits for to require testing for transportation of in the future? the required tests, the employer shall freight from Prince George, British Guidance: A highway accident is attempt to conduct the tests until the Colombia to Red Deer, Alberta that does generally investigated by a Federal, respective time limits are reached. The not traverse the United States. State, or local law enforcement agency employer is not required to conduct any If the driver is not tested for alcohol that may determine that probable cause tests for cases in which the fatality and drugs as required by § 382.303 and exists to conduct alcohol or controlled occurs outside of the 8 and 32 hour time the motor carrier operates in the U.S. substances testing of a surviving driver. limits. during a four-month period of time after The FHWA believes that testing done by Question 4: What post-accident the event that triggered the requirement such agencies will be done to document alcohol and drug testing requirements for such a test, the motor carrier will be an investigation for a charge of driving are there for U.S. employer’s drivers in violation of part 382 and may be under the influence of a substance and involved in an accident occurring subject to penalties under § 382.507. outside the U.S.? should be allowed to substitute for a Section 382.305 Random Testing FHWA-required test. The FHWA Guidance: U.S. employers are expects this provision to be used rarely. responsible for ensuring that drivers Question 1: Is a driver who is on-duty, who have an accident (as defined in but has not been assigned a driving task, The FHWA is required by statute to § 390.5) in a foreign country are post- considered to be ready to perform a provide certain protection for drivers accident alcohol and drug tested in safety-sensitive function as defined in who are tested for alcohol and conformance with the requirements of § 382.107 subjecting the driver to controlled substances. The FHWA 49 CFR parts 40 and 382. If the test(s) random alcohol testing? believes that law enforcement agencies cannot be administered within the Guidance: A driver must be about to investigating accidents will provide required 8 or 32 hours, the employer perform, or immediately available to similar protection based on the local shall prepare and maintain a record perform, a safety-sensitive function to court’s prior action in such types of stating the reasons the test(s) was not be considered subject to random alcohol testing. administered (see §§ 382.303 (b)(1) and testing. A supervisor, mechanic, or The FHWA will not allow a similar (b)(4)). clerk, etc., who is on call to perform approach for law enforcement agencies Question 5: What post-accident safety-sensitive functions may be tested to conduct testing for the other types of alcohol and drug testing requirements at any time they are on call, ready to be testing. A law enforcement agency, are there for foreign drivers involved in dispatched while on-duty. however, may act as a consortium to accidents occurring outside the United Question 2: What are the employer’s provide any testing in accordance with States? obligations, in terms of random testing, parts 40 and 382. Guidance: Post-accident alcohol and with regard to an employee who does Question 2: May an employer allow a drug testing is required for CMV not drive as part of the employee’s usual driver, subject to post-accident accidents occurring within the U.S. and job functions, but who holds a CDL and controlled substances testing, to on segments of interstate movements may be called upon at any time, on an continue to drive pending receipt of the into Canada between the U.S.-Canadian occasional or emergency basis, to drive? results of the controlled substances test? border and the first physical delivery Guidance: Such an employee must be Guidance: Yes. A driver may continue location of a Canadian consignee. The in a random testing pool at all times, to drive, so long as no other restrictions FHWA further believes its regulations like a full-time driver. A drug test must are imposed by § 382.307 or by law require testing for segments of interstate be administered each time the enforcement officials. movements out of Canada between the employee’s name is selected from the Question 3: A commercial motor last physical pick-up location of a pool. vehicle operator is involved in an Canadian consignor and the U.S.- Alcohol testing, however, may only be accident in which an individual is Canadian border. The same would be conducted just before, during, or just injured but does not die from the true for movements between the U.S.- after the performance of safety-sensitive injuries until a later date. The Mexican border and a point in Mexico. functions. A safety-sensitive function as commercial motor vehicle driver does For example, a motor carrier has two defined in § 382.107 means any of those not receive a citation under State or shipments on a CMV from a shipper in on-duty functions set forth in § 395.2 local law for a moving traffic violation Chicago, Illinois. The first shipment will On-Duty time, paragraphs (1) through arising from the accident. How long be delivered to Winnipeg, Manitoba and (7), (generally, driving and related after the accident is the employer the second to Lloydminster, activities). If the employee’s name is required to attempt to have the driver Saskatchewan. A driver is required to be selected, the employer must wait until subjected to post-accident testing? post-accident tested for any CMV the next time the employee is Guidance: Each employer is required accident that meets the requirements to performing safety-sensitive functions, to test each surviving driver for alcohol conduct 49 CFR 382.303 Post-accident just before the employee is to perform and controlled substances as soon as testing, that occurs between Chicago, a safety-sensitive function, or just after practicable following an accident as Illinois and Winnipeg, Manitoba (the the employee has ceased performing required by § 382.303. However, if an first delivery point). The FHWA would such functions to administer the alcohol alcohol test is not administered within not require a foreign motor carrier to test. If a random selection period 8 hours following the accident, or if a conduct testing of foreign drivers for expires before the employee performs a controlled substance test is not any accidents between Winnipeg and safety-sensitive function, no alcohol test administered within 32 hours following Lloydminster. should be given, the employee’s name the accident, the employer must cease The FHWA does not believe it has should be returned to the pool, and the attempts to administer that test. In both authority over Canadian and Mexican number of employees subsequently cases the employer must prepare and motor carriers that operate within their selected should be adjusted accordingly maintain a record stating the reason(s) own countries where the movement to achieve the required rate. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16387

Question 3: How should a random program. This would entail, among Question 13: Is it permissible to testing program be structured to account other things, being held responsible for combine the drivers from the for the schedules of school bus or other the other program’s compliance, having subsidiaries of a parent employer into drivers employed on a seasonal basis? records forwarded to the employer’s one pool, with the parent employer Guidance: If no school bus drivers principal place of business on 2 days acting as a consortium? from an employer’s random testing pool notice, and being notified of and acting Guidance: Yes. are used to perform safety sensitive upon positive test results. Question 14: How should an functions during the summer, the Question 6: Once an employee is employer compute the number of employer could choose to make random randomly tested during a calendar year, random tests to be given to ensure that selections only during the school year. is his/her name removed from the pool the appropriate testing rate is achieved If the employer nevertheless chooses to of names for the calendar year? given the fluctuations in driver make selections in the summer, tests Guidance: No, the names of those populations and the high turnover rate may only be administered when the tested earlier in the year must be of drivers? drivers return to duty. returned to the pool for each new Guidance: An employer should take If some drivers continue to perform selection. Each driver must be subject to into account fluctuations by estimating safety-sensitive functions during the an equal chance of being tested during the number of random tests needed to summer, such as driving buses for each selection process. be performed over the course of the summer school, an employer could not Question 7: Is it permissible to make year. If the carrier’s driver workforce is expected to be relatively constant (i.e., choose to forego all random selections random selections by terminals? the total number of driver positions is each summer. Such a practice would Guidance: Yes. If random selection is approximately the same) then the compromise the random, unannounced done based on locations or terminals, a number of tests to be performed in any nature of the random testing program. two-stage selection process must be given year could be determined by The employer would test all selected utilized. The first selection would be multiplying the average number of drivers actually driving in the summer. made by the locations and the second With regard to testing drivers not driver positions by the testing rate. selection would be of those employees driving during the summer, the If there are large fluctuations in the at the location(s) selected. The employer has two options. One, names number of driver positions throughout selections must ensure that each of drivers selected who are on summer the year without any clear indication of employee in the pool has an equal vacation may be returned to the pool the average number of driver positions, chance of being selected and tested, no and another selection made. Two, the the employer should make a reasonable matter where the employee is located. selected names could be held by the estimate of the number of positions. Question 8: When a driver works for employer and, if the drivers return to After making the estimate, the employer two or more employers, in whose perform safety-sensitive functions should then be able to determine the random pool must the driver be before the next random selection, the number of tests necessary. included? test administered upon the drivers’ Question 15: May an employer or Guidance: The driver must be in the return. consortium include non-DOT-covered Finally, it should be noted that pool of each employer for which the employees in a random pool with DOT- reductions in the number of drivers driver works. covered employees? during summer vacations reduces the Question 9: After what period of time Guidance: No. average number of driving positions may an employer remove a casual driver Question 16: Canadians believe that over the course of the year, and thus the from a random pool? their laws require employer actions be number of tests which must be Guidance: An employer may remove tied to the nature of the job and the administered to meet the minimum a casual driver, who is not used by the associated safety risk. Canadian random testing rate. employer, from its random pool when it employers believe they will have to Question 4: Are driver positions that no longer expects the driver to be used. issue alcohol and drug testing policies are vacant for a testing cycle to be Question 10: If an employee is off that deal with all drivers in an identical included in the determination of how work due to temporary lay-off, illness, manner, not just drivers that cross the many random tests must be conducted? injury or vacation, should that border into the United States. If a motor Guidance: No. The FHWA random individual’s name be removed from the carrier wanted to add cross border work testing program tests employed or random pool? to an intra-Canadian driver’s duties, and utilized drivers, not positions that are Guidance: No. The individual’s name the driver was otherwise qualified vacant. should not be removed from the random under the FHWA rules, may the pre- Question 5: May an employer use the pool so long as there is a reasonable employment test be waived? results of another program in which a expectation of the employee’s return. Guidance: The FHWA has long driver participates to satisfy random Question 11: Is it necessary for an required, since the beginning of the drug testing requirements if the driver is used owner-operator, who is not leased to a testing program in 1988, that by the employer only occasionally? motor carrier, to belong to a consortium transferring from intrastate work into Guidance: The rules establish an for random testing purposes? interstate work requires a ‘‘pre- employer-based testing program. Guidance: Yes. employment’’ test regardless of what Employers remain responsible at all Question 12: If an employer joins a type of testing a State might have times for ensuring compliance with all consortium, and the consortium is required under intrastate laws. This of the rules, including random testing, randomly testing at the appropriate policy also applied to motor carriers for all drivers which they use, regardless rates, will these rates meet the that had a pre-employment testing of any utilization of third parties to requirements of the alcohol and program similar to the FHWA administer parts of the program. controlled substances testing for the requirement. The FHWA believes it is Therefore, to use another’s program, an employer even though the required reasonable to apply this same employer must make the other program, percent of the employer’s drivers were interpretation to the first time a by contract, consortium agreement, or not randomly tested? Canadian or Mexican driver enters the other arrangement, the employer’s own Guidance: Yes. United States. 16388 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

This policy was delineated in the CFR 382.603 to conduct reasonable designated to supervise drivers’’ to Federal Register of February 15, 1994 suspicion training on their own drivers. receive training that will enable him/her (59 FR 7302, at 7322). The FHWA A driver for another motor carrier to determine whether reasonable believes motor carriers should separate employer delivers, picks up, or has suspicion exists to require a driver to drivers into intra-Canadian and inter- some contact with the consignee’s, undergo testing under § 382.307. An State groups for their policies and the consignor’s, or other party’s trained owner-operator who does not hire or random selection pools. If a driver in supervisor. This supervisor believes supervise other drivers is not in a the intra-Canadian group (including the there is reasonable suspicion, based on supervisory position, nor are they random selection pool) were to take on their training, that the driver may have subject to the testing requirements of driving duties into the United States, used a controlled substance or alcohol § 382.307. Therefore, such an owner- the driver would be subject to a pre- in violation of the regulations. May this operator would not be subject to the employment test to take on this driving trained consignee, consignor, or other training requirements of § 382.603. task. Although the circumstance is not party’s supervisor order a reasonable actually a first employment with the suspicion test of a driver the supervisor Section 382.401 Retention of Records motor carrier, such a test would be does not supervise for the employing/ Question 1: Many small school required because it would be the first using motor carrier employer? districts are affiliated through service time the driver would be subject to part Guidance: No, the trained supervisor units which are, in essence, a coalition 382. may not order a reasonable suspicion of individual districts. Can these school test of a driver the supervisor does not districts have one common confidant for Section 382.307 Reasonable Suspicion supervise for the employing/using purposes of receiving results and Testing motor carrier employer. Motor carrier keeping records? Question 1: May a reasonable employers may not conduct reasonable Guidance: Yes. Employers may use suspicion alcohol test be based upon suspicion testing based ‘‘on reports of a agents to maintain the records, as long any information or observations of third person who has made the as they are in a secure location with alcohol use or possession, other than a observations, because of that person’s controlled access. The employer must supervisor’s actual knowledge? possible credibility problems or lack of also make all records available for Guidance: No. Information conveyed appropriate training.’’ inspection at the employer’s principal by third parties of a driver’s alcohol use The trained supervisor for the place of business within two business may not be the only determining factor consignee, consignor, or other party days after a request has been made by used to conduct a reasonable suspicion may, however, choose to do things not an FHWA representative. test. A reasonable suspicion test may required by regulation, but encouraged only be conducted when a trained by the FHWA. They may inform the Section 382.403 Reporting of Results supervisor has observed specific, driver that they believe the driver may in a Management Information System contemporaneous, articulable have violated Federal, State, or local Question 1: The FHWA regulations appearance, speech, body odor, or regulations and advise them not to are written on an annual calendar year behavior indicators of alcohol use. perform additional safety-sensitive basis. Will foreign motor carriers, using Question 2: Why does § 382.307(b) work. They may contact the employing/ this system, work from July 1 to June 30, allow an employer to use indicators of using motor carrier employer to alert or is everything to be managed on a six- chronic and withdrawal effects of them of their reasonable suspicion and month basis for the first year and then controlled substances in the request the employing/using motor fall into annual calendar years observations to conduct a controlled carrier employer take appropriate subsequently? substances reasonable suspicion test, action. In addition, they may contact the Guidance: All motor carriers must but does not allow similar effects of police to request appropriate action. manage their programs and report alcohol use to be used for an alcohol Question 4: Are the reasonable results under § 382.403, if requested by reasonable suspicion test? suspicion testing and training FHWA, on a January 1 to December 31 Guidance: The use of controlled requirements of §§ 382.307 and 382.603 basis. This means that foreign motor substances by drivers is strictly applicable to an owner-operator who is carriers will report July 1 to December prohibited. Because controlled both an employer and the only 31 results the first applicable year. substances remain present in the body employee? for a relatively long period, withdrawal Guidance: No. The requirements of Section 382.405 Access to Facilities effects may indicate that the driver has §§ 382.307 and 382.603 are not and Records used drugs in violation of the applicable to owner-operators in non- Question 1: May employers who are regulations, and therefore must be given supervisory positions. Section 382.307 subject to other Federal agencies’ a reasonable suspicion drug test. requires employers to have a driver regulations, such as the Nuclear Alcohol is generally a legal substance. submit to an alcohol and/or controlled Regulatory Commission, Department of Only its use or presence in sufficient substances test when the employer has Energy, Department of Defense, etc., concentrations while operating a CMV reasonable suspicion to believe that the allow those agencies to view or have is a violation of FHWA regulation. driver has violated the prohibitions of access to test records required to be Alcohol withdrawal effects, standing subpart B of part 382. Applying prepared and maintained by parts 40 alone, do not, therefore, indicate that a § 382.307, Reasonable Suspicion and/or 382? driver has used alcohol in violation of Testing, to an owner-operator who is an Guidance: Federal agencies, other the regulations, and would not employer and the only employee than those specifically provided for in constitute reasonable suspicion to contradicts both ‘‘reason’’ and § 382.405, may have access to an believe so. ‘‘suspicion’’ implicit in the title and the employer’s driver test records Question 3: A consignee, consignor, purpose of § 382.307. A driver who has maintained in accordance with parts 40 or other party is a motor carrier self-knowledge that he/she has violated or 382 only when a specific, employer for purposes of 49 CFR parts the prohibitions of subpart B of part 382 contemporaneous authorization for 382 through 399. They have trained is beyond mere suspicion. Furthermore, release of the test records is allowed by their supervisors in accordance with 49 § 382.603 requires ‘‘all persons the driver. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16389

Question 2: Must a motor carrier to, worker’s compensation, information (59 FR 7501, February 14, respond to a third-party administrator’s unemployment compensation) initiated 1994). request (as directed by the specific, by or on behalf of the driver concerning Question 2: Within 14 days of first written consent of the driver authorizing prohibited conduct under 49 CFR part using a driver to perform safety- release of the information on behalf of 382. sensitive functions, an employer an entity such as a motor carrier) to Also, an employer (motor carrier) may discovers that a driver had a positive release driver information that is be required to provide the test result controlled substances and/or 0.04 contained in records required to be information pursuant to other Federal alcohol concentration test result within maintained under § 382.401? statutes or an order of a competent the previous two years. No records are Guidance: Yes. However, the third- Federal jurisdiction, such as an discovered that the driver was evaluated party administrator must comply with administrative subpoena, as allowed by by an SAP and has been released by an the conditions established concerning § 382.405(a) without the driver’s written SAP for return to work. The employer confidentiality, test results, and record consent. removes the driver immediately from keeping as stipulated in the ‘‘Notice: Question 5: What is meant by the term the performance of safety-sensitive Guidance on the Role of Consortia and ‘‘as required by law’’ in relation to State duties. Is there a violation of the Third-Party Administrators (C/TPA) in or local laws for disclosure of public regulations? DOT Drug and Alcohol Testing records relating to a driver’s testing Guidance: Based on the scenario as Programs’’ published on July 25, 1995, information and test results? presented, only the driver is in violation in Volume 60, No. 142, in the Federal Guidance: The term ‘‘as required by of the rules. Register. Motor carriers must comply law’’ in § 382.405(a) means Federal Question 3: Must an employer completely with 49 CFR 382.413 and statutes or an order of a competent investigate a driver’s alcohol and drug 382.405 as well as any applicable Federal jurisdiction, such as an testing background prior to January 1, regulatory guidance. Please note that administrative subpoena. The Omnibus 1995? written consent must be obtained from Transportation Employee Testing Act of Guidance: No. The first the employee each time part 382 1991, and the implementing regulations implementation date of the part 382 information is provided to a C/TPA, the in part 382, require that test results and testing programs was January 1, 1995. consent must be specific to the medical information be confidential to Section 382.413 requires subsequent individual or entity to whom the maximum extent possible. (Pub. L. employers to obtain information information is being provided, and that 102–143, Title V, sec. 5(a)(1), 105 Stat. retained by previous employers that the blanket or non-specific consents to 959, codified at 49 U.S.C. 31306). In previous employers generated under a release information are not allowed. addition, the Act preempts inconsistent part 382 testing program. Since no Question 3: May employers allow State or local government laws, rules, employer was allowed to conduct any unions or the National Labor Relations regulations, ordinances, standards, or type of alcohol or drug test under the Board to view or have access to test orders that are inconsistent with the authority of part 382 prior to January 1, records required to be prepared and regulations issued under the Act. 1995, no tests conducted prior to 1995 maintained by parts 40 and/or 382, such The FHWA believes the only State are required to be obtained under as the list(s) of all employees actually and local officials that may have access § 382.413. An employer may, however, tested? to the driver’s records under under its own authority, request that a Guidance: Unions and the National § 382.405(d) and 49 U.S.C. 31306, driver who was subject to part 391 drug Labor Relations Board may have access without the driver’s written consent, are testing provide prior testing to the list(s) of all employees in the State or local government officials that information. random pool or the list(s) of all have regulatory authority over an Question 4: Must a motor carrier employees actually tested. The dates of employer’s (motor carrier’s) alcohol and respond to a third-party administrator’s births and SSNs must be removed from drug testing programs for purposes of request (as directed by the specific, these lists prior to release. However, enforcement of part 382. Such State and written consent of the driver authorizing access to the employee’s negative or local agencies conduct employer (motor release of the information on behalf of positive test records maintained in carrier) compliance reviews under the an entity such as a motor carrier) to accordance with parts 40 or 382 can be FHWA’s Motor Carrier Safety Assistance release driver information that is granted only when a specific, Program (MCSAP) on the FHWA’s contained in records required to be contemporaneous authorization for behalf in accordance with 49 CFR part maintained under § 382.401? release of the test records is allowed by 350. Guidance: Yes. However, the third- the driver. party administrator must comply with Question 4: May an employer (motor Section 382.413 Release of Alcohol the conditions established concerning carrier) disclose information required to and Controlled Substances Test confidentiality, test results, and record be maintained under 49 CFR part 382 Information by Previous Employers keeping as stipulated in the ‘‘Notice: (pertaining to a driver) to the driver or Question 1: What is to be done if a Guidance on the Role of Consortia and the decision maker in a lawsuit, previous employer does not make the Third-Party Administrators (C/TPA) in grievance, or other proceeding records available in spite of the DOT Drug and Alcohol Testing (including, but not limited to, worker’s employer’s request along with the Programs’’ published on July 25, 1995, compensation, unemployment driver’s written consent? in Volume 60, No. 142, in the Federal compensation) initiated by or on behalf Guidance: Employers must make a Register. Motor carriers must comply of the driver, without the driver’s reasonable, good faith effort to obtain completely with §§ 382.413 and 382.405 written consent? the information. If a previous employer as well as any applicable regulatory Guidance: Yes, a motor carrier has refuses, in violation of § 382.405, to guidance. Please note that written discretion without the driver’s consent release the information pursuant to the consent must be obtained from the as provided by § 382.405(g), to disclose new employer’s and driver’s request, the employee each time part 382 information to the driver or the decision new employer should note the attempt information is provided to a C/TPA, that maker in a lawsuit, grievance, or other to obtain the information and place the the consent must be specific to the proceeding (including, but not limited note with the driver’s other testing individual or entity to whom 16390 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations information is being provided, and that of receipt; however, it is advisable for Guidelines: The DOT does not certify, blanket or non-specific consents to the employer to note the attempt, the license, or approve individual SAPs. release information are not allowed. refusal, and the consequences of such The SAP must be able to demonstrate to action. Also, please note that the signing the employer qualifications necessary to Section 382.501 Removal From Safety- of the policy by the employee is in no meet the DOT rule requirements. The Sensitive Functions way an acknowledgment that the policy DOT rules define the SAP to be a Question 1: What work may the driver itself complies with the regulations. licensed physician (medical doctor or perform for an employer, if a driver Question 2: Does § 382.601 require doctor of osteopathy), a licensed or violates the prohibitions in subpart B? employers to provide educational certified psychologist, a licensed or Guidance: A driver who has violated materials and policies and procedures to certified social worker, or a licensed or the prohibitions of subpart B may drivers after the initial distribution of certified employee assistance perform any duties for an employer that required educational materials? professional. All must have knowledge are not considered ‘‘safety-sensitive Guidance: No. of and clinical experience in the functions.’’ This may include handling diagnosis and treatment of substance Section 382.603 Training for of materials exclusively in a warehouse, abuse-related disorders (the degrees and Supervisors regardless of whether the materials are certificates alone do not confer this considered hazardous as long as safety- Question 1: Does § 382.603 require knowledge). In addition, alcohol and sensitive functions are not performed. employers to provide recurrent training drug abuse counselors certified by the Safety-sensitive functions may not be to supervisory personnel? National Association of Alcoholism and performed until the individual has been Guidance: No. Drug Abuse Counselors Certification evaluated by an SAP, complied with Question 2: May an employer accept Commission, a national organization any recommended treatment, has been proof of supervisory training for a that imposes qualification standards for re-evaluated by an SAP, has been supervisor from another employer? treatment of alcohol-related disorders, allowed by the SAP to return to work Guidance: Yes. are included in the SAP definition. and has passed a return to duty test. Section 382.605 Referral, Evaluation, Question 4: Are employers required to and Treatment refer a discharged employee to an SAP? Section 382.507 Penalties Guidance: The rules require an Question 1: What is the fine or Question 1: Must an SAP evaluation employer to advise the employee, who penalty for employers who refuse or fail be conducted in person or may it be engages in conduct prohibited under the to provide Part 382 testing information conducted telephonically? DOT rules, of the available resources for to a subsequent employer? Guidance: Both the initial and follow- evaluation and treatment including the Guidance: Title 49 U.S.C. 521(b)(2)(A) up SAP evaluations are clinical names, addresses, and telephone provides for civil penalties not to processes that must be conducted face- numbers of SAPs and counseling and exceed $500 for each instance of to-face. Body language and appearance treatment programs. In the scenario refusing or failing to provide the offer important physical cues vital to the where the employer discharges the information required by § 382.405. evaluation process. Tremors, needle employee, that employer would be Criminal penalties may also be imposed marks, dilated pupils, exaggerated considered to be in compliance with the under 49 U.S.C. 521(b)(6). movements, yellow eyes, glazed or rules if it provided the list to the bloodshot eyes, lack of eye contact, a employee and ensured that SAPs on the Section 382.601 Motor Carrier physical slowdown or hyperactivity, list were qualified. This employer has Obligation To Promulgate a Policy on appearance, posture, carriage, and no further obligation (e.g., to facilitate the Misuse of Alcohol and Use of ability to communicate in person are referral to the SAP; ensure that the Controlled Substances vital components that cannot be employee receives an SAP evaluation; Question 1: If a driver refuses to sign determined telephonically. In-person pay for the evaluation; or seek to obtain, a statement certifying that he or she has sessions carry with them the added or maintain the SAP evaluation received a copy of the educational advantage of the SAP’s being able to synopsis). materials required in § 382.601 from provide immediate attention to Question 5: How will the SAP their employer, will the employee be in individuals who may be a danger to evaluation process differ if the violation of § 382.601? May the driver’s themselves or others. employee is discharged by the employer supervisor sign the certificate of receipt Question 2: Are employers required to rather than retained following a rule indicating that the employee refused to provide intervention and treatment for violation? sign? drivers who have a substance abuse Guidance: After engaging in Guidance: The employer is problem or only refer drivers to be prohibited conduct and prior to responsible for ensuring that each driver evaluated by an SAP? performing safety-sensitive duties in signs a statement certifying that he or Guidance: An employer who wants to any DOT regulated industry, the she has received a copy of the materials continue to use or hire a driver who has employee must receive a SAP required in § 382.601. The employer is violated the prohibitions in subpart B in evaluation. And, when assistance with a required to maintain the original of the the past must ensure that a driver has problem is clinically indicated, the signed certificate and may provide a complied with any SAP’s recommended employee must receive that assistance copy to the driver. The employer would treatment prior to the driver returning to and demonstrate successful compliance be in violation if it uses a driver, who safety-sensitive functions. However, with the recommendation as evaluated refuses to comply with § 382.601, to employers must only refer to an SAP through an SAP follow-up evaluation. perform any safety sensitive function, drivers who have tested positive for The SAP process has the potential to because § 382.601 is a requirement controlled substances, tested 0.04 or be more complicated when the placed on the employer. The employee greater alcohol concentration, or have employee is not retained by the would not be in violation if he or she violated other prohibitions in subpart B. employer. In such circumstances, the drove without signing for the receipt of Question 3: Under the DOT rules, SAP will likely not have a connection the policy. It is not permissible for the must an SAP be certified by the DOT in with the employer for whom the driver’s supervisor to sign the certificate order to perform SAP functions? employee worked nor have immediate Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16391 access to the exact nature of the rule prohibited from permitting the labor-management agreements. violation. In addition, the SAP may employee to engage in safety-sensitive Therefore, in some instances, this issue have to hold the synopsis of evaluation duties until evaluated. If the evaluation has become part of labor-management and recommendation for assistance reveals that assistance is needed, the negotiations. report until asked by the employee to employee must receive the assistance, Some employers have hired or forward that information to a new be re-evaluated by the SAP (and contracted staff for the purpose of employer who wishes to return the determined to have demonstrated providing SAP services. For some individual to safety-sensitive duties. In successful compliance with the employees, especially those who have some cases, the SAP may provide the recommendation), and pass a return-to- been released following a violation, evaluation, referral to a treatment duty alcohol and/or drug test prior to payment for SAP services will become professional, and the follow-up performing safety-sensitive duties. their responsibility. In any case, the evaluation before the employee has Question 8: Can an employer overrule SAP should be suitable to the employer received an offer of employment. This an SAP treatment recommendation? who chooses to return the employee to circumstance may require the SAP to Guidance: No. If found to need safety-sensitive functions. Employer hold all reports until asked by the assistance, the employee cannot return policies should address this payment individual to forward them to the new to safety-sensitive functions until an issue. employer. If the new employer has a SAP’s follow-up evaluation determines Regarding follow-up testing designated SAP, that SAP may conduct that the employee has demonstrated recommended by the SAP, when an the follow-up evaluation despite the fact successful compliance with the employer decides to return the that the employee’s SAP has already recommended treatment. An employer employee to safety-sensitive duty, the done so. In other words, a new who returns a worker to safety-sensitive employer is essentially determining that employer may determine to its own duties when the employee has not the costs associated with hiring and satisfaction (e.g., by having the complied with the SAP’s training a new employee exceeds the prospective employee receive a follow- recommendation is in violation of the costs associated with conducting follow- up SAP evaluation utilizing the DOT rule and is, therefore, subject to a up testing of the returning employee. In employer’s designated SAP) that the penalty. any case, whether the employer pays or Question 9: Is an employer obligated prospective employee has demonstrated the employee pays, if the employee to return an employee to safety-sensitive successful compliance with returns to performance of safety- duty following the SAP’s finding during recommended treatment. sensitive functions, the employer must the follow-up evaluation that the Question 6: Do community lectures ensure that follow-up testing occurs as employee has demonstrated successful and self-help groups qualify as required. The employer will be held education and/or treatment? compliance with the treatment accountable if the follow-up testing plan Guidance: Self-help groups and recommendation? is not followed. community lectures qualify as Guidance: Demonstrating successful education but do not qualify as compliance with prescribed treatment Question 12: Can the SAP direct that treatment. While self-help groups such and testing negative on the return-to- an employee be tested for both alcohol as Alcoholics Anonymous (AA) and duty alcohol test and/or drug test, are and drugs for the return-to-duty test and Narcotics Anonymous (NA) are crucial not guarantees of employment or of during the follow-up testing program? to many employees’ recovery process, return to work in a safety-sensitive Guidance: If the SAP determines that these efforts are not considered to be position; they are preconditions the an employee referred for alcohol misuse treatment programs in and of employee must meet in order to be also uses drugs, or that an employee themselves. However, they can serve as considered for hiring or reinstatement to referred for drugs use also misuses vital adjuncts in support of treatment safety-sensitive duties by an employer. alcohol, the SAP can require that the program efforts. AA and NA programs Question 10: Can an employee receive individual be tested for both substances. require a level of anonymity which the follow-up from an SAP who did not The SAP’s decision to test for both can makes reporting client progress and conduct the initial SAP evaluation? be based upon information gathered prognosis for recovery impossible. If the Guidance: Although it is preferable during the initial evaluation, the SAP’s client provides permission, AA and NA for the same SAP to conduct both consultation contacts with the treatment sponsors can provide attendance status evaluations, this will not be realistic in program, and/or the information reports to the SAP. Therefore, if a client some situations. For instance, the initial presented during the follow-up is referred to one of these groups or to SAP may no longer be in the area, still evaluation. community lectures as a result of the under contract to the employer, or still Question 13: Can random testing be SAP evaluation, the employee’s hired by the employer to conduct the substituted for required follow-up attendance, when it can be service. Additionally, the employee may testing? independently validated, can satisfy a have moved from the area to a new Guidance: Follow-up testing is SAP recommendation for education as location. In all cases, the employer directly related to a rule violation and well as a gauge for determining responsibility is to ensure that both the subsequent return to safety-sensitive successful compliance with a treatment initial SAP and the follow-up SAP are duty. Random tests are independent of program when both education and qualified according to the DOT rules. rule violations. Therefore, the two test treatment are recommended by the Question 11: Who is responsible for types are to be separated—one cannot be SAP’s evaluation. reimbursing the SAP for services substituted for the other or be Question 7: Can an employee who has rendered? Who is responsible for paying conducted in lieu of the other. Follow- violated the rules return to safety- for follow-up testing recommended by up testing should be unpredictable, sensitive functions prior to receiving an the SAP? unannounced, and conducted not less SAP evaluation? Guidance: The DOT rules do not affix than six times throughout the first 12 Guidance: The employee is prohibited responsibility for payment for SAP months after the employee returns to from performing any DOT regulated services upon any single party. The safety-sensitive functions. Follow-up safety-sensitive function until being DOT has left discussions regarding testing can last up to 60 months. An evaluated by the SAP. An employer is payment to employer policies and to employee subject to follow-up testing 16392 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations will continue to be subject to an individual to services provided by a other occurrence. (59 FR 7320, February employer’s random testing program. treatment facility with which he or she 15, 1994) Question 14: If a company has several is affiliated, or must the inpatient Special Topics—Responsibility for employees in follow-up testing, can provider refer the individual to another Payment for Testing those employees be placed into a provider? follow-up random testing pool and Guidance: SAPs are prohibited from Question 1: Who is responsible for selected for follow-up testing on a referring an employee to themselves or paying for any testing under the alcohol random basis? to any program with which they are and drug testing program, the employer Guidance: Follow-up testing is not to financially connected. SAP referrals to or the driver? be conducted in a random way. An treatment programs must not give the Guidance: Part 382 is silent as to the employee’s follow-up testing program is impression of a conflict of interest. responsibility for paying for testing to be individualized and designed to However, a SAP is not prohibited from required under the rule. The employer ensure that the employee is tested the referring an employee for assistance remains responsible at all times for appropriate number of times as directed through a public agency; the employer ensuring compliance with the rule, by the SAP. Random testing is neither or person under contract to provide regardless of who pays for testing. individualized nor can it ensure that the treatment on behalf of the employer; the Special Topics—Multiple Service employee receives the requisite number sole source of therapeutically Providers of tests. appropriate treatment under the Question 15: What actions are to employee’s health insurance program; Question 1: May an employer use occur if an employee tests positive or the sole source of therapeutically more than one MRO, BAT, or SAP? while in the follow-up testing program? appropriate reasonably accessible to the Guidance: Yes. Guidance: Employees testing positive employee. Special Topics—Medical Examiners while in follow-up testing are subject to Question 19: What arrangement for Acting as MRO the same specific DOT operating SAP services would be acceptable in Question 1: A medical examiner administration rules as if they tested geographical areas where no qualified conducts a physical examination of a positive on the initial test. In addition, SAP is readily available? the employees are subject to employer Guidance: The driver must be given driver (§ 391.43) and also acts as the policies related to second violations of the names, addresses, and phone MRO for the driver’s pre-employment DOT rules. numbers of the nearest SAPs. Because controlled substances test. Though the Question 16: Can an SAP recommend evaluation by a qualified SAP rarely driver is otherwise physically qualified, that six follow-up tests be conducted in takes more than one diagnostic session, the medical examiner declines to issue less than six months and then be the requirement for an in-person a medical examiner’s certificate because suspended after all six are conducted? evaluation is not unreasonable, even if the driver tested positive for controlled Guidance: Follow-up testing must be it must be conducted some distance substances. What should the medical conducted a minimum of six times from the employee’s home. examiner do when the same driver, during the first twelve months following Question 20: May an employee who under the aegis of a different employer, the employee’s return to safety-sensitive tests positive be retained in a non- returns a short period later, is otherwise functions. The intent of this driving capacity? physically qualified, and tests negative requirement is that testing be spread Guidance: Yes. Before an employee for controlled substances? What, if throughout the 12 month period and not returns to performing safety-sensitive anything, may the medical examiner be grouped into a shorter interval. When functions, the requirements of § 382.605 reveal to the second employer if he/she the SAP believes that the employee must be met. declines to issue a certificate to the needs to be tested more frequently Question 21: Are foreign motor driver? during the first months after returning to carriers required to have an employee Guidance: The driver may be duty, the SAP may recommend more assistance program? physically unqualified under than the minimum six tests or can direct Guidance: No. The employee § 391.41(b)(12) if the medical examiner the employer to conduct more of the six assistance program was an element of determines, based on other evidence tests during the first months rather than the original FHWA drug testing program besides the drug test, including, but not toward the latter months of the year. under 49 CFR part 391, which has been limited to knowledge of the prior Question 17: Can you clarify the superseded by 49 CFR part 382. All positive test result, that the driver DOT’s intent with respect to a SAP’s motor carriers under part 382 alcohol continues to use prohibited drugs determination that an individual needs and drug testing regulations must refer (§ 391.43 Medical examination; education? drivers, who operate in the U.S. and certificate of physical examination). If Guidance: A SAP’s decision that an violate the FHWA’s alcohol and drug the medical examiner so determines, a individual needs an education program testing regulations, to a substance abuse medical examiner’s certificate may not constitutes a clinically based professional. be issued. If the medical examiner determination that the individual determines that the driver does not use requires assistance in resolving Subpart B—Prohibitions prohibited drugs, a medical examiner’s problems with alcohol misuse and Question 1: Does the term, ‘‘actual certificate may be issued. controlled substances use. Therefore, knowledge,’’ used in the various The FHWA does not regulate the SAP is prohibited from referring the prohibitions in subpart B of part 382, communications between a medical individual to her or his own practice for require direct observation by a examiner and employer, other than this recommended education unless supervisor or is it more general? requiring notification by the MRO to the exempted by DOT rules. Guidance: The form of actual employer of controlled substances test Question 18: In rare circumstances, it knowledge is not specified, but may results under Part 382 [see § 382.407(a)]. is necessary to refer an individual result from the employer’s direct Though medical examiners must retain immediately for inpatient substance observation of the employee, the the physical examination form, abuse services. May the SAP provide driver’s previous employer(s), the employers are not required to do so. direct treatment services or refer the employee’s admission of alcohol use, or Many employers choose, however, to Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16393 contract with medical examiners to if they are operating a CMV or if they are only driven for limited distances, at provide copies of the ‘‘long form’’ to the only test drive a vehicle? less than normal highway speeds and/ employers. The FMCSRs leave it solely Guidance: Yes, if the vehicle is or incidental to their primary function, a matter between the medical examiner operated or test-driven on a public does not exempt the operators from the and the employer whether the medical highway. CDL requirements. examiner merely declines to issue a Question 3: Does part 383 apply to Question 9: May a State require medical examiner’s certificate or also drivers of recreational vehicles? persons operating recreational vehicles makes available to the employer the Guidance: No, if the vehicle is used or other CMVs used by family members long form, which may include notes on strictly for non-business purposes. for non-business purposes to have a alcohol and controlled substances use. Question 4: Does part 383 apply to CDL? drivers of vehicles used in ‘‘van pools’’? Guidance: Yes. States may extend the Special Topics—Biennial (Periodic) Guidance: Yes, if the vehicle is CDL requirements to recreational Testing Requirements designed to transport 16 or more people. vehicles. Question 1: May an employer perform Question 5: May a person operate a Question 10: Do drivers of either a testing beyond that required by the CMV wholly on private property, not tractor trailer or straight truck that is DOT? open to public travel, without a CDL? converted into a mobile office need a Guidance: An employer may perform Guidance: Yes. CDL? Question 6: Does off-road motorized any testing provided it is consistent Guidance: Yes, if the vehicle meets construction equipment meet the with applicable law and agreements, the definition of a CMV. definitions of ‘‘motor vehicle’’ and and is not represented as a DOT test. Question 11: Do State motor vehicle ‘‘commercial motor vehicle’’ as used in Question 2: Does part 382 require a inspectors who drive trucks and §§ 383.5 and 390.5? motorcoaches on an infrequent basis CMV driver to carry proof of compliance Guidance: No. Off-road motorized with part 382 and part 40? and for short distances as part of their construction equipment is outside the job have to obtain a CDL? Guidance: No. The drug and alcohol scope of these definitions: (1) When testing is employer-based and proof of Guidance: Yes. operated at construction sites; and (2) Question 12: Are State, county and compliance must be maintained by the when operated on a public road open to municipal workers operating CMVs employer. The only certificate that is unrestricted public travel, provided the required to obtain CDLs? required to be in the driver’s possession equipment is not used in furtherance of Guidance: Yes, unless they are while operating a CMV is the medical a transportation purpose. Occasionally waived by the State under the examiner’s certificate required in driving such equipment on a public firefighting and emergency equipment § 391.41(a) and, if applicable, a waiver road to reach or leave a construction site exemption in § 383.3(d). of certain physical defects issued under does not amount to furtherance of a Question 13: Do the regulations § 391.49. transportation purpose. Since require that a person driving an empty Part 383ÐCommercial Driver's License construction equipment is not designed school bus from the manufacturer to the Standards; Requirements and Penalties to operate in traffic, it should be local distributor obtain a CDL? Sections Interpreted accompanied by escort vehicles or in Guidance: Yes. Any driver of a bus 383.3 Applicability some other way separated from the that is designed to transport 16 or more 383.5 Definitions public traffic. This equipment may also persons, or that has a GVWR of 26,001 383.21 Number of Drivers’ Licenses be subject to State or local permit pounds or more, is required to obtain a 383.23 Commercial Driver’s License requirements with regard to escort CDL in the applicable class with a 383.31 Notification of Convictions for vehicles, special markings, time of day, passenger endorsement. Driver Violations day of the week, and/or the specific Question 14: Are employees of any 383.33 Notification of Driver’s License route. governmental agency who drive Suspensions Question 7: What types of equipment emergency response vehicles that 383.37 Employer Responsibilities are included in the category of off-road transport HM in quantities requiring 383.51 Driver Disqualifications placarding subject to the CDL —General Questions— motorized construction equipment? 383.51 Driver Disqualifications Guidance: The definition of off-road regulations? —Alcohol Questions— motorized construction equipment is to Guidance: No, as long as the vehicle 383.71 Driver Application Procedures be narrowly construed and limited to does not meet the weight/configuration 383.73 State Procedures equipment which, by its design and thresholds for Groups A or B (in 383.75 Third Party Testing function is obviously not intended for § 383.91). However, under the HMTUSA 383.77 Substitute for Driving Skills Test use, nor is it used on a public road in of 1990, when a Federal, State or local 383.91 Vehicle Groups furtherance of a transportation purpose. government agency ‘‘offers HM for 383.93 Endorsements Examples of such equipment include transportation in commerce or 383.95 Air Brake Restrictions transports HM in furtherance of a 383.131 Test Procedures motor scrapers, backhoes, motor 383.133 Testing Methods graders, compactors, tractors, trenchers, commercial enterprise,’’ its vehicles are 383.153 Information on the Document and bulldozers and railroad track subject to the placarding requirements Application maintenance cranes. of part 172, subpart F. Vehicles that are Special Topics—Motor Coaches and CDL Question 8: Do operators of motorized controlled and operated by government Special Topics—State Reciprocity cranes and vehicles used to pump agencies in the conduct of governmental cement at construction sites have to functions normally are not subject to Section 383.3 Applicability meet the testing and licensing placarding, since governmental Question 1: Are school and church requirements of the CDL program? activities usually are not commercial bus drivers required to obtain a CDL? Guidance: Yes, because such vehicles enterprises. Based on the above, local Guidance: Yes, if they drive vehicles are designed to be operated on the police emergency responders driving a designed to transport 16 or more people. public highways and therefore do not vehicle having a gross vehicle or Question 2: Do mechanics, shop help, qualify as off-road construction combination weight rating under 26,001 and other occasional drivers need a CDL equipment. The fact that these vehicles pounds do not need a CDL, according to 16394 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations the Federal minimum standards, when required to use HM placards, even if the designed to carry 16 or more persons transporting HM as a function of their cargo qualifies as hazardous under the and are used to transport police officers agency. The drivers should check with Federal HMRs. Unless the vehicles used during demonstrations and other crowd their State licensing agency to by these carriers had GVWRs of 26,001 control activities required to obtain a determine what class of license the State pounds or more, they would not meet CDL? may require to operate the vehicles. either the placarding or the GVWR test Guidance: Yes. The CMVSA applies Question 15: Are public transit in the jurisdictional definition of a CMV to anyone who operates a CMV, employees known as ‘‘hostlers,’’ who (§ 383.5), and the driver would be including employees of Federal, State maintain and park transit buses on exempt from the CDL requirements. and local governments. Crowd control transit system property, subject to CDL However, if the State has adopted the activities do not meet the conditions for requirements? HMRs, or the placarding requirements a waiver of operators of firefighting and Guidance: No, unless operating on of 49 CFR part 172, as regulations other emergency vehicles in § 383.3(d). public roads. applicable to intrastate commerce, then Question 22: May fuel be considered Question 16: Are non-military the drivers of all vehicles required to ‘‘farm supplies’’ as used in amphibious landing craft that are use placards must also have CDLs. § 383.3(d)(1)? usually used in water but occasionally If the State promulgates its own rules Guidance: Yes. The decision to grant used on a public highway CMVs? for the regulation of HM in intrastate the waiver is left to each individual Guidance: Yes, if they are designed to commerce, instead of adopting the State. transport 16 or more people. HMRs, and those rules are approved by Question 23: Is the transportation of Question 17: Are students who will be the FHWA under 49 CFR 355.21(c)(3) seed-cotton modules from the cotton trained to be motor vehicle operators and paragraph 3(d) of the Tolerance field to the gin by a module transport subject to alcohol and drug testing? Are Guidelines (49 CFR part 350, appendix vehicle considered a form of custom they required to obtain a CDL in order C), the drivers of vehicles with GVWRs harvesting activity that may be included to operate training vehicles provided by of less than 26,001 pounds transporting under the FRSI waiver (§ 383.3(f))? the school? such materials in intrastate commerce Guidance: Yes. The transportation of Guidance: Yes. Section 382.107 are required to obtain CDLs only if State seed-cotton modules from field to gin includes the following definitions: law requires the use of placards. may, at the State’s discretion, be Employer means any person Question 19: Must a civilian operator considered as custom harvesting and (including the United States, a State, of a CMV, as defined in § 383.5, who therefore eligible for the FRSI waiver. District of Columbia or a political operates wholly within a military However, cotton ginning operations as subdivision of a State) who owns or facility open to public travel, have a an industry and, specifically the leases a CMV or assigns persons to CDL? transport of cotton from the gin, are not operate such a vehicle. The term Guidance: Yes. The CDL requirement eligible activities under the FRSI waiver employer includes an employer’s applies to every person who operates a because these activities are not agents, officers and representatives. CMV in interstate, foreign or intrastate considered appropriate elements of Driver means any person who commerce. Driving a CMV on a road, custom harvesting. operates a CMV. * ** street or way which is open to public Question 24: Does the amendment of Truck and bus driver training schools travel, even though privately-owned or the CMVSA by the Motor Carrier Act of meet the definition of an employer subject to military control, is prima 1991 exempt all custom harvesting because they own or lease CMVs and facie evidence of operation in operations from the CDL requirements assign students to operate them at commerce. or only the operation of combines? appropriate points in their training. Question 20: Does the FHWA include Guidance: Section 4010 of the Motor Similarly, students who actually operate the Space Cargo Transportation System Carrier Act of 1991 (Title IV of Pub. L. CMVs to complete their course work (SCTS) off-road motorized military 102–240, 105 Stat 1914, 2156, December qualify as drivers. equipment under the definitions of 18, 1991) modifies the definition of a The CDL regulations provide that ‘‘no ‘‘motor vehicle’’ and ‘‘commercial motor ‘‘motor vehicle’’ in 49 U.S.C. 31301(11) person shall operate’’ a CMV before vehicle’’ as used in § 383.5? by excluding ‘‘custom harvesting farm passing the written and driving tests Guidance: No. Although the SCTS has machinery’’ from the definition. The required for that vehicle (§ 383.23(a)(1)). vehicular aspects (it is mechanically conference report clarifies the intent of Virtually all of the vehicles used for propelled on wheels), the SCTS is the exclusion by stating: ‘‘The substitute training purposes meet the definition of obviously incompatible with highway [provision] removes custom harvesting a CMV, and student drivers must traffic and is found only at locations farm machinery from the Act. Operators therefore obtain a CDL. adjacent to military bases in California of such machinery are not covered by Question 18: May States exempt and Florida, and is operated by skilled the Commercial Motor Vehicle Safety motor carriers which operate wholly in technicians. The SCTS is moved to and Act of 1986. A State, however, may still intrastate commerce from the Federal from its point of manufacture to its impose a requirement for a commercial HMRs, thus exempting from the CDL launch site by ‘‘driving’’ the ‘‘vehicles’’ driver’s license if it so desires. The requirement the driver of an short distances on public roads at change does not apply to vehicles used unplacarded vehicle with a GVWR of speeds of five MPH or less. This is only to transport this type of machinery.’’ less than 26,001 pounds? incidental to their primary functions; (H.R. Conf. Rep. No. 404, 102d Cong., Guidance: The HMRs apply to motor the SCTS is not designed to operate in 1st Sess. 449 (1991)). carriers in intrastate commerce only if traffic; and its mechanical manipulation Therefore, the intent of Congress was they transport hazardous wastes, often requires a different set of only to exempt operators of combines hazardous substances, flammable knowledge and skills. In most instances, and other equipment used to cut the cryogenic liquids in portable tanks and the SCTS has to be specially marked, grain and not the operators of trucks, cargo tanks, and marine pollutants (as escorted, and attended by numerous tractors, trailers, semitrailers or any those terms are defined in the HMRs) observers. other CMV. (see 49 CFR 171.1(a)(3)). Such carriers Question 21: Are police officers who Question 25: May a State (1) require transporting any other cargo are not operate buses and vans which are an applicant for a CDL farmer waiver Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16395

(§ 383.3(d)) to take HM training as a meet the strict limits imposed by the officers to determine the applicability of condition for being granted a waiver and waiver conditions. part 383, which has a GVWR threshold (2) reduce the 150-mile provision in the Question 30: May a State exempt of 26,001 pounds. In order to frustrate waiver to 50 miles if the driver is commercial motor vehicle drivers willful evasion of safety regulations, an transporting HM? employed by farm cooperatives from the officer may therefore presume that a Guidance: Yes. The Federal farm commercial driver’s license (CDL) vehicle which does not have a waiver is permissive, not mandatory. requirements under the farmer waiver manufacturer’s GVWR plate and/or does Question 26: Do active duty military (§ 383(d))? not have a VIN number has a GVWR of personnel, not wearing military Guidance: No. The waiver covers only 26,001 pounds or more if: (1) It has a uniforms, qualify for a waiver from the operators of farm vehicles which are size and configuration normally CDL requirements if the CMVs are rental controlled and operated by ‘‘farmers’’ as associated with vehicles that have a trucks or leased buses from the General defined in § 390.5. The waiver does not GVWR of 26,001 pounds or more; and Services Administration? extend to ancillary businesses, like (2) It has an actual gross weight of Guidance: Yes. The drivers in cooperatives, that provide farm-related 26,001 pounds or more. question do not need to be in military services to members. As stated in the A motor carrier or driver may rebut uniforms to qualify for the waivers as waiver notice (53 FR 37313, September the presumption by providing the long as they are on active duty. In regard 26, 1988), ‘‘[t]he waiver would not be enforcement officer the GVWR plate, the to the vehicles, they may be owned or available to operators of farm vehicles VIN number or other information of operated by the Department of Defense. who operate over long distances, comparable reliability which Question 27: Are custom harvesters operate to further a commercial demonstrates, or allows the officer to who harvest trees for tree farmers enterprise, or operate under contract or determine, that the GVWR of the vehicle eligible to be considered ‘‘custom for-hire for farm cooperatives or other is below the jurisdictional weight harvesters’’ for purposes of the FRSI farm groups. Such operators drive for a threshold. waiver from selected CDL requirements? living and do not drive only Question 4: If a vehicle with a Guidance: If the State considers a firm incidentally to farming.’’ manufacturer’s GVWR of less than that harvests trees for tree farmers to be Question 31: Is a person who grows 26,001 pounds has been structurally a custom harvesting operation, then its sod as a business considered a farmer modified to carry a heavier load, may an employees could qualify for the FRSI- and eligible for the farmer waiver? enforcement officer use the higher restricted CDLs, subject to the stringent Guidance: Yes, a sod farmer is eligible actual gross weight of the vehicle, conditions and limitations of the waiver for the farmer waiver provided the State instead of the GVWR, to determine the provisions in § 383.3(f). of licensure recognizes the growing of applicability of part 383? Question 28: May a farmer who meets sod to be a farming activity. all of the conditions for a farm waiver Guidance: Yes. The motor carrier’s be waived from the CDL requirements Section 383.5 Definitions intent to increase the weight rating is shown by the structural modifications. when transporting another farmer’s Question 1: a. Does ‘‘designed to When the vehicle is used to perform products absent any written contract? transport’’ as used in the definition of a functions normally performed by a Guidance: If a farmer is transporting CMV in § 383.5 mean original design or vehicle with a higher GVWR, § 390.33 another farmer’s products and being current design when a number of seats allows an enforcement officer to treat paid for doing so, he or she is acting as are removed? the actual gross weight as the GVWR of a contract carrier and does not meet the b. If all of the seats except the driver’s the modified vehicle. conditions for a farm waiver. The seat are removed from a vehicle existence of a contract, written or originally designed to transport only Question 5: When a State agency verbal, is not relevant to the CDL waiver passengers to convert it to a cargo- contracts with private parties for provisions. carrying vehicle, does this vehicle meet services involving the operation of Question 29: May a State exempt the definition of a CMV in § 383.5? CMVs, is the State agency or contractor commercial motor vehicle drivers Guidance: a. ‘‘Designed to transport’’ considered the employer? employed by a partnership, corporation means the original design. Removal of Guidance: If the contractor employs or an association engaged in farming seats does not change the design individuals and assigns and monitors from the CDL requirements under the capacity of the CMV. their driving tasks, the contractor is farmer waiver (49 CFR 383.3(d)) or is b. No, unless this modified vehicle considered the employer. If the State the waiver only available to drivers has a GVWR over 26,000 pounds or is agency assigns and monitors driving employed by a family-owned farm? used to transport placarded HM. tasks, then the State agency is the Guidance: The purpose of the farmer Question 2: Are rubberized employer for purposes of part 383. exemption was to give relief to family collapsible containers or ‘‘bladder bags’’ Question 6: A driver operates a tractor farms (53 FR 37313, September 26, attached to a trailer considered a tank of exactly 26,000 pounds GVWR, towing 1988). The conditions for the waiver vehicle, thus requiring operators to a trailer of exactly 10,000 pounds were established to ensure that the obtain a CDL with a tank vehicle GVWR, for a GCWR of 36,000 pounds. waiver focused on this type of farm endorsement? HM and passengers are not involved. Is operation. However, ‘‘farmer’’ is defined Guidance: Yes. it a CMV and does the driver need a in § 390.5 as ‘‘any person who operates Question 3: If a vehicle’s GVWR plate CDL? a farm or is directly involved in the and/or VIN number are missing but its Guidance: No to both questions. cultivation of land, crops, or livestock actual gross weight is 26,001 pounds or Although the vehicle has a GCWR of which (a) [a]re owned by that person; or more, may an enforcement officer use 36,000 pounds, it is not a CMV under (b) [a]re under the direct control of that the latter instead of GVWR to determine any part of the definition of that term in person.’’ Since farming partnerships, the applicability of the Part 383? § 383.5, and a CDL is not federally corporations and associations are legal Guidance: Yes. The only apparent required. ‘‘persons,’’ States may exempt drivers reason to remove the manufacturer’s Question 7: Does the definition of a working for these organizations from the GVWR plate or VIN number is to make ‘‘commercial motor vehicle’’ in § 383.5 CDL requirements, provided they can it impossible for roadside enforcement of the CDL requirements include 16396 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations parking lot and/or street sweeping definition of a State in section 12016 of Section 383.33 Notification of Driver’s vehicles? the CMVSA (49 U.S.C. § 31301(13)), License Suspensions Guidance: If the GVWR of a parking they must be considered foreign Question 1: When a driver (a) receives lot or street sweeping vehicle is 26,001 countries for purposes of the CDL an Administrative Order of Suspension or more pounds, it is a CMV under the requirements. Under part 383, a person due to a blood alcohol reading in excess CDL regulations. domiciled in a foreign country is not of the legal limit with notice that the Question 8: Is an employee of a required to surrender his or her foreign suspension is not to be effective until 45 Federal, State, or local government who license in order to obtain a nonresident days after the notice or after an operates a CMV, as defined in § 383.5, CDL. There are two reasons for administrative hearing, and (b) a hearing including an emergency medical permitting this dual licensing to a is subsequently held, in effect vehicle, required to obtain a CDL? If so, person domiciled in Puerto Rico: (a) suspending the license, what is the why are such drivers considered as There is no reciprocal agreement with effective date of suspension for operating ‘‘in commerce?’’ Puerto Rico recognizing its CMV testing purposes of notifying the employer Guidance: Government employees and licensing standards as equivalent to under § 383.33? who drive CMVs are generally required the standards in part 383 and, (b) the Guidance: The effective date of the to obtain a CDL. However, operators of nonresident CDL may not be recognized suspension for notification purposes is firefighting and related emergency as a valid license to drive in Puerto the day the employee received notice of equipment may be exempt from the CDL Rico. the suspension. requirement [53 FR 37313, September 26, 1988], at a State’s discretion. Drivers Section 383.23 Commercial Driver’s Section 383.37 Employer of large advanced life support vehicles License Responsibilities operated by municipalities would Question 1: May a holder of a CMV Question 1: Section 383.37(a) does not therefore, at a State’s discretion, qualify learner’s permit continue to hold his/ allow employers to knowingly use a for the exemption. her basic driver’s license from any State driver whose license has been Government employees who drive without violating the single-license suspended, revoked or canceled. Do CMVs are operating in ‘‘commerce,’’ as rule? motor carriers have latitude in their defined in § 383.5, because they perform Guidance: Yes, since the learner’s resulting actions: firing, suspension, functions that affect interstate trade, permit is not a license. layoff, authorized use of unused traffic, or transportation. Nearly all Question 2: The requirements for vacation time during suspension government CMVs are used, directly or States regarding CMV learners’ permits duration, transfer to nondriving position indirectly, to facilitate or promote such in § 383.23 appear to be ambiguous. For for duration of the suspension? trade, traffic, and transportation. example, if the CMV learner’s permit is Guidance: Yes. The employer’s Question 9: The definition of a ‘‘considered a valid CDL’’ for minimum responsibility is to prohibit passenger CMV is a vehicle ‘‘designed to instructional purposes, is the State to operation of a CMV by such an transport’’ more than 15 passengers, enter the learner’s permit issuance as a employee. Question 2: a. A motor carrier recently including the driver. Does that include CDLIS transaction? found a driver who had a detectable standing passengers if the vehicle was Guidance: No such requirement presence of alcohol, placed him off-duty specifically designed to accommodate currently exists. in accordance with § 392.5, and ordered standees? Question 3: Is a CDL required for CMV Guidance: No. ‘‘Designed to a blood test which disclosed a blood operations that occur exclusively in transport’’ refers only to the number of alcohol concentration of 0.05 percent. Is places where the general public is never designated seats; it does not include the carrier obligated to place the driver allowed to operate, such as airport areas suitable, or even designed, for out of service for 24 hours as prescribed taxiways or other areas restricted from standing passengers. by § 392.5(c)? Question 10: What is considered a the public? b. Is the carrier obligated to disqualify ‘‘public road’’? Guidance: No. FHWA regulations the driver for a period of one year as Guidance: A public road is any road would not require a CMV driver to prescribed by §§ 383.51(b) and under the jurisdiction of a public agency obtain a CDL under those 391.15(c)(3)(i) of the FMCSRs? and open to public travel or any road on circumstances. The Federal rules are Guidance: a. Only a State or Federal private property that is open to public minimum standards, however, and State official can place a driver out of service. travel. law may require a CDL for operations Instead, the carrier is obligated to place not covered by part 383. the driver off-duty and prevent him/her Section 383.21 Number of Drivers’ from operating or being in control of a Licenses Section 383.31 Notification of Convictions for Driver Violations CMV until he/she is no longer in Question 1: Are there any violation of § 392.5. circumstances under which the driver of Question 1: Must an operator of a b. No. A motor carrier has no a CMV as defined in § 383.5 is allowed CMV (as defined in § 383.5), who holds authority to disqualify a driver. to hold more than one driver’s license? a CDL, notify his/her current employer Disqualification for such an offense only Guidance: Yes. A recipient of a new of a conviction for violating a State or occurs upon a conviction. driver’s license may hold more than one local (non-parking) traffic law in any Question 3: If an individual driver license during the 10 days beginning on type of vehicle, as required by had two convictions for serious traffic the date the person is issued a driver’s § 383.31(b), even though the conviction violations while driving a CMV, and license. is under appeal? neither FHWA nor his/her State Question 2: Is a person from Puerto Guidance: Yes. The taking of an licensing agency took any Rico required to surrender his or her appeal does not vacate or annul the disqualification action, does the motor driver’s license in order to obtain a conviction, nor does it stay the carrier have any obligation under nonresident CDL? notification requirements of § 383.31. FHWA regulations to refrain from using Guidance: Since Puerto Rico and the The driver must notify his/her employer this driver for 60 days? If so, when does U.S. Territories are not included in the within 30 days of the date of conviction. that time period begin? Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16397

Guidance: No. Only the State or the scene of an accident involving a CMV’’ State or which the State does not wish FHWA has the authority to take a is all-inclusive and covers the entire to implement are not required. disqualification action against a driver. range of situations where the driver of Question 2: Is a driver disqualified for The motor carrier’s responsibility under the CMV is required by State law to stop driving a CMV while off-duty with a § 383.37(a) to refrain from using the after an accident and either give blood alcohol concentration over 0.04 driver begins when it learns of the information to the other party, render percent? disqualification action and continues aid, or attempt to locate and notify the Guidance: Yes. Section 383.51 applies until the disqualification period set by operator or owner of other vehicles to any person who is driving a CMV, as the State or the FHWA is completed. involved in the accident. defined in § 383.5, regardless of the Question 4: Is a driver who has a CDL, Question 5: If a State disqualifies a person’s duty status under other and has been convicted of a felony, driver for two serious traffic violations regulations. Therefore, the driver, if disqualified from operating a CMV under § 383.51(c)(2)(i), and that driver, convicted, would be disqualified under under the FMCSRs? after being reinstated, commits a third § 383.51. Guidance: Not necessarily. The serious violation, what additional Question 3: Does a temporary license FMCSRs do not prohibit a driver who period of disqualification must be issued pursuant to the administrative has been convicted of a felony, such as imposed on that driver? license revocation (ALR) procedure drug dealing, from operating a CMV Guidance: If three years have not authorize the continued operation of unless the offense involved the use of a elapsed since the original violation, CMVs when the license surrendered is CMV. If the offense involved a non- then the driver is now subject to a full a CDL? Does the acceptance of a CMV, or was unrelated to motor 120-day disqualification period. temporary driver’s license place the vehicles, there is no FMCSR prohibition Question 6: May a State issue a CDL holder in violation of the one to employment of the person as a driver. ‘‘conditional,’’ ‘‘occupational’’ or driver’s license requirement? Section 383.51 Driver Disqualifications ‘‘hardship’’ license that includes CDL driving privileges when a CDL holder Guidance: The ALR procedure of —General Questions— loses driving privileges to operate a taking possession of the driver’s CDL Question 1: a. If a driver received one private passenger vehicle (non-CMV)? and issuing a ‘‘temporary license’’ for ‘‘excessive speeding’’ violation in a Guidance: Yes, provided the CDL individuals who either fail a chemical CMV and the same violation in his/her holder loses his/her driving privileges alcohol test or refuse to take the test is personal passenger vehicle, would the for operating a non-CMV as the result of valid under the requirements of part driver be disqualified? or, a conviction for a disqualifying offense 383. Since the CDL that is being held by b. If a driver received two ‘‘excessive that occurred in a non-CMV. A State is the State is still valid until the speeding’’ violations in his/her personal prohibited, however, from issuing any administrative revocation action is passenger vehicle, would the driver be type of license which would give the taken, the FHWA would interpret the disqualified? driver even limited privileges to operate document given to the driver as a Guidance: No, in both cases. a CMV when the conviction is for a ‘‘receipt’’ for the CDL, not a new Convictions for serious traffic disqualifying offense that occurred in a ‘‘temporary’’ license. The driver violates violations, such as excessive speeding, CMV. no CDL requirements for accepting the only result in disqualification if the Question 7: What information needs receipt which may be used to the extent offenses were committed in a CMV— to be contained on a ‘‘conditional,’’ authorized. unless the State has stricter regulations. ‘‘occupational’’ or ‘‘hardship’’ license Question 4: Is a driver disqualified Question 2: Section 383.51 of the document that includes CDL driving under § 383.51 if convicted of driving FMCSRs disqualifies drivers if certain privileges? under the influence of alcohol while offenses were committed while Guidance: The same information that operating a personal vehicle? operating a CMV. Will the States be is required under § 383.153, including Guidance: The convictions triggering required to identify on the motor an explanation of restrictions of driving mandatory disqualification under vehicle driver’s record the class of privileges. § 383.51 all pertain to offenses that vehicle being operated when a violation Question 8: Is a State obligated to occur while the person is driving a occurs? grant reciprocity to another State’s CMV. However, a driver could be Guidance: No, only whether or not ‘‘conditional,’’ ‘‘occupational’’ or disqualified under § 383.51(b)(2)(i) if the the violation occurred in a CMV. The ‘‘hardship’’ license that includes CDL State has stricter standards which apply only other indication that may be driving privileges? to offenses committed in a personal required is if the vehicle was carrying Guidance: Yes, in regard to operating vehicle. (The same principle applies to placardable amounts of HM. a CMV as stated in § 383.73(h). all other disqualifying offenses listed in Question 3: If a CDL holder commits § 383.51.) an offense that would normally be Section 383.51 Driver Disqualifications Question 5: Would a driver convicted disqualifying, but the CDL holder is —Alcohol Questions— driving under the farm waiver, must under a State’s ‘‘open container’’ law be conviction result in disqualification and Question 1: Are States expected to disqualified under the CDL regulations action against the CDL holder? make major changes to their if the violation occurred while he/she Guidance: Yes. Possession of the CDL enforcement procedures in order to was operating a CMV? means the driver is not operating under apply the alcohol disqualifications in Guidance: If a conviction under a the waiver. In addition, the waiver does the Federal regulations? particular State’s ‘‘open container law’’ not absolve the driver from Guidance: No. Sections 383.51 and is a conviction for ‘‘driving under the disqualification under part 391. 392.5 do not require any change in a influence’’ or ‘‘driving while Question 4: What is meant by leaving State’s existing procedures for initially intoxicated,’’ and if the person the scene of an accident involving a stopping vehicles and drivers. committed the violation while driving a CMV? Roadblocks, random testing programs, CMV, then the driver is disqualified for Guidance: As used in part 383, the or other enforcement procedures which one year under § 383.51, assuming it is disqualifying offense of ‘‘leaving the have been held unconstitutional in the a first offense. 16398 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Section 383.71 Driver Application skills. However, this guidance does not Question 8: Does the word ‘‘issuing’’ Procedures allow an employer (including a truck or as used in § 383.73(a) include temporary Question 1: What must a driver certify bus driver training school) to use a 60-day CDLs as well as permanent if he/she is in interstate commerce but person as a current company, lease, or CDLs? Guidance: Yes, the word ‘‘issuing’’ is excepted or exempted from part 391 student driver prior to obtaining a applies to all CDLs whether they are under the provisions of parts 390 or verified negative test result. An temporary or permanent. 391? employer must obtain a verified negative controlled substance test result Question 9: When a State chooses to Guidance: The State should instruct meet the certification requirements of the driver to certify that he/she is not prior to dispatching a driver on his/her first trip. § 383.73 (a)(1), (b)(1), (c)(1) and (d)(1) by subject to part 391. demanding, as part of its licensing Question 2: Since an applicant is Section 383.73 State Procedures process, that a commercial driver required to turn in his/her current Question 1: Does the State have any maintain with the Department of Motor license when issued an FRSI-restricted role in certifying compliance with Vehicles (DMV) currently valid CDL, should the applicant return to the § 391.11(b)(2) of the FMCSRs, which evidence of compliance with the State exam office and be re-issued the requires driver competence in the physical qualification standards of part old license when the seasonal validation English language? 391, subpart E, may the State suspend, period expires? Guidance: No. The driver must certify cancel or revoke the driver’s CDL if he/ Guidance: No. This approach violates that he or she meets the qualifications she does not maintain such evidence the requirements of part 383 and the of part 391. The State is under no duty with the DMV? FRSI waiver regarding the single-license to verify the certification by giving Guidance: Yes. Section 383.73 concept. It violates the waiver exams or tests. requires a State to obtain from a driver requirement that the FRSI-restricted Question 2: Are States required to applicant a certification that he/she CDL is to have the same renewal cycle change their current medical standards meets the qualification standards of part as an unrestricted CDL and shall serve for drivers who need CDLs? 391, including subpart E (Physical as an operator’s license for vehicles Guidance: No, but interstate drivers Qualifications and Examinations). A other than CMVs. The license issued must continue to meet the Federal requirement that a driver maintain under the waiver is a CDL and must be standards, while intrastate drivers are currently valid evidence of compliance treated the same as an unrestricted CDL subject to the requirements adopted by with subpart E does not conflict with in regard to the driver record being the State. part 383, since the CMVSA made it clear maintained through the CDLIS and Question 3: To what does the phrase that the DOT was to issue ‘‘regulations subject to all disqualifying conditions ‘‘. . . as contained in § 383.51’’ refer to to establish minimum Federal standards for the full renewal cycle. The in § 383.73(a)(3)? ** *’’ (49 U.S.C. 31305(a)). A State restriction determining when the driver Guidance: The phrase refers only to may therefore demand more information may use the CDL to operate a CMV the word ‘‘disqualification.’’ Thus the or tests than the Federal CDL should be clearly printed on the license. State must check the applicant’s record regulations require. If a driver fails to Question 3: Do the regulations require to ensure that he/she is not subject to comply with State requirements which that a driver be recertified for the any suspensions, revocations, or are not inconsistent with part 383, the hazardous materials ‘‘H’’ endorsement cancellations for any reason, and is not State may suspend, cancel or revoke the every two years? subject to any disqualifications under driver’s CDL. This action is not a Guidance: No. If the driver wishes to § 383.51. disqualification for purposes of retain an HM endorsement, he/she is Question 4: Is a State required to § 383.51, but a withdrawal of the required at the time of license renewal refuse a CDL to an applicant if the NDR commercial driving privilege. to pass the test for such endorsement. check shows that he/she had a license Question 10: What action should The only times a driver may be required suspended, revoked, or canceled within enforcement officers take when a to pass the test for such endorsement in 3 years of the date of the application? commercial driver’s CDL has been a condensed time frame is within the 2 Guidance: Yes, if the person’s driving declared invalid by the issuing State years preceding a license transfer if he/ license is currently suspended, revoked, because of a lapse in the driver’s she is transferring a CDL from one State or canceled. medical certificate? of domicile to a new State of domicile Question 5: Must a new State of Guidance: Whatever the reason for the (see § 383.73(b)(4)), or if the State has record accept the out-of-State driving State’s decision, a driver with an invalid exercised its prerogative to establish record on CDL transfer applications and CDL may not lawfully drive a CMV. more stringent requirements. include this record as a permanent part Question 11: May licensing Question 4: May a CDL driving skills of the new State’s file? jurisdictions meet their stewardship test examiner conduct a driving skills Guidance: Yes. requirements for surrendered licenses test administered in accordance with 49 Question 6: What does the term by physically marking the license in CFR part 383 before a person subject to ‘‘initial licensure’’ mean as used in some way as not valid and returning it Part 382 is tested for alcohol and § 383.73? to a driver as part of the driver’s controlled substances? Guidance: The term ‘‘initial application for a new or renewal of an Guidance: Yes. A CDL driving skills licensure’’ as used in the context of existing CDL? test examiner, including a third party § 383.73 is meant to refer to the Guidance: Yes. Provided the licensing examiner, may administer a driving procedures a State must follow when a jurisdiction meets the test of skills test to a person subject to Part 382 person applies for his/her first CDL. guaranteeing that the returned license without first testing him/her for alcohol Question 7: May a State allow an document cannot possibly be mistaken and controlled substances. The intent of applicant to keep his/her current valid for a valid document by a casual the CDL driving skills test is to assess State license when issued an FRSI- observer. A document perforated with a person’s ability to operate a restricted CDL? the word ‘‘VOID’’ conspicuously and commercial motor vehicle during an Guidance: No. That would violate the unmistakably displayed with holes large official government test of their driving single-license concept. enough to be easily distinguished by a Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16399 casual observer in limited light, which Question 2: Is a driver of a —There is more than one point of cannot be obscured by the holder of the combination vehicle with a GCWR of articulation in the combination; document, would meet the test of being less than 26,001 pounds required to —The GCWR is 26,001 or more pounds; invalidated. obtain a CDL even if the trailer GVWR and is more than 10,000 pounds? —The combined GVWR of the vehicle(s) Section 383.75 Third Party Testing Guidance: No, because the GCWR is being towed is in excess of 10,000 Question 1: May the CDL knowledge less than 26,001 pounds. The driver pounds. test be administered by a third party? would need a CDL if the vehicle is Question 3: Are drivers delivering Guidance: No. The third party testing transporting HM requiring the vehicle to empty buses in driveaway-towaway provision found in § 383.75 applies only be placarded or if it is designed to operations required to have the to the skills portion of the testing transport 16 or more persons. passenger endorsement on their CDLs? procedure. However, if an employee of Question 3: Can a State which Guidance: No. the State who is authorized to supervise expands the vehicle group descriptions Question 4: Would the driver in the knowledge testing is present during the in § 383.91 enforce those expansions on following scenarios be required to have testing, then the FHWA regards it as out-of-State CMV drivers by requiring a CDL with a HM endorsement? being administered by the State and not them to have a CDL? a. A driver transports 1,000 or more by the third party. Guidance: No. They must recognize pounds of Division 1.4 (Class C Question 2: Do third party skills test out-of-State licenses that have been explosive) materials in a vehicle with a examiners have to meet all the validly issued in accordance with the GVWR of less than 26,001 pounds? requirements of State-employed Federal standards and operative b. A driver transports less than 1,000 examiners—i.e. all the State’s licensing compacts. pounds of Division 1.4 (Class C qualification and training standards? Question 4: What CMV group are explosive) materials in a vehicle with a Guidance: No. Section drivers of articulated motorcoaches GVWR of less than 26,001 pounds? 383.75(a)(2)(iii) requires third party (buses) required to possess? c. The driver transports any quantity examiners to meet the same standards as Guidance: Drivers of articulated of Division 1.1, 1.2 or 1.3 (Class A or B State examiners only ‘‘to the extent motorcoaches are required to possess a explosive) materials in any vehicle. necessary to conduct skills tests.’’ Class B CDL. Guidance: a. Yes. Question 3: Do third-party skills test Question 5: Do tow truck operators b. No. examiners have to be qualified to need CDLs? If so, in what vehicle c. Yes. administer skills tests in all types of group(s)? Question 5: Do drivers of ready-mix CMVs? Guidance: For CDL purposes, the tow concrete mixers need a tank vehicle Guidance: No. truck and its towed vehicle are treated endorsement (‘‘N’’) on their CDL? Section 383.77 Substitute for Driving the same as any other powered unit Guidance: No. Skills Test towing a nonpowered unit: Question 6: Does an unattached tote Question 1: May a State grandfather —If the GCWR of the tow truck and its or portable tank with a cargo capacity of drivers from skills testing under towed vehicle is 26,001 pounds or 1,000 gallons or more meet the § 383.77? more, and the towed vehicle alone definition of ‘‘portable tank’’ requiring a Guidance: Yes, provided the exceeds 10,000 pounds GVWR, then tank vehicle endorsement on the applicant meets all the eligibility the driver needs a Group A CDL. driver’s CDL? conditions under § 383.77, including —If the GVWR of the tow truck alone is Guidance: Yes. current operation of a CMV 26,001 pounds or more, and the driver Question 7: Must all drivers of (§ 383.77(b)(1)). Therefore, the pool of either (a) drives the tow truck without vehicles required to be placarded have applicants eligible for grandfathering is a vehicle in tow, or (b) drives the tow CDLs containing the HM endorsement? limited to drivers with current CMV truck with a towed vehicle of 10,000 Guidance: Yes, unless waived. operating experience under a CDL pounds or less GVWR, then the driver Question 8: Is a driver who operates waiver (e.g., farm, FRSI, firefighting, needs a Group B CDL. a truck tractor pulling a heavy-haul emergency and military vehicles). —A driver of a tow truck or towing trailer with a ‘‘jeep’’ attached to the Question 2: May a driver applicant be configuration that does not fit either front of the trailer that meets the ‘‘grandfathered’’ from any CDL configuration description above, definition of a CMV under part 383 knowledge test? requires a Group C CDL only if he or required to have a CDL with a double/ Guidance: No. ‘‘Grandfathering’’ of she tows a vehicle required to be triple trailer endorsement? CDL basic or endorsement knowledge placarded for hazardous materials on Guidance: Yes. The ‘‘jeep,’’ also testing is not permitted by part 383. a ‘‘subsequent move,’’ i.e. after the referred to as a dolly or load divider, is initial movement of the disabled a short frame-type trailer complete with Section 383.91 Vehicle Groups vehicle to the nearest storage or repair upper coupler, fifth wheel and Question 1: May a State expand a facility. undercarriage assembly and designed in vehicle group to include vehicles that such a manner that when coupled to a Section 383.93 Endorsements do not meet the Federal definition of the semitrailer and tractor it carries a group? Question 1: Is the HM endorsement portion of the trailer kingpin load while Guidance: Yes, if: a. A person who needed for operation of State and local transferring the remainder to the tests in a vehicle that does not meet the government vehicles carrying HM? tractor’s fifth wheel. Federal standard for the Group(s) for Guidance: No. Question 9: Do persons transporting which the issued CDL would otherwise Question 2: Are drivers of double and battery-powered forklifts need to obtain be valid, is restricted to vehicles not triple saddle mount combinations an HM endorsement? meeting the Federal definition of such required to have the double/triple Guidance: No. Group(s); and trailers endorsement on their CDLs? Question 10: Do tow truck operators b. The restriction is fully explained on Guidance: Yes, if the following who hold a CDL require endorsements the license. conditions apply: to tow ‘‘endorsable’’ vehicles? 16400 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Guidance: For CDL endorsement hydraulic braking system that has an indicate that the driver is licensed as a purposes, the nature of the tow truck air-assisted parking brake release? CMV driver, if that is the case; and operations determines the need for Guidance: Yes. The air brake c. The multipart license document endorsements: restriction applies only to the principal includes all of the data elements —If the driver’s towing operations are braking system used to stop the vehicle. specified in part 383, subpart J. restricted to emergency ‘‘first moves’’ Section 383.95(b) is not applicable to an Question 4: If the State restricts the from the site of a breakdown or air-assisted mechanism to release the CDL driving privilege, must that accident to the nearest appropriate parking brake. restriction be shown on the license? Guidance: Yes. repair facility, then no CDL Section 383.131 Test Procedures Question 5: Is a State required to show endorsement of any kind is required. the driver’s SSN on the CDL? —If the driver’s towing operations Question 1: Are there any Federal regulations which require the States to Guidance: No. Section 383.153 does include any ‘‘subsequent moves’’ from not specify the SSN as a required one repair or disposal facility to retain for a specified period of time the CDL knowledge tests (or the test results) element of the CDL document although another, then endorsements requisite the regulation does require a driver to the vehicles being towed are used to test CMV drivers? Guidance: No, there are no Federal applicant who is domiciled in the U.S. required. Exception: Tow truck to provide his or her SSN on the CDL operators need not obtain a passenger regulations regarding such record retention. application. endorsement. Question 6: Is a State prohibited from Section 383.95 Air Brake Restrictions Section 383.133 Testing Methods issuing a CDL to an applicant who, for Question 1: May States administer the religious reasons, does not possess an Question 1: A driver has a Group B or CDL knowledge and endorsement test in SSN? C CDL valid for airbrake-equipped foreign languages or in other than a Guidance: No. The determination of vehicles. He or she later upgrades to a written format? whether a person needs an SSN is left Group A license by testing in a vehicle Guidance: Yes. up to the Social Security that is not equipped with airbrakes. Question 2: Do the Federal standards Administration. Must the State restrict the upgraded limit the number of times a driver may Question 7: Is a color-digitized image license to nonairbrake-equipped of a driver acceptable for purposes of a take a test if he or she fails? vehicles? Guidance: The rule does not limit the CDL? Guidance: Yes. The FHWA will Guidance: No, because the airbrake number of times a driver may take a test. accept a color-digitized image of a systems on combination versus single Question 3: Is a State allowed to driver on a CDL in lieu of a color vehicles do not differ significantly. provide for an alternative test (e.g., oral) photograph. Question 2: May a driver who has an or administer an alternate exam format air brake restriction as defined in providing the test meets FHWA Special Topics—Motor Coaches and § 383.95 operate a CMV equipped with requirements? CDL an air-over-hydraulic brake system? Guidance: Yes. The knowledge Guidance: No. Under § 383.95(b), the Question 1: May a State develop a portion of the test may be administered knowledge test exclusively for term ‘‘air brakes’’ includes any braking in written form, verbally, in automated system operating fully or partially on motorcoach operators which excludes formats, or otherwise at the discretion of cargo handling and hazardous the air brake principle. Air-over- the State. hydraulic brake systems operate materials? Guidance: Yes. A State could develop partially on the air brake principle and Section 383.153 Information on the a basic knowledge test for bus drivers are therefore air brakes for purposes of Document and Application only, by deleting the cargo handling and the CDL regulations. The NHTSA also Question 1: May a State use the HM questions from its normal basic considers ‘‘air over hydraulic’’ brakes to residence address as opposed to the knowledge test. In that case, the driver be air brakes under FMVSS 121. mailing address on the CDL? applicant would still need to pass the Question 3: May a State issue a Guidance: Yes. specialized knowledge and skills tests restriction to a driver who passes the air Question 2: May a State issue for the passenger endorsement, and the brake knowledge test and the skills test temporary nonphoto CDLs? State would need to restrict the CDL to in a vehicle equipped with an air-over- Guidance: Yes, as long as: passenger operations only. hydraulic brake system that limits the a. the State does not liberalize any Question 2: What skills test is driver to operate only vehicles equipped existing procedures for issuing required for a CDL holder seeking to add with an air-over-hydraulic air brake nonphoto licenses; and a passenger endorsement? system? b. the State does not allow drivers to Guidance: If a person already holds a Guidance: Yes. A State may issue the operate CMVs indefinitely without a CDL without a passenger endorsement, additional restriction, provided it is CDL which meets all the standards of and subsequently applies for such fully explained on the CDL. This would § 383.153. endorsement, three situations may arise: give a State the option to allow a driver Question 3: May a State choose to a. The passenger test vehicle is in the who tests in a vehicle equipped with an implement a driver license system same vehicle group as that shown on the air-over-hydraulic brake system (rather involving multiple part license CDL. This situation poses no problem than a full air brake system) to operate documents? since there is no discrepancy. a vehicle equipped with either a Guidance: Yes. A two or more part b. The passenger test vehicle is in a hydraulic or air-over-hydraulic brake document, as currently used in some greater vehicle group than that shown system, while restricting them from States, is acceptable, provided: on the preexisting CDL. This is an operating vehicles equipped with a full a. All of the documents must be upgrade situation. The driver and the air brake system. present to constitute a ‘‘license;’’ State must meet the requirements of Question 4: May a driver with an air b. Each document is explicitly ‘‘tied’’ §§ 383.71(d) and 383.73(d), and the brake restriction on his or her CDL to the other document(s), and to a single upgraded CDL must show the vehicle operate a CMV equipped with a driver’s record. Each document must group of the passenger test vehicle. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16401

c. The passenger test vehicle is in a Section 384.209 Notification of Traffic Section 386.1 Scope of Rules in This lesser vehicle group than that shown on Violations Part the preexisting CDL. In this situation, Question 1: Must a CDL holder’s out- Question 1: What is the authority of the CDL retains the vehicle group of the the RDMC to issue provisions as a part of-State conviction for a traffic violation preexisting CDL, but also restricts the of the terms in a Notice of Abatement, be included in the driving record of the driver, when engaged in CMV passenger Notice of Assessment, Compliance State of licensure (and thus CDLIS), if operations, to vehicles in the group in Order and Consent Order? which the passenger skills test was there are no traffic violation points Guidance: The MCSA of 1984 taken, or to a lesser group. assigned to the conviction? provided the authority to penalize Special Topics—State Reciprocity Guidance: All out-of-State convictions violators of Notices and Orders issued of a CDL holder for traffic violations by the FHWA. Regulations were issued Question 1: May a State place an committed in any vehicle must be sent under part 386 which specify these ‘‘intrastate only’’ or similar restriction to the State of licensure, but only the penalties. Notices to Abate and Notices on the CDL of a driver who certifies that convictions for offenses specified in 49 of Assessment/Claim generally deal he or she is not subject to part 391? CFR 383.51 must be included in that with specific regulatory requirements. Guidance: Yes; however, this State’s driving record (and thus CDLIS). Consent Orders and Compliance Orders restriction would not apply to drivers in Assigning points to a conviction is often require remedial measures not interstate commerce who are excepted strictly a State decision and has no specifically mentioned in the FMCSRs or exempted from part 391 under the bearing on the inclusion of the since the motor carrier’s compliance provisions of parts 390 or 391. conviction. record often indicates that additional measures are needed to improve safety Question 2: May a State allow a driver The FHWA recommends the and compliance with the regulations. possessing an out-of-State CDL inclusion by the State of licensure of all containing an intrastate restriction to convictions of a CDL holder for traffic PART 387ÐMINIMUM LEVELS OF operate a CMV in their jurisdiction? violations committed in any vehicle, so FINANCIAL RESPONSIBILITY FOR MOTOR CARRIERS Guidance: Yes, provided the driver that the State will have the full driver operates exclusively intrastate. record available as an aid in making Sections Interpreted Question 3: May States choose to licensing decisions. Subpart AÐMotor Carriers of Property interpret ‘‘intrastate’’ in ways that differ Question 2: Must the licensing agency 387.1 Purpose and Scope from established transportation establish a commercial driver record, 387.3 Applicability practice? including a CDLIS pointer record, for a 387.5 Definitions person holding a non-commercial 387.7 Financial Responsibility Required Guidance: No. States do not have the 387.9 Financial Responsibility, Minimum discretion to change the Federal license issued by that jurisdiction upon Levels definition of either ‘‘interstate’’ or receiving notification of a conviction of 387.11 State Authority and Designation of ‘‘intrastate’’ commerce. any offense committed while (illegally) Agent operating a CMV? 387.15 Forms Special Topics—International Guidance: Yes. Subpart BÐMotor Carriers of Passengers Question 1: The driver’s medical Section 384.211 Return of Old 387.25 Purpose and Scope exam is part of the Mexican Licencia 387.27 Applicability Federal. If a roadside inspection reveals Licenses 387.31 Financial Responsibility Required that a Mexico-based driver has not had Question 1: May licensing 387.39 Forms the medical portion of the Licencia jurisdictions meet their stewardship Subpart AÐMotor Carriers of Property Federal re-validated, is the driver requirements for surrendered licenses Section 387.1 Purpose and Scope considered to be without a valid by physically marking the license in medical certificate or without a valid some way as not valid and returning it Question 1: May a State require a license? to a driver as part of the driver’s higher level of financial responsibility Guidance: The Mexican Licencia application for a new or renewal of an coverage than is required by part 387? Federal is issued for a period of 10 years existing CDL? Guidance: Yes. but must be re-validated every 2 years. Guidance: Yes. Provided the licensing Section 387.3 Applicability A condition of re-validation is that the jurisdiction meets the test of driver must pass a new physical Question 1: At what GVWR, as guaranteeing that the returned license examination. The dates for each re- assigned by a manufacturer, does the document cannot possibly be mistaken validation are on the Licencia Federal requirement to comply with the and must be stamped at the completion for a valid document by a casual financial responsibility regulations of each physical. This constitutes observer. A document perforated with begin? Guidance: Generally, part 387, documentation that the driver is the word ‘‘VOID’’ conspicuously and subpart A applies if the vehicle has a medically qualified. Therefore, if the unmistakably displayed with holes large GVWR of 10,000 pounds or more. Part Licencia Federal is not re-validated enough to be easily distinguished by a 387, subpart A, does not apply to the every 2 years as specified by Mexican casual observer in limited light, which intrastate transportation of nonbulk oil, law, the driver’s license is considered cannot be obscured by the holder of the nonbulk HM, substances or wastes. invalid. document would meet the test of being invalidated. Motor vehicles used to transport any PART 384ÐSTATE COMPLIANCE WITH quantity of Divisions 1.1, 1.2 or 1.3 COMMERCIAL DRIVER'S LICENSE PART 386ÐRULES OF PRACTICE FOR (explosive) materials, poison gas, or PROGRAM MOTOR CARRIER SAFETY AND HAZARDOUS MATERIALS PROCEEDINGS highway route controlled quantity of Sections Interpreted radioactive materials in interstate or 384.209 Notification of traffic violations Sections Interpreted foreign commerce are subject to Federal 384.211 Return of Old Licenses 386.1 Scope of Rules in this Part regulation regardless of the GVWR. 16402 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Question 2: Does the GVWR apply to Guidance: No. The FHWA considers motor carrier (lessee) a copy of the the power unit only? such propane cylinders to be an integral policy and Form MCS–90 where the Guidance: No. part of the recreational vehicle and not carrier is named as an additional Question 3: When are tow trucks subject to the financial responsibility insured to the policy (Form MCS–90)? subject to financial responsibility regulations. Guidance: No. The motor carrier has coverage? the responsibility to obtain the proper Section 387.5 Definitions Guidance: For-hire tow trucks with a financial responsibility levels. GVWR or GCWR of 10,000 pounds or Question 1: Does the definition of the term ‘‘in bulk’’ include solids as well as Section 387.9 Financial Responsibility, more performing emergency moves in Minimum Levels interstate or foreign commerce are liquids even though the definition refers required to maintain minimum levels of to containment systems with capacities Question 1: Is gasoline listed as a financial responsibility in the amount of in excess of 3,500 water gallons? hazardous material, and, if so, what is $750,000. For-hire tow trucks Guidance: Yes, the term ‘‘3,500 water the minimum level of financial performing secondary moves are gallons’’ is used as a volumetric value responsibility currently required? required to maintain levels of coverage and includes solids as well as liquids. Guidance: Gasoline is a listed applicable to the commodity being hazardous material in the table found at Section 387.7 Financial Responsibility 49 CFR 172.101. Section 387.9 requires transported by the vehicle being towed. Required Question 4: Are Federal, State or local for-hire and private motor carriers Question 1: May a large corporation political subdivisions subject to the transporting any quantity of oil in which has many wholly owned financial responsibility regulations? interstate or foreign commerce to have subsidiaries have one policy for the Guidance: No. a minimum $1,000,000 of financial parent corporation and maintain the Question 5: Is a motor vehicle owned responsibility coverage. The Clean policy and the Form MCS–90 at the by an owner-operator, and being dead- Water Act of 1973, as amended, declares corporate headquarters? that gasoline is an ‘‘oil,’’ not a headed (returning empty), or a tractor Guidance: Generally, the required that is being bobtailed (operating ‘‘hazardous substance.’’ The $1,000,000 financial responsibility must be in the coverage also applies to for-hire and without a trailer), subject to the exact name of the motor carrier and the financial responsibility regulations? private motor carriers transporting proof of that coverage must be gasoline ‘‘in-bulk’’ in intrastate Guidance: A motor vehicle maintained at the motor carrier’s deadheading or bobtailing while in the commerce. principal place of business. A parent Question 2: Is a motor carrier service of a motor carrier would be corporation may, however, have a single transporting liquefied petroleum gas subject to the financial responsibility policy of insurance or surety bond (LPG) in any quantity required to have regulations. covering the parent and its subsidiaries, $1,000,000 or $5,000,000 of financial Question 6: Is a motor carrier provided the name of the parent and the responsibility coverage? transporting mail under contract for the name of each subsidiary are listed on Guidance: Liquefied petroleum gas U.S. Postal Service wholly within the the policy or bond. Further, the required (LPG) is a flammable compressed gas. boundaries of a single State subject to proof must have listed thereon the name All transportation of LPG in the minimum levels of financial of the parent and its subsidiaries. A containment systems with capacities in responsibility requirements of part 387? copy of that proof of financial excess of 3,500 water gallons requires $5 Guidance: Yes. The transportation of responsibility coverage must be million financial responsibility U.S. mail is considered to be interstate maintained at each motor carrier coverage. Interstate and foreign commerce because of the intermingling subsidiary’s principal place of business. commerce movements of LPG in of inter- and intrastate mail on every Question 2: What is the definition of containment systems not in excess of vehicle. ‘‘Certificate of Registration’’ in 3,500 water gallons requires $1 million Question 7: Are motor carriers § 387.7(b)(3)? coverage. Intrastate movements of LPG transporting HM that are excepted from Guidance: ‘‘Certificate of in those smaller containment systems the HMRs subject to financial Registration’’ means a document issued are subject only to state financial responsibility regulations? by the FHWA to all Mexican motor responsibility requirements. Guidance: Yes. Packaging or carriers, for-hire as well as private, that Question 3: What is the definition of transportation exceptions in the HMRs allows them to enter the U.S., but a ‘‘hopper type’’ vehicle as indicated in do not change the need for financial restricts them to the commercial zone § 387.9? responsibility at the appropriate level for a particular border municipality, as Guidance: A ‘‘hopper type’’ vehicle is commensurate with the commodity previously adopted by the ICC. The one which is capable of discharging its being transported. border municipality is the Port of Entry load through a bottom opening without Question 8: Are motor vehicles being wherever the motor carrier’s vehicle tilting. This vehicle type would also transported considered to be HM for enters the U.S. include belly dump trailers. Rear dump purposes of the financial responsibility Question 3: How does a Mexican trailers and roll-off containers do not requirements, thus requiring the higher motor carrier prove that it is complying meet the definition of a bottom limits set forth in the regulations? with § 387.7? discharging vehicle. Guidance: No, while motor vehicles Guidance: Mexican motor carriers are are identified as HM in the Hazardous permitted to obtain trip insurance and Section 387.11 State Authority and Materials Table at § 172.101, motor are required to carry, on the vehicle, a Designation of Agent vehicles, by themselves, are not to be Form MCS–90 along with an insurance Question 1: How does a Mexican treated as HM and should be considered verification document listing the date motor carrier demonstrate that its nonhazardous property. and time the insurance coverage began insurance company complies with Question 9: Is a travel trailer or motor and expires. § 387.11? home that has propane cylinders Question 4: Is the financial Guidance: With a properly executed attached subject to part 387 of the responsibility requirement met when an Form MCS–90 from an insurance FMCSRs? owner-operator (lessor) provides the company licensed in the U.S. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16403

Section 387.15 Forms Subpart B—Motor Carriers of Passengers exact name of the motor carrier and the proof of that coverage must be Question 1: May the motor carrier Section 387.25 Purpose and Scope meet the financial responsibility maintained at the motor carrier’s requirements by aggregating insurance Question 1: May a State require a principal place of business. A parent in layers? higher level of financial responsibility corporation may, however, have a single Guidance: Yes. A motor carrier may coverage than is required by part 387? policy of insurance or surety bond aggregate coverage, by purchasing Guidance: Yes. covering the parent and its subsidiaries, insurance in layers with each layer Section 387.27 Applicability provided the name of the parent and the consisting of a separate policy and Question 1: Is a nonprofit corporation, name of each subsidiary are listed on endorsement. The first layer of coverage providing for-hire interstate the policy or bond. Further, the required is referred to as primary insurance and transportation of passengers, subject to proof must have listed thereon the name each additional layer is referred to as the minimum levels of financial of the parent and its subsidiaries. A excess insurance. Example: ABC Motor responsibility for motor carriers of copy of that proof of financial Carrier transports Division 1.1 explosive responsibility coverage must be material and is required to maintain $5 passengers? Guidance: Yes. maintained at each motor carrier million coverage. ABC Motor Carrier Question 2: What determines the level subsidiary’s principal place of business. decides to meet this requirement by of coverage required for a passenger purchasing a primary insurance policy carrier: the number of passengers or the Section 387.39 Forms of $1 million from insurance company number of seats in the vehicle? A, an excess policy of $1 million from Question 1: May a motor carrier of Guidance: The level of financial insurance company B, and a $3 million passengers meet the financial responsibility required is predicated excess policy from insurance company responsibility requirements by upon the manufacturer’s designed C. Each policy would have a separate aggregating insurance in layers? seating capacity, not on the number of endorsement (Form MCS–90). The passengers riding in the vehicle at a Guidance: Yes. A motor carrier of endorsement provided by insurer A particular time. The minimum levels of passengers may aggregate coverage, by would state ‘‘This insurance is primary purchasing insurance in layers with and the company shall not be liable for financial responsibility required for each layer consisting of a separate amounts in excess of $1,000,000 for various seating capacities are found in policy and endorsement. The first layer each accident.’’ The endorsement § 387.33. provided by insurer B would state ‘‘This Question 3: Are luxury limousines of coverage is referred to as primary insurance is excess and the company with a seating capacity of fewer than insurance and each additional layer is shall not be liable for amounts in excess seven passengers and not operated on a referred to as excess insurance. Each of $1 million for each accident in excess regular route or between specified policy would have a separate of the underlying limit of $1 million for points exempted under § 387.27(b)(2)? endorsement (Form MCS–90B). The each accident.’’ The endorsement Guidance: No. Taxi cab service is endorsement provided by insurer A provided by insurer C would state ‘‘This highly regulated by local governments, would state ‘‘This insurance is primary insurance is excess and the company usually conducted in marked vehicles, and the company shall not be liable for shall not be liable for amounts in excess which makes them readily identifiable amounts in excess of $1,500,000 or of $3 million for each accident in excess to enforcement officials. Limousines are $5,000,000 for each accident.’’ The not taxi cabs and are therefore not of the underlying limit of $2 million for endorsement provided by insurer B exempted from the financial each accident.’’ would state ‘‘This insurance is excess Question 2: May the Form MCS–90 responsibility requirements. Question 4: When must a contract and the company shall not be liable for required by part 387 for proof of amounts in excess of $1 million for each minimum financial responsibility be school bus operator comply with part 387? accident in excess of the underlying modified? limit of $1,500,000 or $5,000,000 Guidance: The prescribed text of the Guidance: When the contractor is not million for each accident.’’ The document may not be changed. engaged in transportation to or from However, the format (i.e., number of school and the transportation is not endorsement provided by insurer C pages, layout of the text, etc.) may be organized, sponsored, and paid for by would state ‘‘This insurance is excess altered. the school district. and the company shall not be liable for Question 3: Is the use of a printed or Question 5: Does the exemption for amounts in excess of $3 million for each stamped signature on the Form MCS–90 the transportation of school children accident in excess of the underlying endorsement acceptable? end at the high school level or does it limit of $2 million for each accident.’’ Guidance: Yes. extend to educational institutions Question 2: May the Form MCS–90B Question 4: Must a motor carrier beyond high school, for example junior required by part 387 for proof of obtain a new Form MCS–90 each year college or college? minimum financial responsibility be if it retains the same insurance Guidance: The exemption does not modified? company? extend beyond the high school level. Guidance: If the insurance policy, as Guidance: The prescribed text of the identified by the policy number on the Section 387.31 Financial document may not be changed. Form MCS–90, is still valid upon the Responsibility Required However, the format (i.e., number of renewal of insurance, no new Form Question 1: May a large corporation pages, layout of the text, etc.) may be MCS–90 is required. If the policy which has many wholly-owned altered. number has changed or the insurance subsidiaries have one policy of Question 3: Is the use of a facsimile policy has been canceled in accordance insurance for the parent corporation and signature (e.g., printed, stamped, with the terms shown on Form MCS–90, maintain the policy and Form MCS–90B autopenned, etc.) on the Form MCS–90B then a new Form MCS–90 must be at the corporate headquarters? completed and attached to the valid Guidance: Generally, the required endorsement acceptable? insurance policy. financial responsibility must be in the Guidance: Yes. 16404 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

PART 390ÐFEDERAL MOTOR CARRIER the intent of the transportation being However, this exemption does not SAFETY REGULATIONS; GENERAL performed is interstate in nature, even apply to the CDL requirements in part Sections Interpreted when the route is within the boundaries 383. Also, if governmental entities 390.3 General Applicability of a single State, the driver and CMV are engage in interstate charter 390.5 Definitions subject to the FMCSRs. transportation of passengers, they must 390.9 State and Local Laws, Effect on Question 7: Are Red Cross vehicles/ comply with accident report retention 390.15 Assistance in Investigations and drivers subject to the FMCSRs? requirements of part 390. Special Studies Guidance: Red Cross vehicles/drivers Question 12: What is the applicability 390.21 Marking of Commercial Motor used to provide emergency relief under of the FMCSRs to school bus operations Vehicles the provisions of § 390.23 are not performed by Indian Tribal 390.23 Relief From Hours-of-Service subject to the FMCSRs while providing Governments? Regulations—Disasters the relief. However, these vehicles/ Guidance: Transportation performed 390.31 Copies of Records or Documents drivers would be subject when by the Federal Government, States, or Special Topics—Serious Pattern of operating at other times, provided they political subdivisions of a State is Violations are used in interstate commerce and the generally excepted from the FMCSRs. vehicles meet the definition of a CMV. This general exception includes Indian Section 390.3 General Applicability Question 8: May a motor carrier Tribal Governments, which for purposes Question 1: Does the government require fingerprinting as a pre- of § 390.3(f) are equivalent to a State exception in § 390.3(f)(2) apply to motor employment condition? governmental entity. When a driver is carriers doing business with the Guidance: The FMCSRs do not employed and a bus is operated by the government? require or prohibit fingerprinting as a governmental entity, the operation Guidance: No. The exception applies condition of employment. Section would not be subject to the FMCSRs, only when the government is the motor 390.3(d) allows employers to enforce with the following exceptions: The carrier. more stringent requirements. requirements of part 383 as they pertain Question 2: Are the FMCSRs Question 9: Are the FMCSRs to commercial driver licensing applicable to drivers and CMVs which applicable to drivers/vehicles operated standards are applicable to every driver transport tools, equipment, and supplies by a State or local educational operating a CMV, and the accident across State lines in a CMV? institution which is a political report retention requirements of part Guidance: Yes, the FMCSRs are subdivision of the State? 390 are applicable when the applicable to drivers and CMVs in Guidance: Section 390.3(f)(2) governmental entity is performing interstate commerce which transport specifically exempts transportation interstate charter transportation of property. The property in this situation performed by a State or a political passengers. is the tools, equipment and supplies. subdivision including any agency of a Question 13: A motor carrier Question 3: Are the operations of a State or locality from the FMCSRs. The dispatches an empty CMV from State A church which provides bus tours to the drivers, however, may be subject to the into adjoining State B in order to general public for compensation subject CDL requirements and/or State laws that transport cargo or passengers between to the FMCSRs as a for-hire motor are similar to the FMCSRs. two points in State B, and then to return carrier? Question 10: Are the FMCSRs empty to State A. Does the Guidance: Yes, the church is a for-hire applicable to drivers/vehicles operated transportation of cargo or passengers motor carrier of passengers subject to by a transit authority owned and within State B constitute interstate the FMCSRs. operated by a State or a political commerce? Question 4: Are the FMCSRs subdivision of the State? Guidance: Yes. The courts and the applicable to the rail movement of Guidance: Section 390.3(f)(2) ICC developed a test that clarifies the trailers and intermodal container specifically exempts transportation legal status of intrastate portions of chassis that previously or subsequently performed by the Federal Government, interstate trips. The character of the were moved by highway by a motor a State, or any political subdivision of intrastate leg depends on the shipper’s carrier in interstate commerce? a State from the FMCSRs. However, this fixed and persistent intent when the Guidance: No. They are only subject exemption does not apply to the CDL transportation began. The fixed and when being moved as a motor vehicle requirements in part 383. Also, if persistent intent in this case was to by highway by a motor carrier. governmental entities engage in move property—the vehicle itself— Question 5: Are personnel involved in interstate charter transportation of across State lines and between two road testing CMVs across a State line passengers, they must comply with points in State B where it was used to subject to the FMCSRs? accident report retention requirements haul cargo or passengers. The Guidance: Yes, any driver (including of part 390. transportation within State B, therefore, mechanics, technicians, driver trainees Question 11: Is the interstate constitutes interstate commerce. In and other personnel) operating a CMV transportation of students, teachers and some cases the motor carrier may be the in interstate commerce must be in parents to school events such as athletic shipper. compliance with the FMCSRs. contests and field trips performed by Question 14: What is the applicability Question 6: How does one distinguish municipalities subject to the FMCSRs? If of the FMCSRs to motor carriers owning between intra- and interstate commerce a fee is charged to defer the and operating school buses that contract for the purposes of applicability of the municipality’s expenses, does this affect with a municipality to provide pupil FMCSRs? the applicability of the regulations? transportation services? Guidance: Interstate commerce is Guidance: Section 390.3(f)(2) Guidance: For the purposes of the determined by the essential character of specifically exempts transportation FMCSRs, parts 390–399, ‘‘school bus the movement, manifested by the performed by the Federal Government, operation’’ means the use of a school shipper’s fixed and persistent intent at a State, or any political subdivision of bus to transport school children and/or the time of shipment, and is ascertained a State from the FMCSRs. Charging a fee school personnel from home to school from all of the facts and circumstances to defer governmental costs does not and from school to home. A ‘‘school surrounding the transportation. When affect this exemption. bus’’ is a passenger motor vehicle Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16405 designed to carry more than 10 Question 16: a. Are vehicles which, in Question 20: Do the FMCSRs apply to passengers in addition to the driver, and the course of interstate transportation Indian Tribal Governments? used primarily for school bus operations over the highway, are off the highway, Guidance: Under § 390.3(f)(2), (see § 390.5). School bus operations and loading, unloading or waiting, subject to transportation performed by the Federal transportation performed by government the FMCSRs during these times? Government, States, or political entities are specifically exempted from b. Are vehicles and drivers used subdivisions of a State is generally the FMCSRs under § 390.3(f). wholly within terminals and on exempt from the FMCSRs. Indian Tribal However, anyone operating school premises or plant sites subject to the Governments are considered equivalent buses under contract with a school is a FMCSRs? to a State governmental entity for for-hire motor carrier. When a Guidance: purposes of this exemption. Thus, when nongovernment, for-hire motor carrier a. Yes. a driver is employed by and is operating transports children to school-related b. No. a CMV owned by a governmental entity, functions other than ‘‘school bus Question 17: What protection is neither the driver, the vehicle, nor the operation’’ such as sporting events, class afforded a driver for refusing to violate entity is subject to the FMCSRs, with trips, etc., and operates across State the FMCSRs? the following exceptions: lines, its operation must be conducted Guidance: Section 405 of the STAA (1) The requirements of part 383 in accordance with the FMCSRs. This (49 U.S.C. 31105) states, in part, that no relating to CMV driver licensing applies to motor carriers that operate person shall discharge, discipline, or in standards; CMVs as defined under part 390 which any manner discriminate against an (2) The drug testing requirements in includes vehicles which have a GVWR employee with respect to the part 382; (3) Alcohol testing when an employee of 10,001 pounds or more or are employee’s compensation, terms, is performing, about to perform, or just designed or used to carry passengers for conditions, or privileges of employment performed safety-sensitive functions. compensation, except 6-passenger for refusing to operate a vehicle when For the purposes of alcohol testing, taxicabs not operating on fixed routes. such operation constitutes a violation of safety-sensitive functions are defined in In certain instances, carriers any Federal rule, regulation, standard, § 382.107 as any of those on-duty providing school bus transportation are or order applicable to CMV safety. In functions set forth in § 395.2 On-Duty not subject to the Bus Regulatory such a case, a driver may submit a time, paragraphs (1) through (6), Reform Act of 1982 and the minimum signed complaint to the Occupational (generally, driving and related activities) financial responsibility requirements Safety and Health Administration. and; (part 387) issued under this Act. Question 18: Are persons who operate (4) The accident report retention Transportation of school children and CMVs for the personal conveyance of requirements of § 390.15 are applicable teachers that is organized, sponsored, their friends or family members ‘‘private when the governmental entity is and paid for by the school district is not motor carriers of passengers performing interstate charter subject to part 387. Therefore, school (nonbusiness)’’ as defined in § 390.5? transportation of passengers. bus contractors must comply with the Guidance: No. Nonbusiness private Question 21: Does the exemption in FMCSRs for interstate trips such as motor carriers of passengers (PMCPs) do § 390.3(f)(3) for the ‘‘occasional sporting events and class trips but are not include individuals providing transportation of personal property by not required by Federal regulations to personal conveyance of passengers for individuals not for compensation nor in carry a specific level of insurance recreational purposes. A nonbusiness the furtherance of a commercial coverage. PMCP must be engaged in some group enterprise’’ apply to persons who For those operations provided by activity. For example, organizations that occasionally use CMVs to transport cars, school bus contractors that are subject to are exempt under the Internal Revenue boats, horses, etc., to races, the FMCSRs, the motor carriers must Code (26 U.S.C. 501) and provide tournaments, shows or similar events, keep driver and vehicle records as transportation for their members would even if prize money is offered at these required by the regulations. This would generally be considered nonbusiness events? include driver qualifications records PMCPs: Religious, charitable, scientific, Guidance: The exemption would (part 391), driver records of duty status and educational organizations, scouting apply to this kind of transportation, (part 395), accident report retention groups, sports clubs, fraternal societies provided: (1) The underlying activities (part 390), and inspection, repair, and or lodges, etc. are not undertaken for profit, i.e., (a) maintenance records (part 396) for the Question 19: ‘‘Unless otherwise prize money is declared as ordinary drivers and vehicles that are used on the specifically provided,’’ § 390.3(f)(2) income for tax purposes, and (b) the cost trips that are subject to the FMCSRs. exempts certain government entities and of the underlying activities is not These records are not required under their drivers from compliance with 49 deducted as a business expense for tax the FMCSRs for the other vehicles in the CFR Chapter III, Subchapter B, i.e., parts purposes; and, where relevant; (2) motor carrier’s fleet that are not subject 350–399. Which parts are covered by corporate sponsorship is not involved. to the regulations. this exemption and which are Drivers must confer with their State of Question 15: May drivers be coerced ‘‘otherwise specifically’’ excluded? licensure to determine the licensing into employing loading or unloading Guidance: Government employers provisions to which they are subject. assistance (lumpers)? and drivers are exempt from compliance Question 22: If, after December 18, Guidance: No. The Motor Carrier Act with parts 325, 385, 387, and 390–399. 1995, a Mexico-based driver is found of 1980 made it illegal to coerce However, they must comply with the operating beyond the boundaries of the someone into unwanted loading or drug and alcohol testing requirements in four border States allowed by the North unloading and require payment for it part 382 and the CDL requirements in American Free Trade Agreement (49 U.S.C. 14103, previously 49 U.S.C. part 383. Parts 350, 355, 384, 386, 388, (NAFTA), is that driver in violation of 11109). The FHWA is responsible for and 389 do not directly regulate CMV the FMCSRs? If so, which one? the enforcement of regulations operators, public or private, and the Guidance: No. Driving beyond the forbidding coercion in the use of question of an exemption therefore does four border States is not, in and of itself, lumpers. not arise. a violation of the FMCSRs. 16406 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Question 23: Is transportation within Section 390.5 Definitions Guidance: If the driver is operating a the boundaries of a State between a Question 1: Do the definitions of CMV at the direction of the motor place in an Indian Reservation and a ‘‘farm,’’ ‘‘farmer’’ and ‘‘agricultural carrier, it is considered interstate place outside such reservation interstate crops’’ apply to greenhouse operations? commerce and is subject to the FMCSRs. commerce? Guidance: Yes. If the motor carrier is allowing the Guidance: No, such transportation is Question 2: Is a vehicle used to driver to use the vehicle for private considered to be intrastate commerce. transport or tow anhydrous ammonia personal transportation, such An Indian reservation is geographically nurse tanks considered a CMV and transportation is not subject to the located within the area of a State. subject to FMCSRs? FMCSRs. Enforcement on Indian reservations is Guidance: Yes, provided the vehicle’s Question 6: Is transporting an empty inherently Federal, unless such GVWR or GCWR meets or exceeds that CMV across State lines for purposes of authority has been granted to the States of a CMV as defined in § 390.5 and/or repair and maintenance considered by Congressional enactment, accepted the vehicle transports HM in a quantity interstate commerce? by the States where appropriate, and that requires placarding. Guidance: Yes. The FMCSRs are consented to by the Indian tribes. Question 3: If a vehicle’s GVWR plate applicable to drivers and CMVs in Question 24: To what extent does the and/or VIN number are missing but its interstate commerce which transport FHWA have jurisdiction to regulate the actual gross weight is 10,001 pounds or property. The property in this situation qualifications and hours of service of more, may an enforcement officer use is the empty CMV. CMV drivers engaged in interstate or the latter instead of GVWR to determine Question 7: Does off-road motorized foreign commerce if the drivers only the applicability of the FMCSRs? construction equipment meet the occasionally operate in interstate or Guidance: Yes. The only apparent definitions of ‘‘motor vehicle’’ and foreign commerce? reason to remove the manufacturer’s ‘‘commercial motor vehicle’’ as used in Guidance: The FHWA published an GVWR plate or VIN number is to make §§ 383.5 and 390.5? interpretation in the Federal Register on it impossible for roadside enforcement Guidance: No. Off-road motorized July 23, 1981 (46 FR 37902) on this officers to determine the applicability of construction equipment is outside the subject. The FHWA must show that the the FMCSRs, which have a GVWR scope of these definitions: (1) When driver or motor carrier has engaged in threshold of 10,001 pounds. In order to operated at construction sites: and (2) interstate or foreign commerce within a frustrate willful evasion of safety when operated on a public road open to reasonable period of time prior to its regulations, an officer may therefore unrestricted public travel, provided the assertion of jurisdiction under 49 U.S.C. presume that a vehicle which does not equipment is not used in furtherance of 31136 and 31502. have a manufacturer’s GVWR plate and/ a transportation purpose. Occasionally The FHWA must show that the driver or does not have a VIN number has a driving such equipment on a public or motor carrier has actually operated in GVWR of 10,001 pounds or more if: (1) road to reach or leave a construction site interstate commerce within a reasonable It has a size and configuration normally does not amount to furtherance of a period of time prior to its assertion of associated with vehicles that have a transportation purpose. Since jurisdiction. Mere solicitation of GVWR of 10,001 pounds or more; and construction equipment is not designed business that would involve operations (2) It has an actual gross weight of to operate in traffic, it should be in interstate commerce is not sufficient 10,001 pounds or more. accompanied by escort vehicles or in to establish jurisdiction. If jurisdiction A motor carrier or driver may rebut some other way separated from the is claimed over a driver who has not the presumption by providing the public traffic. This equipment may also driven in interstate commerce, evidence enforcement officer the GVWR plate, the be subject to State or local permit must be presented that the carrier has VIN number or other information of requirements with regard to escort operated in interstate commerce and comparable reliability which vehicles, special markings, time of day, that the driver could reasonably be demonstrates, or allows the officer to day of the week, and/or the specific expected to make one of the carrier’s determine, that the GVWR of the vehicle route. interstate runs. Satisfactory evidence is below the jurisdictional weight Question 8: What types of equipment would include, but not be limited to, threshold. are included in the category of off-road statements from drivers and carriers and Question 4: If a vehicle with a motorized construction equipment? any employment agreements. manufacturer’s GVWR of less than Guidance: The definition of off-road Evidence of driving or being available 10,001 pounds has been structurally motorized construction equipment is to for use in interstate commerce makes modified to carry a heavier load, may an be narrowly construed and limited to the driver subject to the FMCSRs for a enforcement officer use the higher equipment which, by its design and 4-month period from the date of the actual gross weight of the vehicle, function is obviously not intended for proof. For that period, the motor carrier instead of the GVWR, to determine the use, nor is it used on a public road in is also required to comply with those applicability of the FMCSRs? furtherance of a transportation purpose. portions of the FMCSRs that deal with Guidance: Yes. The motor carrier’s Examples of such equipment include drivers, driving, and records related to intent to increase the weight rating is motor scrapers, backhoes, motor or generated by drivers, primarily those shown by the structural modifications. graders, compactors, tractors, trenchers, in 49 CFR parts 387, 391, 392, 395 and When the vehicle is used to perform bulldozers and railroad track 396. The FHWA believes that the 4- functions normally performed by a maintenance cranes. month period is reasonable because it vehicle with a higher GVWR, § 390.33 Question 9: Are mobile cranes avoids both a week-by-week allows an enforcement officer to treat operating in interstate commerce subject determination of jurisdiction, which is the actual gross weight as the GVWR of to the FMCSRs? excessively narrow, and the assertion the modified vehicle. Guidance: Yes, the definition of CMV that a driver who is used or available for Question 5: A driver used by a motor encompasses mobile cranes. use once remains subject to the FMCSRs carrier operates a CMV to and from his/ Question 10: Does the FHWA define for an unlimited time, which is overly her residence out of State. Is this for-hire transportation of passengers the inclusive. considered interstate commerce? same as the former ICC did? Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16407

Guidance: To the extent FHWA’s portion of the road, would this be Question 19: What is the meaning of authority stems from 49 U.S.C. 31502 or considered an accident? ‘‘immediate’’ as used in the definition of other sections of Title 49 which are Guidance: No. ‘‘accident?’’ rooted in the Interstate Commerce Act, Question 13: To what extent would Guidance: The term ‘‘immediate’’ the FHWA is bound by judicial the windshield and/or mirrors of a means without an unreasonable delay. precedent and legislative history in vehicle have to be damaged in order for A person immediately receives medical interpreting that Act, much of which it to be considered ‘‘disabling damage’’ treatment if he or she is transported relates to the operations of the former as used in the definition of an accident directly from the scene of an accident to ICC. However, since the MCSA of 1984 in § 390.5? a hospital or other medical facility as re-established the FHWA’s Guidance: The decision as to whether soon as it is considered safe and feasible jurisdictional authority and resulted in damage to a windshield and/or mirrors to move the injured person away from a re-promulgation of the FMCSRs, the is disabling is left to the discretion of the scene of the accident. FHWA has been establishing its own the investigating officer. Question 20: A person involved in an precedents based on ‘‘safety’’ rather Question 14: Is the tillerman who incident discovers that he or she is than ‘‘economics’’ as the overriding controls the steerable rear axle of a injured after leaving the scene of the consideration. This has resulted in some vehicle so equipped a driver subject to incident and receives medical attention deviation in the definition of terms by the FMCSRs while operating in at that time. Does the incident meet the the two agencies, e.g., commercial interstate commerce? definition of accident in 49 CFR 390.5? zones, for-hire transportation, etc. Guidance: Yes. Although the Guidance: No. The incident does not The term ‘‘for-hire motor carrier’’ as tillerman does not control the vehicle’s meet the definition of accident in 49 defined in part 390 means a person speed or braking, the rear-axle steering CFR 390.5 because the person did not engaged in the transportation of goods he/she performs is essential to prevent receive treatment immediately after the or passengers for compensation. The the trailer from offtracking into other incident. FHWA has determined that any lanes or vehicles or off the highway Question 21: Do electronic devices business entity that assesses a fee, entirely. Because this function is critical which are advertised as radar jammers monetary or otherwise, directly or to the safe operation of vehicles with meet the definition of a radar detector indirectly for the transportation of steerable rear axles, the tillerman is a in 49 CFR 390.5? passengers is operating as a for-hire driver. Guidance: Devices that are said to carrier. Thus, the transportation for Question 15: Does the definition of a reflect incoming energy passively or to compensation in interstate commerce of ‘‘commercial motor vehicle’’ in § 390.5 transmit steadily on the same frequency passengers by motor vehicles (except in of the FMCSRs include parking lot and/ as police radar units are not radar six-passenger taxicabs operating on or street sweeping vehicles? detectors because they do not detect fixed routes) in the following operations Guidance: If the GVWR of a parking radio microwaves. Devices that are said would typically be subject to all parts of lot or street sweeping vehicle is 10,001 to detect and isolate the incoming signal the FMCSRs, including part 387: and then to transmit on the same whitewater river rafters, hotel/motel or more pounds, and it operates in frequency to interfere with the police shuttle transporters, rental car shuttle interstate commerce, it is a CMV. unit would qualify as radar detectors. services, etc. These are examples of for- Question 16: Does a driver leasing hire carriage because some fee is company that hires, assigns, trains, and/ Question 22: Is a motor vehicle charged, usually indirectly in a total or supervises drivers for a private or for- drawing a non-self-propelled mobile package charge or other assessment for hire motor carrier become a motor home that has one or more set of wheels transportation performed. carrier as defined by 49 CFR 390.5? on the roadway, a driveaway-towaway Question 11: A company has a truck Guidance: No. operation? with a GVWR under 10,001 pounds Question 17: May a motor carrier that Guidance: Yes, if the mobile home is towing a trailer with a GVWR under employs owner-operators who have a commodity. For example, the mobile 10,001 pounds. However, the GVWR of their own operating authority issued by home is transported from the the truck added to the GVWR of the the ICC or the Surface Transportation manufacturer to the dealer or from the trailer is greater than 10,001 pounds. Board transfer the responsibility for dealer or other seller to the buyer. Would the company operating this compliance with the FMCSRs to the Question 23: Can a truck tractor vehicle in interstate commerce have to owner-operators? drawing a trailer be a driveaway- comply with the FMCSRs? Guidance: No. The term ‘‘employee,’’ towaway operation? Guidance: Section 390.5 of the as defined in § 390.5, specifically Guidance: Yes, if the trailer is a FMCSRs includes in the definition of includes an independent contractor commodity. For example, the trailer is CMV a vehicle with a GVWR or GCWR employed by a motor carrier. The transported from the manufacturer to of 10,001 or more pounds. The section existence of operating authority has no the dealer or from the dealer or other further defines GCWR as the value bearing upon the issue. The motor seller to the buyer. specified by the manufacturer as the carrier is, therefore, responsible for Question 24: Are trailers which are loaded weight of a combination compliance with the FMCSRs by its stacked upon each other and drawn by (articulated) vehicle. Therefore, if the driver employees, including those who a motor vehicle by attachment to the GVWR of the truck added to the GVWR are owner-operators. bottom trailer, a driveaway-towaway of the trailer exceeds 10,001 pounds, the Question 18: Must a person who is operation. driver and vehicle are subject to the injured in an accident and immediately Guidance: No. Only the bottom trailer FMCSRs. receives treatment away from the scene has one or more sets of wheels on the Question 12: A CMV becomes stuck in of the accident be transported in an roadway. The other trailers are cargo. a median or on a shoulder, and has had ambulance? Question 25: The definition of a no contact with another vehicle, a Guidance: No. Any type of vehicle passenger CMV is a vehicle ‘‘designed to pedestrian, or a fixed object prior to may be used to transport an injured transport’’ more than 15 passengers, becoming stuck. If a tow truck is used person from the accident scene to the including the driver. Does that include to pull the CMV back onto the traveled treatment site. standing passengers if the vehicle was 16408 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations specifically designed to accommodate prepared by State investigators or Section 390.31 Copies of Records or standees? insurers. Documents Guidance: No. ‘‘Designed to Section 390.21 Marking of Commercial Question 1: May records required by transport’’ refers only to the number of Motor Vehicles the FMCSRs be maintained in an designated seats; it does not include electronic format? areas suitable, or even designed, for Question 1: What markings must be Guidance: Yes, provided the motor standing passengers. displayed on a CMV when used by two carrier can produce the information Question 26: What is considered a or more motor carriers? required by the regulations. Documents ‘‘public road’’? Guidance: The markings of the motor requiring a signature must be capable of Guidance: A public road is any road carrier responsible for the operation of replication (i.e., photocopy, facsimile, under the jurisdiction of a public agency the CMV must be displayed at the time etc.) in such form that will provide an and open to public travel or any road on of transportation. If 2 or more names are opportunity for signature verification private property that is open to public on the vehicle, the name of the upon demand. If computer records are travel. operating motor carrier must be used, all of the relevant data on the Section 390.9 State and Local Laws, preceded by the words ‘‘operated by.’’ original documents must be included in Effect on Section 390.23 Relief From Hours-of- order for the record to be valid. service Regulations—Disasters Question 2: How long does a motor Question 1: If an interstate driver gets carrier have to produce records if a stopped by a State enforcement officer Question 1: Does § 390.23 create an motor carrier maintains all records in an for an inspection, would the inspecting exemption from the FMCSRs each and electronic format? officer be enforcing the Federal every time the delivery of electricity is Guidance: A motor carrier must regulations or State regulations? interrupted, no matter how isolated or produce all records maintained in an Guidance: A State enforcement officer minor the occurrence? electronic format within 2 working days can only enforce State laws. However, Guidance: The rule creates an after the request. Documents requiring a under the Motor Carrier Safety exemption from the FMCSRs when signature must be capable of replication Assistance Program, quite often State interruptions of electricity are severe (e.g., photocopy, facsimile, etc.) in such laws are the same as or similar to the enough to trigger a declaration of an form that will provide an opportunity FMCSRs. emergency by a public official for signature verification upon demand. authorized to do so. Section 390.15 Assistance in Special Topics—Serious Pattern of An interruption of electricity that Investigations and Special Studies Violations does not produce a declaration by a Question 1: May a motor carrier create public official is not an emergency for Question 1: What constitutes a an accident register of its own, or is purposes of the regulation and does not ‘‘serious pattern’’ of violations? there a specified form that must be exempt a motor carrier or driver from Guidance: A serious pattern used? the FMCSRs. A call reporting a downed constitutes violations that are both Guidance: There is no specified form. power line, whether directed to the widespread and continuing over a A motor carrier may create or use any State police or a public utility company, period of time. A serious pattern is more accident register as long as it includes does not create a declared emergency. than isolated violations. A serious the elements required by § 390.15. The authority to declare emergencies pattern does not require a specific Question 2: Would the accident report has been delegated to different officials number of violations. retention requirement in § 390.15(b)(2) in the various States. The FHWA has include an ‘‘Adjuster’s Report’’ that is PART 391ÐQUALIFICATION OF DRIVERS not attempted to list these officials. In normally considered to be an internal Sections Interpreted order to utilize the exemption provided document of an insurance company? by § 390.23, drivers and motor carriers 391.2 General Exemptions Guidance: No. The intent of must therefore ascertain that a 391.11 Qualifications of Drivers § 390.15(b)(2) is that motor carriers 391.15 Disqualification of Drivers declaration of an emergency was made maintain copies of all documents which 391.21 Application for Employment by a State or local official authorized to the motor carrier is required by the 391.23 Investigation and Inquiries do so. insurance company to complete and/or 391.25 Annual Review of Driving Record maintain. Section 390.15(b)(2) does not Question 2: Section 390.23(a) 391.27 Record of Violations provides that parts 390 through 399 do 391.31 Road Test require motor carriers to maintain 391.41 Physical Qualifications for Drivers documents, such as ‘‘Adjuster’s not apply to any motor carrier or driver operating a CMV to provide direct 391.43 Medical Examination; Certivicate of Reports,’’ that are typically internal Physical Examination documents of the insurance company. assistance in an emergency. Is a motor 391.45 Persons who Must be Medically Question 3: What types of documents carrier or driver required to keep a Examined and Certified must a motor carrier retain to support its record of the driver’s on-duty or driving 391.47 Resolution of Conflicts of Medical accident register and be in compliance time while providing relief? Evaluation with § 390.15(b)? Guidance: No. 391.49 Waiver of Certain Physical Defects Question 3: After providing 391.51 Driver Qualification Files Guidance: The documents required by 391.63 Intermittent, Casual, or Occasional § 390.15(b)(2) include all information emergency relief under § 390.23, what Drivers about a particular accident generated by on-duty hours must a driver use to 391.65 Drivers Furnished by Other Motor a motor carrier or driver to fulfill its determine how much off-duty time he/ Carriers accident reporting obligations to State or she must have before returning to the other governmental entities or that service of the employing motor carrier? Section 391.2 General Exemptions motor carrier’s insurer. The language of Guidance: The driver must total the Question 1: Must exempt intracity paragraph (b)(2) does not require a number of hours worked while the zone (see § 390.5) drivers comply with motor carrier to seek out, obtain, and driver actually provided direct the medical requirements of this retain copies of accident reports assistance to the emergency relief effort. subpart? Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16409

Guidance: No, provided: a. the driver Question 6: Does the Military Question 5: Do the disqualification was otherwise qualified and operating Selective Service Act of 1967 require a provisions of § 391.15 apply to offenses in a municipality or exempt intracity motor carrier to place a returning committed by a driver who is using a zone thereof throughout the 1-year veteran in his/her previous position company vehicle for personal reasons period ending November 18, 1988; and, (driving interstate) even though he/she while off-duty? b. the driver’s medical condition has fails to meet minimum physical Guidance: No. For example, an not substantially worsened since August standards? owner-operator using his own vehicle in Guidance: No. The Act does not 23, 1988. an off-duty status, or a driver using a Question 2: What driver qualification require a motor carrier to place a company truck, or tractor for requirements must a farm vehicle driver returning veteran who does not meet the transportation to a motel, restaurant or (as defined in § 390.5) comply with in minimum physical standards into his/ home, would be outside the scope of part 391? her previous driving position. The this section if he returns to the same Guidance: Drivers meeting the returning veteran must meet the terminal from which he went off-duty definition of ‘‘farm vehicle driver’’ who physical requirements and obtain a (see § 383.51 for additional operate straight trucks are exempted medical examiner’s certificate before from all driver qualification driving in interstate operations. information). requirements of part 391. All drivers of Question 6: If a driver has his/her articulated motor vehicles with a GCWR Section 391.15 Disqualification of privileges to drive a pleasure vehicle of 10,001 pounds or more are required Drivers revoked or suspended by State to possess a current medical certificate Question 1: May a driver convicted of authorities, but his/her privileges to as required in §§ 391.41 and 391.45. a disqualifying offense be ‘‘disqualified’’ operate a CMV are left intact, would the by a motor carrier? driver be disqualified under the terms Section 391.11 Qualifications of Guidance: No. Motor carriers have no set forth in § 391.15? Drivers authority to disqualify drivers. Guidance: No. The driver would not However, a conviction for a Question 1: Is there a maximum age be disqualified from operating a CMV. limit for driving in interstate commerce? disqualifying offense automatically Guidance: The FMCSRs do not disqualifies a driver from driving for the Question 7: If a driver is convicted of specify any maximum age limit for period specified in the regulations. one of the specified offenses in drivers. Thus, so long as a motor carrier knows, § 391.15(c), but is allowed to retain his Question 2: Does the age requirement or should have known, of a driver’s driver’s license, is he/she still in § 391.11(b)(1) apply to CMV drivers conviction for a disqualifying offense, it disqualified? involved entirely in intrastate is prohibited from using the driver Guidance: Yes. A driver who is commerce? during the disqualification period. convicted of one of the specified Guidance: No. Neither the CDL Question 2: Is a decision of probation offenses in § 391.15(c), or has forfeited requirements in part 383 nor the before judgment sufficient for bond in collateral on account of one of FMCSRs in parts 390–399 require disqualification? these offenses, and who is allowed to drivers engaged purely in intrastate Guidance: Yes, provided the State retain his/her driver’s license, is still commerce to be 21 years old. The States process includes a finding of guilt. disqualified. The loss of a driver’s may set lower age thresholds for Question 3: Is a driver holding a valid license and convictions of certain intrastate drivers. driver’s license from his or her home offenses in § 391.15(c) are entirely Question 3: What effect does the Age State but whose privilege to drive in separate grounds for disqualification. Discrimination in Employment Act have another State has been suspended or on the minimum age requirement for an revoked, disqualified from driving by Question 8: If a driver has his/her interstate driver? § 391.15(b)? license suspended for driving while Guidance: None. The Age Guidance: Yes, the driver would be under the influence of alcohol, and 2 Discrimination in Employment Act, 29 disqualified from interstate operations months later, as a result of this same U.S.C. 621–634, recognizes an exception until his privileges are restored by the incident, the driver is convicted of a when age is a bona fide occupational authority that suspended or revoked DWI, must the periods of qualification. 29 U.S.C. 623(f)(1). them, provided the suspension resulted disqualification be combined since Question 4: May a motor carrier be from a driving violation. It is immaterial these are both disqualifying offenses? exempt from driver qualification that he holds a valid license from Guidance: No. Disqualification during requirements by hiring a driver leasing another State. All licensing actions the suspension of an operating license company or temporary help service? should be accomplished through the continues until the license is restored by Guidance: No. The FMCSRs apply to, CDLIS or the controlling interstate the jurisdiction that suspended it. and impose responsibilities on, motor compact. Disqualification for conviction of DWI is carriers and their drivers. The FHWA Question 4: What are the differences for a fixed term. The fact that the driver does not regulate driver leasing between the disqualification provisions was already disqualified for driving companies or temporary help service listed in §§ 383.51 and 383.5 and those under the influence of alcohol because companies. listed in § 391.15? of the suspension action may mean that Question 5: May a motor carrier Guidance: Part 383 disqualifications the total time under disqualification for lawfully permit a person not yet are applicable generally to drivers who the DWI conviction may exceed the qualified as a driver in accordance with drive CMVs above 26,000 pounds stated term. § 391.11 to operate a vehicle in GVWR, regardless of where the CMV is interstate commerce for the purpose of driven in the U.S. Part 391 Question 9: If a driver commits a attending a training and indoctrination disqualifications are applicable felony while operating a CMV but not in course in the operation of that specific generally to drivers who drive CMVs the employ of a motor carrier, is the vehicle? above 10,000 pounds GVWR, only when offense disqualifying? Guidance: No. If the trip is in the vehicle is used in interstate Guidance: No. There are 2 conditions interstate commerce, the driver must be commerce in a State, including the required to be present for a felony fully qualified to operate a CMV. District of Columbia. conviction to be a disqualifying offense 16410 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations under § 391.15: (1) The offense was Section 391.23 Investigation and necessitating the doubles/triples or tank committed during on-duty time; and (2) Inquiries vehicle endorsement, the employer the driver was employed by a motor Question 1: When a motor carrier must administer the road test under carrier or was engaged in activities that receives a request for driver information § 391.31 in a representative vehicle. were in furtherance of a commercial from another motor carrier about a Question 2: How does a student enterprise. However, neither of these former or current driver, is it required enrolled in a driver training school conditions is a prerequisite for a to supply the requested information? comply with the requirement to pass a disqualifying offense under § 383.51. Guidance: Generally no. See road test? § 382.405, however, for requests Guidance: The road test is Section 391.21 Application for pertaining to drug and alcohol records. administered only after the student has Employment demonstrated a sufficient degree of Section 391.25 Annual Review of proficiency on a range or off-road Question 1: If a driver submits an Driving Record course. A student who passes the road application for employment and has Question 1: To what extent must a test and is qualified to operate in someone else type, write, or print the motor carrier review a driver’s overall interstate commerce could cross a State answers to the questions for him and he driving record to comply with the line in the process of receiving training. signs the application, does this requirements of § 391.25? Question 3: May a carrier use a constitute a valid application? Guidance: The motor carrier must blanket certification of road test for Guidance: Yes. The applicant, by consider as much information about the specific vehicles (driver’s names, etc., signing the application, certifies that all driver’s experience as is reasonably left out)? entries on it and information therein are available. This would include all known Guidance: No. true and complete to the best of the violations, whether or not they are part Question 4: May a motor carrier designate another person or applicant’s knowledge. of an official record maintained by a State, as well as any other information organization to administer the road test? Question 2: Is there a prescribed or that would indicate the driver has Guidance: Yes. A motor carrier may specified form that must be used when shown a lack of due regard for the safety designate another person or a driver applies for employment, or can of the public. Violations of traffic and organization to administer the road test a carrier develop its own application? criminal laws, as well as the driver’s as long as the person who administers Guidance: There is no specified form involvement in motor vehicle accidents, the road test is competent to evaluate to be used in an application for are such indications and must be and determine the results of the tests. employment. Carriers may develop their considered. A violation of size and Section 391.41 Physical Qualifications own forms, which may be tailored to weight laws should also be considered. for Drivers their specific needs. The application Question 2: Is a driver service or Question 1: Who is responsible for form must, at the minimum, contain the leasing company that is not a motor ensuring that medical certifications information specified in § 391.21(b). carrier permitted to perform annual reviews of driving records (§ 391.25) on meet the requirements? Question 3: Section 391.21(b)(11) Guidance: Medical certification the drivers it furnishes to motor requires that an application for determinations are the responsibility of carriers? employment contain 10 years of prior Guidance: The driver service or the medical examiner. The motor carrier employment information on the driver. leasing company may perform annual has the responsibility to ensure that the If a foreign motor carrier’s home country reviews if designated by a motor carrier medical examiner is informed of the requires that an application for to do so. minimum medical requirements and the employment contain only five years of characteristics of the work to be data, will a foreign carrier need to Section 391.27 Record of Violations performed. The motor carrier is also change its application to collect 10 years Question 1: Are notifications to a responsible for ensuring that only of data? Will the foreign carrier be motor carrier by a driver convicted of a medically qualified drivers are required to go back and collect 10 years driver violation as required by § 383.31 operating CMVs in interstate commerce. of data on its current drivers? What will to be maintained in the driver’s Question 2: Do the physical a U.S. motor carrier who employs qualification file as part of the qualification requirements of the foreign drivers be required to do in this supporting documentation or FMCSRs infringe upon a person’s regard? certifications noted in the requirements religious beliefs if such beliefs prohibit being examined by a licensed doctor of Guidance: A foreign motor carrier listed in § 391.27(d)? Guidance: Section 391.27(d) does not medicine or osteopathy? would not be required to collect 10 Guidance: No. To determine whether years of prior employment information require documentation in the qualification file. However, § 391.51 a governmental regulation infringes on a as long as a foreign driver has an does require that such notifications be person’s right to freely practice his appropriate foreign commercial driver’s maintained in the qualification file. religion, the interest served by the license, i.e., (1) the Licencia Federal de regulation must be balanced against the Conductor (Mexico), or (2) the Canadian Section 391.31 Road Test degree to which a person’s rights are National Safety Code commercial Question 1: Are employers still adversely affected. Biklen v. Board of driver’s license. A U.S. motor carrier, on required to administer road tests since Education, 333 F. Supp. 902 (N.D.N.Y. the other hand, would be required to all States have implemented CDL skills 1971) aff’d 406 U.S. 951 (1972). collect 10 years of prior employment testing? If there is an important objective information when hiring foreign drivers. Guidance: The employer may accept being promoted by the requirement and The carrier should also remember to a CDL in lieu of a road test if the driver the restriction on religious freedom is contact the U.S. Immigration and is required to successfully complete a reasonably adapted to achieving that Naturalization Service for their road test to obtain a CDL in the State of objective, the requirement should be regulations and policies with respect to issuance. However, if the employer upheld. Burgin v. Henderson, 536 F.2d hiring foreign drivers. intends to assign to the driver a vehicle 501 (2d. Cir. 1976). Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16411

Based on the tests developed by the qualified to drive a CMV in interstate other nondrug testing, but only if such courts and the important objective commerce. The ultimate responsibility other nondrug testing is required by the served, the regulation meets rests with the motor carrier to ensure FHWA (under part 391, subpart E) such Constitutional standards. It does not the driver is medically qualified and to as testing for glucose and protein levels. deny a driver his First Amendment determine whether a new medical Question 3: Is a chest x-ray required rights. examination should be completed. under the minimum medical Question 3: What are the physical Question 7: Are drivers prohibited requirements of the FMCSRs? qualification requirements for operating from using CB radios and earphones? Guidance: No, but a medical examiner a CMV in interstate commerce? Guidance: No. CB radios and may take an x-ray if appropriate. Guidance: The physical qualification earphones are not prohibited under the Question 4: Does § 391.43 of the regulations for drivers in interstate regulations, as long as they do not FMCSRs require that physical commerce are found at § 391.41. distract the driver and the driver is examinations of applicants for Instructions to medical examiners capable of complying with employment be conducted by medical performing physical examinations of § 391.41(b)(11). examiners employed by or designated these drivers are found at § 391.43. Question 8: Is the use of coumadin, an by the carrier? Interpretive guidelines are distributed anticoagulant, an automatic Guidance: No. upon request. disqualification for drivers operating Question 5: Does a medical certificate The qualification standards cover 13 CMVs in interstate commerce? displaying a facsimile of a medical areas which directly relate to the driving Guidance: No. Although the FHWA examiner’s signature meet the function. All but four of the standards 1987 ‘‘Conference on Cardiac Disorders ‘‘signature of examining health care require a judgement by the medical and Commercial Drivers’’ recommended professional’’ requirement? examiner. A person’s qualification to that drivers who are taking Guidance: Yes. drive is determined by a medical anticoagulants not be allowed to drive, Question 6: The driver’s medical examiner who is knowledgeable about the agency has not adopted a rule to that exam is part of the Mexican Licencia the driver’s functions and whether a effect. The medical examiner and Federal. If a roadside inspection reveals particular condition would interfere treating specialist may, but are not that a Mexico-based driver has not had with the driver’s ability to operate a required to, accept the Conference the medical portion of the Licencia CMV safely. In the case of vision, recommendations. Therefore, the use of Federal re-validated, is the driver hearing, insulin-using diabetes, and coumadin is not an automatic considered to be without a valid epilepsy, the current standards are disqualification, but a factor to be medical certificate or without a valid absolute, providing no discretion to the considered in determining the driver’s license? medical examiner. physical qualification status. Question 4: Is a driver who is taking Guidance: The Mexican Licencia Section 391.43 Medical Examination; prescription methadone qualified to Federal is issued for a period of 10 years Certificate of Physical Examination drive a CMV in interstate commerce? but must be re-validated every 2 years. Guidance: Methadone is a habit- Question 1: May a motor carrier, for A condition of re-validation is that the forming narcotic which can produce the purposes of § 391.41, or a State driver must pass a new physical drug dependence and is not an driver licensing agency, for the purposes examination. The dates for each re- allowable drug for operators of CMVs. of § 383.71, accept the results of a validation are on the Licencia Federal Question 5: May the medical medical examination performed by a and must be stamped at the completion examiner restrict a driver’s duties? foreign medical examiner? of each physical. This constitutes Guidance: No. The only conditions a Guidance: Yes. Foreign drivers documentation that the driver is medical examiner may impose upon a operating in the U.S. with a driver’s medically qualified. Therefore, if the driver otherwise qualified involve the license recognized as equivalent to the Licencia Federal is not re-validated use of corrective lenses or hearing aids, CDL may be medically certified in every 2 years as specified by Mexican securement of a waiver or limitation of accordance with the requirements of law, the driver’s license is considered driving to exempt intracity zones (see part 391, subpart E, by a medical invalid. § 391.43(g)). A medical examiner who examiner in the driver’s home country Section 391.45 Persons Who Must Be believes a driver has a condition not who is licensed, certified, and/or Medically Examined and Certified specified in § 391.41 that would affect registered to perform physical his ability to operate a CMV safely examinations in that country. However, Question 1: Is it intended that the should refuse to sign the examiner’s U.S. drivers operating in interstate words ‘‘person’’ and ‘‘driver’’ be used certificate. commerce within the U.S. must be interchangeably in § 391.45? Question 6: If an interstate driver tests medically certified in accordance with Guidance: Yes. positive for alcohol or controlled part 391, subpart E, by a medical Question 2: Do the FMCSRs require substances under part 382, must the examiner licensed, certified, and/or applicants, possessing a current medical driver be medically re-examined and registered to perform physical certificate, to undergo a new physical obtain a new medical examiner’s examinations in the U.S. examination as a condition of certificate to drive again? Question 2: May a urine sample employment? Guidance: The driver is not required collected for purposes of performing a Guidance: No. However, if a motor to be medically re-examined or to obtain subpart H test be used to test for carrier accepts such a currently valid a new medical examiner’s certificate diabetes as part of a driver’s FHWA- certificate from a driver subject to part provided the driver is seen by an SAP required physical examination? 382, the driver is subject to additional who evaluates the driver, does not make Guidance: In general, no. However, controlled substance testing a clinical diagnosis of alcoholism, and the DOT has recognized an exception to requirements unless otherwise excepted provides the driver with documentation this general policy whereby, after 60 in subpart H. allowing the driver to return to work. milliliters of urine have been set aside Question 3: Must a driver who is However, if the SAP determines that for subpart H testing, any remaining returning from an illness or injury alcoholism exists, the driver is not portion of the sample may be used for undergo a medical examination even if 16412 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations his current medical certificate has not Question 3: Before December 23, never been fully qualified by a motor expired? 1994, motor carriers were required to carrier, the first motor carrier employing Guidance: The FMCSRs do not maintain documentary evidence that such a driver must ensure that the require an examination in this case their drivers had completed the written driver is fully qualified, and must keep unless the injury or illness has impaired examination specified by 49 CFR 391.35 a complete driver qualification file for the driver’s ability to perform his/her (1994). The rule removing § 391.35 that driver. It was the intention of normal duties. However, the motor became effective on that date (59 FR §§ 391.63 and 391.65 to require that a carrier may require a driver returning 60319, November 23, 1994). Are motor driver, before entering the status of an from any illness or injury to take a carriers required to maintain such ‘‘intermittent, casual, or occasional’’ physical examination. But, in either documentary evidence for drivers driver, be fully qualified by a motor case, the motor carrier has the obligation employed prior to December 23, 1994? carrier. In a contractual relationship to determine if an injury or illness Guidance: No. between a motor carrier and a driver renders the driver medically Question 4: If a motor carrier leasing service, this may be unqualified. maintains complete driver qualification accomplished by a motor carrier files but cannot produce them at the designating a driver leasing service as Section 391.47 Resolution of Conflicts time of the review or within two its agent to perform the qualification of Medical Evaluation business days, is it in violation of procedures in accordance with parts 383 Question 1: Does the FHWA issue § 391.51? and 391. However, in such a case, the formal medical decisions as to the Guidance: Yes. Driver qualification motor carrier will be held liable for any physical qualifications of drivers on an files must be produced on demand. violations of the FMCSRs committed by individual basis? Producing driver qualification files after its agent. Guidance: No, except upon request the completion of the review does not Question 3: Must a motor carrier that for resolution of a conflict of medical cure a record-keeping violation of employs an intermittent, casual, or evaluations. § 391.51. occasional driver to operate a CMV, as Question 5: Must a driver/employee defined in § 383.5, (1) require the driver Section 391.49 Waiver of Certain who was employed prior to the deletion to prepare and submit an employment Physical Defects of the section of the FMCSRs requiring application in accordance with § 391.21 Question 1: Since 49 CFR 391.49 does certain documentary proof of written and (2) conduct the background not mandate a Skill Performance examination, and who does not have investigation of the driver’s previous Evaluation, does the term ‘‘performance such proof in his driver qualification employers required by § 391.23? standard’’ mean that the State must give file, complete the exam? Guidance: Section 391.63(a) (1)–(2) a driving test or other Skill Performance Guidance: No. The requirement of exempts from compliance with Evaluation to the driver for every waiver former 49 CFR 391.35(h) that a driver §§ 391.21 and 391.23 motor carriers that issued or does this term mean that, qualification file contains certain use intermittent, casual or occasional depending upon the medical condition, documents substantiating the driver drivers to operate CMVs with a gross the State may give some other type of examination may not be the basis of a vehicle (or combination) weight rating performance test? For example, in the citation after November 23, 1994, the (GVWR/GCWR) of 10,001 pounds or case of a vision waiver, would a vision date on which all requirements more. These exemptions also apply to examination suffice as a performance pertinent to a driver’s written test were carriers operating the heavier CMVs standard? rescinded (59 FR 60319). subject to parts 382 and 383. However, the more limited driver Guidance: Under the Tolerance Section 391.63 Intermittent, Casual, or information and motor carrier Guidelines, Appendix C, Paragraph 3(j), Occasional Drivers investigation required by parts 382 and each State that creates a waiver program Question 1: Is a person employed by 383 are not covered by § 391.63. for intrastate drivers is responsible for a nonmotor carrier in his normal duties Therefore, a carrier using intermittent, determining what constitutes ‘‘sound considered an intermittent, casual, or casual or occasional drivers to operate medical judgment,’’ as well as occasional driver when employed by a CMVs with a GVWR/GCWR of 26,001 determining the performance standard. motor carrier as a driver on a part-time pounds or more need not require an In the example used above, a vision basis? employment application in accordance examination would suffice as a Guidance: No. A person who drives with § 391.21, but the driver must performance standard. It is the for one motor carrier (even if it is only furnish the information required by responsibility of each State establishing one day per month) would not meet the § 383.35(c). The carrier may conduct a a waiver program to determine what definition of an intermittent, casual or background investigation of the driver’s constitutes an appropriate performance occasional driver in § 390.5 since he/she previous employers (§ 383.35(f)), and it standard. is employed by only one motor carrier. must investigate his/her previous Section 391.51 Driver Qualification The motor carrier must fully qualify the alcohol and controlled substance test Files driver and maintain a qualification file results (§ 382.413). on the employee as a regularly Question 1: When a motor carrier employed driver. Section 391.65 Drivers Furnished by purchases another motor carrier, must Question 2: How does § 391.63 apply Other Motor Carriers the drivers of the acquired motor carrier when motor carriers obtain, from a Question 1: May a nonmotor carrier be requalified by the purchasing motor driver leasing service, intermittent, which owns a CMV prepare the carrier? casual, or occasional drivers who are on qualification certificate provided for in Guidance: No. temporary assignments to multiple § 391.65? Question 2: Is a driver training school motor carriers? Guidance: No, only a motor carrier required to keep a driver qualification Guidance: If an intermittent, casual, which regularly employs a driver may file on each student? or occasional driver has only been fully issue the required certification. Guidance: Yes, if operating in qualified by a driver leasing service or Question 2: May the certificate of interstate commerce. similar non-motor carrier entity, and has qualification as prescribed by § 391.65 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16413 be incorporated into another carrier’s Guidance: No. documented. In areas where a 55 mph forms such as a lease and/or interchange Question 2: Can a motor carrier, speed limit is in effect, trips of 450–500 agreement? which finds a driver with a detectable miles are open to question, and runs of Guidance: Yes. However, the presence of alcohol, place him/her out 500 miles or more are considered certificate of qualification must be of service in accordance with § 392.5? incapable of being made in compliance signed and dated by an officer or Guidance: No. The term ‘‘out of with the speed limit and hours of authorized employee of the regularly service’’ in the context of § 392.5 refers service limitation. employing carrier. to an act by a State or Federal official. Question 3: Is a motor carrier required However, the motor carrier must Section 392.7 Equipment, Inspection, to accept a certificate from the driver’s prevent the driver from being on-duty or and Use regularly employing motor carrier from operating or being in physical Question 1: Must a driver prepare a certifying that the driver is qualified per control of a CMV for at least as long as written report of a pretrip inspection § 391.65? is necessary to prevent a violation of performed under § 392.7? Guidance: No. If the motor carrier § 392.5. Guidance: No. chooses not to accept the certificate Question 3: Does the prohibition Question 2: Must both drivers of a issued by the regularly employing motor against carrying alcoholic beverages in team operation comply with the carrier furnishing the driver, the motor § 392.5 apply to a driver who uses a provisions of § 392.7 before driving? carrier must then assume responsibility company vehicle, for personal reasons, Guidance: Section 392.7 states that a for assuring itself that the driver is fully while off-duty? driver must be satisfied that the vehicle qualified in accordance with part 391. Guidance: No. For example, an is in good working order before Question 4: If a driver furnished by owner-operator using his/her own operating the vehicle. If a driver is another motor carrier is in the second vehicle in an off-duty status, or a driver satisfied with a co-driver’s inspection, carrier’s service for a period of 7 using a company truck or tractor for or a safety lane inspection, then the consecutive days or more, may the transportation to a motel, restaurant, or requirement of this section will have driver still fall under the exemption in home, would normally be outside the been met. § 391.65? scope of this section. Section 392.9 Safe Loading Guidance: No. The driver becomes a Question 4: Would an alcohol test, regularly employed driver of the second performed by an employer pursuant to Question 1: Is a vehicle’s cargo motor carrier and the exemption in 49 CFR part 382, with a result greater compartment considered sealed § 391.65 is inapplicable. than 0.00 BAC, but less than 0.02 BAC, according to the terms of § 392.9(b)(4) when it is secured with a padlock, to PART 392ÐDRIVING OF MOTOR VEHICLES establish that a driver was in violation of 49 CFR 392.5(a)(2), having any which the driver holds a key? Sections Interpreted Guidance: No. The driver has ready measured alcohol concentration while 392.3 Ill or Fatigued Operator access to the cargo compartment by 392.5 Intoxicating Beverage on duty? Guidance: No. The FHWA believes using the padlock key and would be 392.6 Schedules To Conform With Speed required to perform the examinations of that a 0.02 BAC is the lowest level at Limits the cargo and load-securing devices which a scientifically accurate breath/ 392.7 Equipment, Inspection, and Use described in § 392.9(b). 392.9 Safe Loading blood alcohol concentration can be Question 2: Does the FHWA have 392.14 Hazardous Conditions; Extreme measured in an employer-based test authority to enforce the safe loading Caution under part 382. The FHWA further 392.16 Use of Seat Belts requirements against a shipper that is believes that this use of a 0.02 BAC not the motor carrier? 392.42 Notification of License Revocation standard is consistent with FHWA’s 392.60 Unauthorized Persons Not To Be Guidance: No, unless HM as defined Transported long established zero tolerance standard in § 172.101 are involved. It is the for alcohol. This guidance in no way responsibility of the motor carrier and Section 392.3 Ill or Fatigued Operator impedes or precludes any action taken the driver to ensure that any cargo Question 1: What protection is by a law enforcement official because of aboard a vehicle is properly loaded and afforded a driver for refusing to violate a finding that a BAC level was less than secured. the FMCSRs? 0.02 BAC. Question 3: How may the motor Guidance: Section 405 of the STAA Section 392.6 Shedules to Conform carrier determine safe loading when a (49 U.S.C. 31105) states, in part, that no With Speed Limits. shipper has loaded and sealed the person shall discharge, discipline, or in trailer? any manner discriminate against an Question 1: How many miles may a Guidance: Under these circumstances, employee with respect to the driver record on his/her daily record of a motor carrier may fulfill its employee’s compensation, terms, duty status and still be presumed to be responsibilities for proper loading a conditions, or privileges of employment in compliance with the speed limits? number of ways. Examples are: a. for refusing to operate a vehicle when Guidance: Drivers are required to Arrange for supervision of loading to such operation constitutes a violation of conform to the posted speed limits determine compliance; or any Federal rule, regulation, standard, prescribed by the jurisdictions in or b. Obtain notation on the connecting or order applicable to CMV safety. In through which the vehicle is being line freight bill that the lading was such a case, a driver may submit a operated. Where the total trip is on properly loaded; or signed complaint to the Occupational highways with a speed limit of 65 mph, c. Obtain approval to break the seal to Safety and Health Administration. trips of 550–600 miles completed in 10 permit inspection. hours are considered questionable and Question 4: Is there a requirement that Section 392.5 Intoxicating Beverage the motor carrier may be asked to a driver must personally load, block, Question 1: Do possession and use of document that such trips can be made. brace, and tie down the cargo on the alcoholic beverages in the passenger Trips of 600 miles or more will be property carrying CMV he/she drives? area of a motorcoach constitute assumed to be incapable of being Guidance: No. But the driver is ‘‘possession’’ of such beverages under completed without violations of the required to be familiar with methods § 392.5(a)(3)? speed limits and may be required to be and procedures for securing cargo, and 16414 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations may have to adjust the cargo or load 393.60 Glazing in Specified Openings the unladen dolly prevents other securing devices pursuant to § 392.9(b). 393.61 Window Construction motorists from seeing only a portion of 393.62 Window Obstructions the lenses of the turn signals on the Section 392.14 Hazardous Conditions; 393.65 All Fuel Systems Extreme Caution 393.67 Liquid Fuel Tanks towing vehicle? 393.70 Coupling Devices and Towing Question 1: Who makes the Guidance: Yes. Although a portion of Methods, Except for Driveaway- the rear turn signal lenses on the towing determination, the driver or carrier, that Towaway Operations conditions are sufficiently dangerous to vehicle may be visible to other drivers, 393.71 Coupling Devices and Towing the turn signal generally would not warrant discontinuing the operation of a Methods, Driveaway-Towaway CMV? Operations satisfy the visibility requirements of Guidance: Under this section, the 393.75 Tires FMVSS No. 108 (49 CFR 571.108) if the driver is clearly responsible for the safe 393.76 Sleeper Berths converter dolly prevents other motorists operation of the vehicle and the 393.78 Windshield Wipers from seeing the entire lens. The decision to cease operation because of 393.81 Horn visibility requirements of FMVSS No. hazardous conditions. 393.82 Speedometer 108 help to ensure that other drivers can 393.83 Exhaust System see the turn signal from a range of Section 392.16 Use of Seat Belts 393.87 Flags on Projecting Loads 393.88 Television Receivers positions to the rear of the vehicle. Question 1: May a driver be exempted 393.89 Buses, Driveshaft Protection Therefore, turn signals on the towing from wearing seat belts because of a 393.92 Buses, Marking Emergency Doors vehicle are considered to be obscured by medical condition such as 393.93 Seats, Seat Belt Assemblies and Seat the converter dolly if other motorists’ claustrophobia? Belt Assembly Anchorages view of the lens is even partially Guidance: No. 393.95 Emergency Equipment on All Power blocked. Question 2: Are motorcoach Units passengers required to wear seat belts? 393.100 General Rules for Protection Question 4: Does a CMV equipped Guidance: No. Against Shifting or Falling Cargo with amber tail lamps in addition to the 393.102 Securement Systems red tail lamps required to designate the Section 392.42 Notification of License 393.106 Front-end Structure rear of a CMV meet the lighting Revocation 393.201 Frames requirements of § 393.11? Question 1: If a driver’s driving Special Topics—CMV Parts and Guidance: No. Section 393.11 requires privilege is suspended as a result of a Accessories that lighting devices on CMVs placed in violation committed off-duty, in a Section 393.11 Lighting Devices and operation after March 7, 1989, meet the personal vehicle, is the driver required Reflectors requirements of FMVSS No. 108 in to notify the employing motor carrier effect at the time of manufacture. The Question 1: What is the definition of under the provisions of § 392.42? NHTSA has issued interpretations Guidance: Yes. ‘‘body’’ with respect to trucks and trailers? which indicate that the use of amber tail Section 392.60 Unauthorized Persons Guidance: The FMCSRs do not lamps impairs the effectiveness of the Not To Be Transported include a definition of ‘‘body.’’ required lighting equipment and as such Question 1: Does § 392.60 require a However, a truck or trailer body is prohibited by FMVSS No. 108 driver to carry a copy of the written generally means the structure or fixture (S5.1.3). Since NHTSA does not allow authorization (required to transport designed to contain, or support, the vehicle manufacturers to install amber passengers) on board a CMV? material or property to be transported tail lamps, the FHWA has concluded Guidance: No, the authorization must on the vehicle. that the use of amber tail lamps on be maintained at the carrier’s principal Question 2: May retroreflective tape vehicles placed in operation after March place of business. At the discretion of be used in place of side reflex reflectors? 7, 1989, is prohibited by § 393.11. the motor carrier, a driver may also Guidance: Section 393.26(b) cross In the case of vehicles placed in carry a copy of the authorization. references FMVSS 108 (49 CFR 571.108, operation on or before March 7, 1989, S5.1.1.4) which allows reflective PART 393ÐPARTS AND ACCESSORIES § 393.11 requires that vehicles meet NECESSARY FOR SAFE OPERATION material to be used for side reflex either the lighting requirements of part reflectors under the conditions Sections Interpreted 393 or FMVSS No. 108 in effect at the described below. Retroreflective tape time of manufacture. Prior to the 393.11 Lighting Devices and Reflectors conforming to Federal specification L– December 7, 1988, final rule on part 393 393.17 Lamps and Reflectors— S–300, ‘‘Sheeting and Tape, Reflective; (53 FR 49397), amber tail lamps were Combinations in Driveaway-Towaway Non-exposed Lens, Adhesive Backing,’’ Operation prohibited by § 393.25. Section September 7, 1965, may be used in 393.24 Requirements for Head Lamps and 393.25(e)(3) (in the October 1, 1988 Auxiliary Road Lighting Lamps place of side reflex reflectors if this material as used on the vehicle, meets edition of the Code of Federal 393.25 Requirements for Lamps Other Than Regulations) required all rear lamps, Head Lamps the performance standards in either 393.28 Wiring To Be Protected Table I or Table IA of Society of with certain exceptions, to be red. Since 393.31 Overload Protective Devices Automotive Engineers J594f, Reflex tail lamps were not included in the 393.40 Required Brake Systems Reflectors, January 1977. exceptions, the use of amber tail lamps 393.41 Parking Brake Systems Question 3: Section 393.11, Footnote was implicitly prohibited. Therefore, a 393.42 Brakes Required on All Wheels 5, requires that each converter dolly be vehicle placed in operation on or before 393.43 Breakaway and Emergency Braking equipped with turn signals at the rear if March 7, 1989, must not be equipped System with amber tail lamps because the use 393.44 Front Brake Lines, Protection the converter dolly obscures the turn 393.48 Brakes To Be Operative signals at the rear of the towing vehicle of such lamps meets neither the lighting 393.49 Single Valve To Operate All Brakes when towed singly by another vehicle. requirements of part 393 nor FMVSS 393.51 Warning Devices and Gauges Are turn signals required on the rear of No. 108 in effect at the time of 393.52 Brake Performance the converter dolly when the towing of manufacture. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16415

Section 393.17 Lamps and Reflectors- emergency brake provided it complies Question 2: Are all brakes on a trailer Combinations in Driveaway-Towaway with the requirements of § 393.52? required to be applied automatically Operation Guidance: Yes. CMVs which were not upon breakaway? Question 1: What are the lighting subject to the emergency brake Guidance: Yes. requirements of FMVSS Nos. 105 or 121 requirements when a tow truck is Section 393.44 Front Brake Lines, pulling a wrecked or disabled vehicle? may use ‘‘driveline brakes’’ provided Guidance: A wrecker pulling a those vehicles meet the requirements of Protection vehicle would be considered a § 393.52. Question 1: Does the term ‘‘rear driveaway-towaway operation and Section 393.41 Parking Brake Systems wheels’’ include the tag axle on a bus/ would have to be equipped with the motorcoach? Question 1: May the ‘‘park’’ position lighting devices specified in § 393.17 Guidance: Yes. The braking system on of a CMV’s transmission be used as a when operating in interstate commerce. a bus/motorcoach must be constructed parking brake to comply with the so that if any brake line to either front Section 393.24 Requirements for Head § 393.41? wheel is broken, the driver can apply Lamps and Auxiliary Road Lighting Guidance: No. The ‘‘park’’ position of the brakes to all of the wheels on each Lamps the transmission is only a locking rear axle. Question 1: Must additional lamps device used to lock the transmission. that are not required be operative if all Question 2: Does § 393.41 prohibit air Section 393.48 Brakes To Be Operative required lamps are operative? brake systems from being equipped with Question 1: Do surge brakes comply Guidance: No. a means to release the spring brakes for with § 393.48? purposes of towing disabled vehicles in Section 393.25 Requirements for Guidance: No. Section 393.48 requires Lamps Other Than Head Lamps emergency situations? Guidance: No, provided the brakes are that brakes be operable at all times. Question 1: Are lighting devices on designed and maintained so they cannot Generally, surge brakes are only mobile homes/house trailers required to be released unless adequate energy is operative when the vehicle is moving in be permanently mounted? the forward direction and as such do not Guidance: No. The movement of available to make immediate reapplication of the brakes when the comply with § 393.48 (see question mobile homes/house trailers is number 1 in § 393.49). considered to be a driveaway-towaway brake system is operable. Question 2: If a CMV manufactured operation. Question 3: Are parking brakes Question 2: Are there any special required on every CMV manufactured on or after July 25, 1980 (see § 393.42) lighting requirements for large before March 7, 1990? has brake components on the front axle, containers? Guidance: No. and the brakes are not operable, does the vehicle comply with § 393.48? Guidance: No. Section 393.42 Brakes Required on All Question 3: What are the lighting Guidance: No. Wheels requirements when a container assumes Question 3: If a truck or truck tractor the structural requirements of a trailer? Question 1: Do retractable or lift axles manufactured prior to July 25, 1980, and Guidance: All relevant requirements have to be equipped with brakes? having 3 or more axles, has inoperable of the regulations must be met by this Guidance: Yes, when the wheels are brakes on the front axle or some of the container/trailer. in contact with the roadway. brake components are missing, would Section 393.28 Wiring to be Protected Question 2: Are unladen converter the vehicle be in violation of § 393.48? dollies covered by the exemption in Guidance: Yes. Section 393.48(a) Question 1: Does a frame channel of § 393.42(b)(3)? a CMV constitute a protective ‘‘sheath or requires that all brakes with which the Guidance: Yes. However, if the vehicle is equipped must be operable at tube’’ as specified in § 393.28? converter dolly is laden, the brakes must Guidance: No. To be acceptable, a all times. Although § 393.42(b)(1) be operable. sheath or tube must enclose the wires provides an exception to the Question 3: Section 393.42(b)(3) of the throughout their circumference. In the requirement for brakes on all wheels for FMCSRs states that any full trailer, any absence of a sheath or tube, the group trucks and truck tractors with 3 or more semitrailer, or any pole trailer having a of wires must be protected by axles and manufactured prior to July 25, GVWR of 3,000 pounds or less must be nonconductive tape, braid, or other 1980, the exception does not affect the equipped with brakes if the weight of covering capable of withstanding severe applicability of § 393.48 for those cases the towed vehicle resting on the towing abrasion. in which the vehicle is equipped with vehicle exceeds 40 percent of the GVWR inoperable front wheel brakes or only Section 393.31 Overload Protective of the towing vehicle. Is the has certain portions of the front wheel Devices manufacturer of the trailer responsible brake system (e.g., shoes, linings, Question 1: Must all trailers be for ensuring that the trailer is equipped chambers, hoses) in place. equipped with overload protective with brakes when required? Guidance: No. The motor carrier Question 4: Are the brakes on a devices? vehicle towed in a driveaway-towaway Guidance: No. Trailers do not need pulling the trailer is responsible for ensuring that the trailer is in operation or towed disabled vehicle overload protective devices when required to be operable at all times? protection of trailer circuits is provided compliance with all applicable on the towing vehicle. A circuit breaker FMCSRs. Guidance: Section 393.48(c) provides is required only when the head lamp an exception to the requirement that Section 393.43 Breakaway and brakes be operable at all times. This circuit is protected in common with one Emergency Braking System or more other circuits. A circuit breaker, exception covers disabled vehicles if required, must be an automatic reset Question 1: Are tractor protection being towed and vehicles towed in a type. valves required by § 393.43(b), or may driveaway-towaway operation. similar devices be used? The driveaway-towaway exception in Section 393.40 Required Brake Guidance: No. Similar devices may be § 393.48(c) is contingent upon the Systems used provided the devices meet the conditions outlined in § 393.42(b)(2). Question 1: May a system such as performance requirements of Towed vehicles must have brakes as ‘‘driveline brakes’’ be used as an § 393.43(b). may be necessary to ensure compliance 16416 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations with the performance requirements of Guidance: No. Warning devices are optional for school buses. The FHWA § 393.52. A motor vehicle towed by not required on such CMVs because the inserted the language, ‘‘including school means of a tow-bar when any other driver will be given ample warning of buses,’’ in § 393.61(b)(2) to make clear vehicle is full-mounted on the towed system failure by the movement and feel that school buses used in interstate vehicle, or any combination of motor of the brake pedal. commerce and, therefore, subject to the vehicles utilizing 3 or more saddle- Question 5: What difference, if any, is FMCSRs, were required to comply with mounts, would not be covered under the there between a warning device and a the bus exit standards in Standard exception found at § 393.48(c). warning signal? FMVSS 217. With regard to the disabled-vehicle Guidance: For purposes of § 393.51, Section 393.61(b)(3) regarding push- provision of § 393.48(c)(1), the the terms may be used interchangeably. out windows provides that older buses combination vehicle would have to must conform with the requirements of Section 393.52 Brake Performance meet the applicable performance §§ 393.61(b) or 571.217. Buses which requirements of § 393.52. Question 1: May the information in are subject to § 571.217 would follow the stopping distance table be used to NHTSA’s interpretation on push-out Section 393.49 Single Valve To determine the stopping distances at windows. Buses which are subject to Operate All Brakes speeds greater than 20 mph? § 393.61(b)(1) of the FMCSRs are Question 1: Does a combination of Guidance: No, the table is not required to have emergency windows vehicles using a surge brake to activate intended to be used to predict or that are either push-out windows or that the towed vehicle’s brakes comply with determine stopping distances at speeds have laminated safety glass that can be § 393.49? greater than 20 mph. pushed out in a manner similar to a Guidance: No. The surge brake cannot push-out window. Section 393.60 Glazing in Specified keep the trailer brakes in an applied Question 2: For emergency exits Openings position. Therefore, the brakes on the which consist of laminated safety glass, combination of vehicles are not under Question 1: May windshields and side is the window frame or sash required to the control of a single valve as required windows be tinted? move outward from the bus as is the by § 393.49 (see question number 1 in Guidance: Yes, as long as the light case with push-out windows? § 393.48) transmission is not restricted to less Guidance: No. Laminated safety glass than 70 percent of normal (refer to the is an alternative to the use of push-out Section 393.51 Warning Devices and American Standards Association windows for buses manufactured before Gauges publication Z26.1–1966 and Z26.1a- September 1, 1973. Section 393.61(c) Question 1: Is the low pressure 1969). requires that every glazed opening used warning device required to activate Question 2: May a decal designed to to satisfy the emergency exit space before the tractor protection valve? comply with the periodic inspection requirements, ‘‘if not glazed with Guidance: No. Section 393.51 does documentation requirements of § 396.17 laminated safety glass, shall have a not explicitly require the warning be displayed on the windshields or side frame or sash so designed, constructed, device to operate before the protection windows of a CMV? and maintained that it will yield valve. It is implied that if the operating Guidance: Yes, provided the decal is outwardly to provide the required free pressure of the warning device is at least being used in lieu of an inspection opening. * * *’’ Laminated safety glass 1⁄2 of the governor cut-out pressure, and report and is in compliance with meeting Test No. 25, Egress, American that pressure is not less than the § 393.60(c). National Standard ‘‘Safety Code for pressure at which the protection valve Question 3: If a crack extended into Safety Glazing Materials for Glazing (or similar device) activates, the the thickness of the glass at such an Motor Vehicles Operating on Land requirements of § 393.51 are satisfied. angle as to measure 1⁄4’’ or more, Highways,’’ Z26.1–1966 as Question 2: Is the vacuum portion of measuring from the top edge of the supplemented by Z26.1a–1969 vacuum-assisted hydraulic brake crack on the outside surface of the (referenced in §§ 393.61(c) and systems required to have a warning windshield to vertical line drawn 393.60(a)) is intended to provide an device? through the windshield to the far edge adequate means of emergency exit on Guidance: No. Only the hydraulic of this angled crack on the inside of the older buses without resorting to push- portion of vacuum-assisted hydraulic windshield, would this constitute a out windows. brake systems is required to have a crack of 1⁄4’’ or more in width as defined However, buses with a seating warning device. FMVSS No. 105 does in § 393.60(b)(2)? capacity of more than 10 people not require a warning device for the Guidance: No. The crack, in order to manufactured after September 1, 1973, vacuum portion of the vacuum-assisted fall outside the exception, would have must have push-out windows that hydraulic brake systems. It is the to be a gap of 1⁄4’’ or more on the same conform to 49 CFR 571.217. intention of the FHWA that § 393.51 be surface of the windshield. Question 3: When calculating the consistent with FMVSS No. 105. minimum emergency exit space Question 3: Are vacuum gauges Section 393.61 Window Construction required on school buses used in non- required on the vacuum portion of Question 1: Do school buses used for school bus operations, should two or vacuum-assisted hydraulic brakes? purposes other than school bus three passengers per bench seat be used Guidance: No. Section 393.51(d)(2) operations (as defined in § 390.5), have in determining the adult seating requires only that CMVs with vacuum to meet additional emergency exits capacity? brakes (not hydraulic brakes applied or requirements under § 393.61? Guidance: The NHTSA has indicated assisted by vacuum) be equipped with Guidance: Yes. Section 393.61(b)(2) that ‘‘School buses can transport 3 to a a vacuum gauge. says that ‘‘a bus, including a school bus, seat if the passengers are in grades 1 Question 4: Is a warning device manufactured on and after September 1, through 5, and 2 per seat in grades 9 required in a CMV with a single 1973,’’ must conform with NHTSA’s through 12.’’ (May 9, 1995, 60 FR 24562, hydraulic brake system which uses the § 571.217 (FMVSS 217). At the time this 24567) Therefore, for vehicles originally driveline parking brake as the provision was adopted, FMVSS 217 manufactured as school buses, the total emergency brake system? applied only to other buses and it was pupil seating capacity provided by the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16417 bus manufacturer should be multiplied modified to meet the security Section 393.70 Coupling Devices and by 2⁄3 to determine the adult seating requirements of the corrections agency Towing Methods, Except for Driveaway- capacity for the purposes of § 393.61. may not be used for other purposes that Towaway Operations This generally yields the same result as are subject to the FMCSRs unless they Question 1: Is there a minimum using two adults per bench seat. meet the emergency exit requirements. number of fasteners required to fasten Question 4: Do school buses which the upper fifth wheel plate to the frame meet the school bus emergency exit Section 393.65 All Fuel Systems of a trailer? requirements established by the Question 1: May a fuel fill pipe Guidance: The FMCSRs do not NHTSA’s November 2, 1992, final rule opening be placed above the passenger specify a minimum number of fasteners. on FMVSS No. 217 have to be retrofitted floor level if it is not physically within However, the industry recommends that with additional emergency exits when the passenger compartment? a minimum of ten 5⁄8 inch bolts be used. used in interstate commerce for non- If 1⁄2 inch bolts are used, the industry school bus operations? Guidance: Yes. In addition, the fill Guidance: No. On May 9, 1995, the pipe may intrude into the passenger recommends at least 14 bolts. The CVSA NHTSA amended FMVSS No. 217 to compartment as long as the fill pipe has adopted these industry standards as permit non-school buses to meet either opening complies with § 393.65(b)(4), a part of its vehicle out-of-service the current non-school bus emergency and the fill pipe is protected by a criteria. exit requirements or the upgraded housing or covering to prevent leakage Question 2: When two safety chains school bus exit requirements established of fuel or fumes into the passenger are used, must the ultimate combined by the November 2, 1992 (57 FR 49413), compartment. breaking strength of each chain be equal final rule which became effective on Question 2: Must a motor vehicle that to the gross weight of the towed September 1, 1994. Therefore, school meets the definition of a ‘‘commercial vehicle(s) or would the requirements be buses which meet the upgraded motor vehicle’’ in § 390.5 because it met if the combined breaking strength of emergency exit standards meet the transports hazardous materials in a the two chains is equal to the gross requirements of § 393.61 without the quantity requiring placarding under the weight of the towed vehicle(s)? retrofitting of additional exits. Hazardous Materials Regulations (49 Guidance: If the ultimate combined Question 5: Which edition of FMVSS CFR parts 171–180) comply with the breaking strength of the two chains is No. 217 is required to be used in fuel system requirements of Subpart E of equal to the gross weight of the towed determining the emergency exit space Part 393, even though it has a gross vehicle(s), the requirements of requirements when retrofitting buses? vehicle weight rating (GVWR) of 10,000 § 393.70(d) are satisfied. It should be Guidance: The cross reference to pounds or less? noted that some States may have more FMVSS No. 217 applies to the stringent requirements for safety chains. Guidance: No. FMVSS No. 301 Question 3: Section 393.70(d) requires requirements in effect at the time of contains fuel system integrity manufacture of the bus. Motor carriers that every full trailer must be coupled requirements for passenger cars and to the frame, or an extension of the are not, however, prohibited from multipurpose passenger vehicles, retrofitting their buses to the most up- frame, of the motor vehicle which tows trucks, and buses that have a GVWR of it with one or more safety devices to to-date requirements in FMVSS No. 217. 10,000 pounds or less and use fuel with Therefore, at a minimum, motor carriers ° ° prevent the towed vehicle from breaking a boiling point above 0 Celsius (32 loose in the event the tow-bar fails or must meet the non-school bus Fahrenheit). Subpart E of part 393 was emergency exit requirements in effect at becomes disconnected. The safety issued to provide fuel system device must be connected to the towed the time of manufacture, and have the requirements to cover motor vehicles option of retrofitting their buses to meet and towing vehicles and to the tow-bar with a GVWR of 10,001 or more pounds. in a manner which prevents the tow-bar the emergency exit requirements The fuel systems of placarded motor established by the November 2, 1992 (57 from dropping to the ground in the vehicles with a GVWR of less than event it fails or becomes disconnected. FR 49413), final rule which became 10,001 pounds are adequately addressed effective on September 1, 1994. Would the use of a pair of safety chains/ by FMVSS No. 301 and compliance cables between the towing vehicle and Section 393.62 Window Obstructions with subpart E of part 393 would be the front of a fixed-length draw bar, or Question 1: May a bus being operated redundant. However, commercial motor an extendible draw bar, with a separate by a for-hire motor carrier of passengers, vehicles that are not covered by FMVSS pair of safety chains/cables between the under contract with a governmental No. 301 must continue to comply with end of the draw bar and the front of the agency to provide transportation of subpart E of part 393. towed vehicle meet the requirements of prisoners in interstate commerce, be Section 393.67 Liquid Fuel Tanks § 393.70(d)? allowed to operate with security bars Guidance: Generally, separate safety covering the emergency push-out Question 1: May a properly vented devices at the front and rear of the draw windows and with locked emergency fuel cap be used on a fuel tank equipped bar could be used to satisfy the door exits? with another fuel venting system? requirements of § 393.70(d) provided Guidance: Yes. Even when the Guidance: Yes (see § 393.3). the safety devices are attached to the transportation is performed by a Question 2: Do the FMCSRs specify a drawbar and the vehicles in a manner contract carrier, the welfare, safety, and particular pressure relief system? that prevents the drawbar from security of the prisoners is under the dropping to the ground in the event that Guidance: No, but the performance authority of the governmental it fails or becomes disconnected. Also, standards of § 393.67(d) must be met. corrections agency and, thus, the agency the arrangement of the safety device(s) may require additional security Question 3: What standards under the must be such that the vehicles will not measures. For these types of operations, FMCSRs must be met when a liquid fuel separate if the draw bar fails or becomes a carrier may meet the special security tank is repaired or replaced? disconnected. requirements of the governmental Guidance: A replacement/repaired If the drawbar design is such that corrections agency regarding emergency tank must meet the applicable standards bolts, connecting pins, etc., are used to exits. However, CMVs that have been in § 393.67. connect structural members of the 16418 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations drawbar, and are located at or near the substances used in place of air in tires Section 393.88 Television Receivers midpoint of the drawbar (beyond the may not maintain a constant physical Question 1: Does § 393.88 restrict the attachment points for the safety chain at state at different temperatures. While use of closed circuit monitor devices the ends of the draw bar) the safety these substances are solid at lower being used as a safety viewing system devices would have to extend from temperatures, the increase in that would eliminate blind-side motor either the frame of the towed or towing temperature from highway use may carrier accidents? vehicle to a point beyond the bolts, result in the substance changing from a Guidance: No. The restriction of this connecting pins or similar devices. solid to a liquid. The use of a substance section would not apply because the In the case of an extendible draw bar which could undergo such a change in device cannot receive television or reach, if a separate safety device(s) is its physical characteristics is not safe, broadcasts or be used for the viewing of used for the front and rear of the and is not in compliance with § 393.3. video tapes. drawbar, a means must be provided to ensure that the drawbar will not Section 393.76 Sleeper Berths Section 393.89 Buses, Drive Shaft separate at the movable portion of the Question 1: If a compartment in a Protection drawbar. The use of welded tube stops CMV is no longer used as a sleeper Question 1: For the purposes of would satisfy the intent of § 393.70(d) if berth, must it be maintained and § 393.89, would a spline and yoke that the ultimate strength of the welds equipped as a sleeper berth as required is secured by a nut be considered a exceeds the impact forces associated in § 393.76? sliding connection? with the drawbar extending suddenly Guidance: No. Guidance: No. To be considered a with a fully loaded trailer attached. Section 393.78 Windshield Wipers sliding connection, the spline must be Section 393.71 Coupling Devices and able to move within the sleeve. When Question 1: Are windshield washer Towing Methods, Driveaway-Towaway the end of the spline is secured by a nut, systems required? Operations it no longer has that freedom. Guidance: No, only windshield Question 2: On multiple drive shaft Question 1: May a fifth wheel be wipers are required. buses, does § 393.89 require that all considered as a coupling device when segments of the drive shaft be protected Section 393.81 Horn towing a semi-trailer in a driveaway- no matter the segments’ length? towaway operation? Question 1: Do the FMCSRs specify Guidance: Yes. Each drive shaft must Guidance: Yes. Section 393.71(g) what type of horn is to be used on a have one guard or bracket for each end requires the use of a tow-bar or a saddle- CMV? of a shaft which is provided with a mount. Since a saddle-mount performs Guidance: No. sliding connection (spline or other such the function of a conventional fifth Question 2: Are there established device). wheel, the use of a fifth wheel is criteria in the FMCSRs to determine the Question 3: How does an existing consistent with the requirements of this minimum sound level of horns on pillow bearing (shaft support) on a section. CMVs? multiple driveshaft system affect the Section 393.75 Tires Guidance: No. requirement? Guidance: It does not affect the Question 1: If a CMV has a defective Section 393.82 Speedometer requirement. It is part of the tire, may the driver remove the defective Question 1: What does the phrase requirement. tire from the axle and drive with three ‘‘reasonable accuracy’’ mean? tires on an axle instead of four? Section 393.92 Buses, Marking Guidance: Yes, provided the weight Guidance: ‘‘Reasonable accuracy’’ is Emergency Doors interpreted to mean accuracy to within on all of the remaining tires does not Question 1: Is a contractor-operated exceed the maximum allowed under plus or minus 5 mph at a speed of 50 mph. school bus operating in interstate § 393.75(f). commerce required to have emergency Question 2: May a CMV be operated Section 393.83 Exhaust System lights over the exit door? with tires that carry a greater weight Guidance: Yes. Any bus used in Question 1: Is a heat shield mandatory than the weight marked on the sidewall interstate commerce for other than on a vertical exhaust stack? of the tires? school bus operations, as defined in Guidance: No. However, § 393.83 Guidance: Yes, but only if the CMV is § 390.5, is subject to the FMCSRs. being operated under the terms of a requires the placement of the exhaust State-issued special permit, and at a system in such a manner as to prevent Section 393.93 Seats, Seat Belt reduced speed that is appropriate to the burning, charring, or damaging of Assemblies, and Seat Belt Assembly compensate for tire loading in excess of the electrical wiring, the fuel supply, or Anchorages the rated capacity. any combustible part of the CMV. Question 1: If a CMV, other than a Question 3: May a vehicle transport Question 2: Does § 393.83 specify the motorcoach, is equipped with a HM when equipped with retreaded type of exhaust system, vertical or passenger seat, is a seat belt required for tires? horizontal, to be used on trucks or truck the passenger seat? Guidance: Yes. The only CMV that tractors? Guidance: Yes. may not utilize retreaded tires is a bus, Guidance: No. Section 393.95 Emergency Equipment and then only on its front wheels. Section 393.87 Flags on Projecting Question 4: May tires be filled with on all Power Units Loads materials other than air (e.g., silicone, Question 1: Are pressure gauges the polyurethane)? Question 1: May a triangular-shaped only acceptable means for a visual Guidance: Section 393.75 does not flag or device be used by itself to mark determination that a fire extinguisher is prohibit the use of tires filled with an oversized load? fully charged? material other than air. However, Guidance: No. However, nothing Guidance: No, as long as there is some § 393.3 may prohibit the use of such prohibits using a triangular-shaped flag means to permit a visual determination tires under certain circumstances. Some in conjunction with the prescribed flag. that a fire extinguisher is fully charged. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16419

Section 393.100 General Rules for Section 393.100(b)(2), Option B, marking requirements for other types of Protection Against Shifting or Falling requires one tiedown assembly for each securement devices, such devices are Cargo 10 linear feet of lading or fraction not required to be marked with their Question 1: When securing cargo, is thereof. However, ‘‘a pole trailer * ** working load limit. is required only to have two * * * of the use of a tiedown every 10 linear feet, Section 393.106 Front-end Structure or fraction thereof, adequate? those tiedown assemblies at each end of Question 1: When describing a Guidance: Yes, as long as the the trailer,’’ i.e., at the stanchions, headerboard or cab protection device, aggregate strength of the tiedowns is because the cargo cannot effectively be the regulations state that similar devices equal to the requirements of § 393.102, secured at mid-trailer where its structure is limited to the pole or boom. may be used. What is meant by the term and each article is secured. Section 393.100(b)(4), Option D, ‘‘similar devices’’? Question 2: Are CMVs transporting allows the motor carrier to use a Guidance: The term ‘‘similar devices’’ metal objects required to use option C? securement system that is similar to, has reference to devices equivalent in Guidance: Only those CMVs which and at least as effective as Option B. strength and function, though not cannot comply with options A, B, or D, Section 393.100(d) states that the necessarily in appearance and are required to conform to option C (see rules in § 393.100 do not apply to the construction, to headerboards. § 393.100(c)). transportation of ‘‘one or more articles Question 3: Are the requirements of which, because of their size, shape, or Section 393.201 Frames § 393.100 the only cargo securement weight, must be carried on special Question 1: Are crossmembers of requirements motor carriers must purpose vehicles or must be fastened by CMVs considered part of the frame? comply with? special methods.’’ However, since pole Guidance: Yes. Guidance: No. A motor carrier, when trailers are explicitly included in Question 2: Does § 393.201 of the transporting cargo, must comply with § 393.100(b)(2), they are not special FMCSRs apply to trailers? all the applicable cargo securement purpose vehicles and logs must be Guidance: No. Section 393. 201 is requirements of subpart I and § 392.9. secured in accordance with specific to buses, trucks, and truck Question 4: Do the rules for protection § 393.100(b). tractors. against shifting or falling cargo apply to Question 3: Are welded repairs or CMVs with enclosed cargo areas? Section 393.102 Securement Systems modifications to the frame of a CMV Guidance: Yes. All CMVs transporting Question 1: Does § 393.102(b) prohibit violations of the FMCSRs? cargo must comply with the applicable the use of securement devices for which Guidance: Welding would not be a provisions of §§ 393.100–393.106 manufacturing standards have not been violation of the FMCSRs unless the (subpart I) to prevent the shifting or incorporated by reference? process used for the metals being falling of cargo aboard the vehicle. Guidance: Section 393.102(b) requires welded or the location of the weld Question 5: How many tiedowns are that chain, wire rope, synthetic reduced the safety of operation of the required for the transportation of logs on webbing, cordage, and steel strapping vehicle. The safety of a repaired and/or pole trailers with trip-bolsters or other meet minimum manufacturing modified vehicle would depend on the stanchions? standards. It does not, however, prohibit structural design of the frame, as well as Guidance: The regulations do not the use of other types of securement the modifications performed. The specify a minimum number of tiedowns. devices or establish manufacturing manufacturer of the vehicle should be Section 393.100(b) provides motor standards for those devices. Therefore, if contacted for assistance. carriers with several options for the securement device(s) has an Special Topics—CMV Parts and complying with § 393.100. Although aggregate working load limit of at least Accessories option B specifically addresses the use 1/2 the weight of the article, and the of tiedowns for each 10 linear feet of load is secured to prevent it from Question 1: Do tires marked ‘‘NHS’’ lading or fraction thereof (with certain shifting or falling from the vehicle, (not for highway service) mean that exceptions), option D indicates the §§ 393.100 and 393.102(b) would be highway use is prohibited by § 393.75? motor carrier may use ‘‘other means satisfied. Guidance: No, provided the use of ** * which are similar to, and at least If the cargo is not firmly braced such tires does not decrease the safety as effective * * *’’ as options A, B, and against a front-end structure that of operations (see Periodic Inspection C. Therefore, the trip-bolsters or other conforms to the requirements of Requirements, Appendix G to subpart stanchions in conjunction with § 393.106, the securement system would B). securement devices meeting the have to provide protection against PART 395ÐHOURS OF SERVICE OF requirements of § 393.102 may longitudinal movement [§ 393.104(a)]. If DRIVERS (depending on the amount by which the the load may shift sideways in transit Sections Interpreted logs exceed the length of the trailer) be then § 393.104(b) would also be used to satisfy option D. applicable. 395.1 Scope of the Rules in This Part Question 6: Are logs which are Question 2: Does § 393.102(b) require 395.2 Definitions bundled together with tiedowns and 395.3 Maximum Driving and On-Duty Time that securement devices be marked or 395.8 Driver’s Record of Duty Status transported on pole trailers with trip- labeled with their working load limit or 395.13 Drivers Declared Out of Service bolsters or stanchions required to be any other information? 395.15 Automatic On-Board Recording fastened to the vehicle? Guidance: No. Although § 393.102(b) Devices Guidance: Yes. Generally, cargo is not requires chain, wire rope, synthetic considered to be secured in accordance webbing, cordage, and steel strapping Section 395.1 Scope of the Rules in with subpart I of part 393 unless tiedowns to meet applicable This Part tiedowns or other securement devices manufacturing standards, it explicitly Question 1: What hours-of-service prevent the cargo from moving relative excludes marking identification regulations apply to drivers operating to the vehicle. Two rules in § 393.100 provisions of those manufacturing between the United States and Mexico are directly applicable to the standards. Since § 393.102(b) does not or between the United States and transportation of logs on a pole trailer. establish manufacturing standards or Canada? 16420 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Guidance: When operating CMVs, as supporting the petroleum drilling and Question 10: A driver is used defined in § 390.5, in the United States, producing industry, ‘‘including testing, exclusively to transport materials (such all hours-of-service provisions apply to mudfilling, cementing, hydraulic as sand or water) which are used all drivers of CMVs, regardless of fracturing, voltage, logging, and exclusively to service the field nationality, point of origin, or where the resistivity measurements, and cleaning operations of the natural gas or oil driving time or on-duty time was of industrial equipment, as the industry. Occasionally, the driver has accrued. particular requirement might arise in leftover materials that must be Question 2: If a driver invokes the the normal course of well digging or transported back to a motor carrier exception for adverse driving maintenance operations * * *’’ (89 facility or service depot. Would such a conditions, does a supervisor need to M.C.C. 19, at 28, March 29, 1962). Water return trip be covered by § 395.1(d)(1)? sign the driver’s record of duty status servicing companies, whose operations Guidance: Yes. Transporting excess when he/she arrives at the destination? are exclusive to servicing the natural gas materials back to a facility from the well Guidance: No. and oil industry, are also covered by the site is part of the servicing operations. Question 3: May a driver use the provisions of § 395.1(d). However, such servicing operations are adverse driving conditions exception if Section 395.1(d) applies only to limited to transportation back and forth he/she has accumulated driving time situations involving drilling or the between the service depot or motor and on-duty (not driving) time, that operation of wells. It does not apply to carrier facility and the field site. would put the driver over 15 hours or exploration activities. Transportation of materials from one Question 7: What is considered over 70 hours in 8 consecutive days? depot to another, from a railhead to a ‘‘oilfield equipment’’ for the purposes of Guidance: No. The adverse driving depot, or from a motor carrier terminal 395.1(d)(1)? conditions exception applies only to the to a depot, is not considered to be in Guidance: Oilfield equipment is not 10-hour rule. direct support of field operations. Question 4: Are there allowances specifically defined in this section. made in the FMCSRs for delays caused However, its meaning is broader than Question 11: May specially trained by loading and unloading? the ‘‘specially constructed’’ commercial drivers of specially constructed oil well Guidance: No. Although the motor vehicles referred to in servicing vehicles cumulate the 8 regulations do make some allowances § 395.1(d)(2), and may encompass a consecutive hours off duty required by for unforeseen contingencies such as in spectrum of equipment ranging from an § 395.3 by combining off-duty time or § 395.1(b), adverse driving conditions, entire vehicle to hand-held devices. sleeper-berth time at a natural gas or oil and § 395.1(b)(2), emergency conditions, Question 8: What kinds of oilfield well site with off-duty time or sleeper- loading and unloading delays are not equipment may drivers operate while berth time while en route to or from the covered by these sections. taking advantage of the special rule in well? Question 5: How may a driver utilize § 395.1(d)(2)? Guidance: These drivers may the adverse driving conditions Guidance: The special rule in cumulate the required 8 consecutive exception or the emergency conditions § 395.1(d)(2) applies only to drivers hours off duty by combining two exception as found in § 395.1(b), to transporting the equipment identified separate periods, each at least 2 hours preclude an hours of service violation? by the former Interstate Commerce long, of off-duty time or sleeper-berth Guidance: An absolute prerequisite Commission (now part of the Federal time at a natural gas or oil well location for any such claim must be that the trip Highway Administration) in a 1962 with sleeper-berth time in a CMV while involved is one which could normally report to accompany the oilfield rule. en route to or from such a location. and reasonably have been completed The report indicated the specialized They may also cumulate the required 8 without a violation and that the equipment normally consists of heavy consecutive hours off duty by unforeseen event occurred after the machinery permanently mounted on combining an off-duty period of at least driver began the trip. commercial motor vehicles, designed to 2 hours at a well site with: (1) Another Drivers who are dispatched after the fill a specific need. off-duty period at the well site that, motor carrier has been notified or Question 9: Are drivers required to be when added to the first such period, should have known of adverse driving dedicated permanently to the oilfield equals at least 8 hours, or (2) a period conditions are not eligible for the two industry, or must they exclusively in a sleeper-berth, either at or away from hours additional driving time provided transport oilfield equipment or service the well site, or in other sleeping for under § 395.1(b), adverse driving the field operations of the industry only accommodations at the well site, that, conditions. The term ‘‘in any for each eight-day (or shorter) period when added to the first off-duty period, emergency’’ shall not be construed as ended by an off-duty period of 24 or equals at least 8 hours. encompassing such situations as a more consecutive hours? driver’s desire to get home, shippers’ Guidance: A driver must exclusively However, such drivers may not demands, market declines, shortage of transport oilfield equipment or service combine a period of less than 8 hours drivers, or mechanical failures. the field operations of the industry for off duty away from a natural gas or oil Question 6: What does ‘‘servicing’’ of each eight-day (or shorter) period before well site with another period of less the field operations of the natural gas his/her off-duty period of 24 or more than 8 hours off duty at such well sites. and oil industry cover? consecutive hours. However, he/she The special provisions for drivers at Guidance: Servicing of field must be in full compliance with the well sites are strictly limited to those operations, as described by the ICC requirements of 395.3(b) before driving locations. report issued with this exemption, other commercial motor vehicles not The following table indicates what covers those services generally used to service the field operations of types of off-site and on-site time periods performed by specialized companies the natural gas or oil industry. may be combined. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16421

On Site Other Sleeping Accom- On Site Off Duty Time On Site Sleeper Berth modation

Away from Site Off Duty Time Away from Site Sleeper Berth X Combination must be 8 or more X Combination must be 8 or more X Combination must be 8 or more Time. hours. hours. hours. Away from Site Other Sleeping Accommodation

Question 12: What constitutes the the RODS contains driver identification, provided the driver meets all 100-air-mile radius exemption? the date, the time the driver began work, requirements for being off-duty. If the Guidance: The term ‘‘air mile’’ is the time the driver ended work, and the driver’s period away from the work- internationally defined as a ‘‘nautical total hours on duty. reporting location includes periods of mile’’ which is equivalent to 6,076 feet Question 18: Must the driver’s name off-duty time, the time record must or 1,852 meters. Thus, the 100 air miles and each date worked appear on the show both total on-duty time and total are equivalent to 115.08 statute miles or time record prepared to comply with off-duty time during his/her tour of 185.2 kilometers. § 395.1(e), 100-air-mile radius driver? duty. In any event, the driver must Question 13: What documentation Guidance: Yes. The driver’s name or return to the work-reporting location must a driver claiming the 100-air-mile other identification and date worked and be released from work within 12 radius exemption [§ 395.1(e)] have in must be shown on the time record. consecutive hours. his/her possession? Question 19: May drivers who work Question 22: When a driver fails to Guidance: None. split shifts take advantage of the 100-air- meet the provisions of the 100-air-mile Question 14: Must a motor carrier mile radius exemption found at radius exemption (§ 395.1(e)), is the retain 100-air-mile driver time records § 395.1(e)? driver required to have copies of his/her at its principal place of business? Guidance: Yes. Drivers who work Guidance: No. However, upon request records of duty status for the previous split shifts may take advantage of the seven days? Must the driver prepare by an authorized representative of the 100-air-mile radius exemption if: 1. The FHWA or State official, the records must daily records of duty status for the next drivers operate within a 100-air-mile seven days? be produced within a reasonable period radius of their normal work-reporting Guidance: The driver must only have of time (2 working days) at the location locations; 2. The drivers return to their in his/her possession a record of duty where the review takes place. work-reporting locations and are status for the day he/she does not Question 15: May an operation that released from work at the end of each qualify for the exemption. A driver must changes its normal work-reporting shift and each shift is less than 12 begin to prepare the record of duty location on an intermittent basis utilize consecutive hours; 3. The drivers are status for the day immediately after he/ the 100-air-mile radius exemption? off-duty for more than 8 consecutive Guidance: Yes. However, when the she becomes aware that the terms of the hours before reporting for their first shift motor carrier changes the normal exemption cannot be met. The record of of the day and spend less than 12 hours, reporting location to a new reporting duty status must cover the entire day, in the aggregate, on-duty each day; 4. location, that trip (from the old location even if the driver has to record The drivers do not exceed a total of 10 to the new location) must be recorded retroactively changes in status that hours driving time and are afforded 8 or on the record of duty status because the occurred between the time that the more consecutive hours off-duty prior to driver has not returned to his/her driver reported for duty and the time in their first shift of the day; and 5. The normal work reporting location. which he/she no longer qualified for the employing motor carriers maintain and Question 16: May a driver use a 100 air-mile radius exemption. This is retain the time records required by record of duty status form as a time the only way to ensure that a driver 395.1(e)(5). record to meet the requirement does not claim the right to drive 10 Question 20: A company prepares and contained in the 100-air-mile radius hours after leaving his/her exempt maintains time records for drivers exemption? status, in addition to the hours already classified as 100-air-mile radius drivers. Guidance: Yes, provided the form driven under the 100-air-mile The drivers usually do not work every contains the mandatory information. exemption. Question 17: Is the ‘‘mandatory day of the week. Does the motor carrier Question 23: A driver returns to his/ information’’ referred to in the previous have to maintain time records for the her normal work reporting location from guidance that required of a normal days the drivers do not work? a location beyond the 100-air-mile RODS under § 395.8(d) or that of the Guidance: The motor carrier must radius and goes off duty for 7 hours. 100-air-mile radius exemption under maintain time records stating that the May the driver return to duty after being § 395.1(e)(5)? drivers were off-duty during the days Guidance: The ‘‘mandatory the drivers did not work. However, if off-duty for 7 hours and utilize the 100- information’’ referred to is the time the drivers are off consecutive days, the air-mile radius exemption? records specified by § 395.1(e)(5) which employer may prepare a single time Guidance: No. The 7-hour off-duty must show: (1) The time the driver record stating the days each driver was period has not met the requirement of reports for duty each day; (2) the total off-duty. 8 consecutive hours separating each 12- number of hours the driver is on duty Question 21: May a driver who is hour on-duty period. The driver must each day; (3) the time the driver is taking advantage of the 100-air-mile first accumulate 8 consecutive hours off- released from duty each day; and (4) the radius exemption in § 395.1(e) be duty before operating under the 100-air- total time for the preceding 7 days in intermittently off-duty during the period mile radius exemption. accordance with § 395.8(j)(2) for drivers away from the work-reporting location? Question 24: Is the exemption used for the first time or intermittently. Guidance: Yes, a driver may be contained in § 395.1(f) concerning Using the RODS to comply with intermittently off-duty during the period department store deliveries during the § 395.1(e)(5) is not prohibited as long as away from the work-reporting location period from December 10 to December 16422 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

25 limited to only drivers employed by that this time should not be shown on explosives). In addition, when HM department stores? the time cards. Is it a violation of the classified under hazard divisions 1.1, Guidance: No. The exemption applies FMCSRs to operate a CMV from the last 1.2, or 1.3 are on a CMV, the employer to all drivers engaged solely in making stop to home and not show that time on and the driver must comply with § 397.5 local deliveries from retail stores and/or the time cards? of the FMCSRs. retail catalog businesses to the ultimate Guidance: The FMCSRs do not Question 5: Do telephone calls to or consumer, when driving solely within a address questions of pay. All the time from the motor carrier that momentarily 100-air-mile radius of the driver’s work- spent operating a CMV for, or at the interrupt a driver’s rest period reporting location, during the dates direction of, a motor carrier must be constitute a change of the driver’s duty specified. recorded as driving time. status? Question 25: May time spent in Question 2: What conditions must be Guidance: Telephone calls of this sleeping facilities being transported as met for a CMV driver to record meal and type do not prevent the driver from cargo (e.g., boats, campers, travel other routine stops made during a tour obtaining adequate rest. Therefore, the trailers) be recorded as sleeper berth of duty as off-duty time? FHWA does not consider these brief time? Guidance: 1. The driver must have telephone calls to be a break in the Guidance: No, it cannot be recorded been relieved of all duty and driver’s off-duty status. as sleeper berth time. responsibility for the care and custody Question 6: If a driver is required by Question 26: May sleeper berth time of the vehicle, its accessories, and any a motor carrier to carry a pager/beeper and off-duty periods be combined to cargo or passengers it may be carrying. to receive notification to contact the meet the 8-hour off-duty requirement? 2. The duration of the driver’s relief motor carrier for a duty assignment, Guidance: Yes, as long as the 8-hour from duty must be a finite period of how should this time be recorded? period is consecutive and not broken by time which is of sufficient duration to Guidance: The time is to be recorded on-duty or driving activities. This does ensure that the accumulated fatigue as off-duty. not apply to drivers at natural gas or oil resulting from operating a CMV will be Question 7: May a sleeper berth be well locations who may separate the significantly reduced. used for a period of less than 2 hours’ periods. 3. If the driver has been relieved from duration? Question 27: May a driver record duty, as noted in (1) above, the duration Guidance: Yes. The sleeper berth may sleeper berth time as off-duty time on of the relief from duty must have been be used for such periods of inactivity. line one of the record of duty status? made known to the driver prior to the Periods of time of less than 2 hours Guidance: No. The driver’s record of driver’s departure in written spent in a sleeper berth may not be used duty status must accurately reflect the instructions from the employer. There to accumulate the 8 hours of off-duty driver’s activities. are no record retention requirements for time required by § 395.3 of the FMCSRs. Question 28: After accumulating 8 these instructions on board a vehicle or Question 8: If a ‘‘driver trainer’’ consecutive hours of off-duty time, a at a motor carrier’s principal place of occasionally drives a CMV, thereby driver spends 2 hours in the sleeper business. becoming a ‘‘driver’’ (regardless of berth. The driver then drives a CMV for 4. During the stop, and for the whether he/she is paid for driving), 10 hours, then spends 6 hours in the duration of the stop, the driver must be must the driver record all nondriving sleeper berth. May the driver combine at liberty to pursue activities of his/her (training) time as on-duty (not driving)? the two sleeper berth periods to meet own choosing and to leave the premises Guidance: Yes. the required 8 consecutive hours of off- where the vehicle is situated. Question 9: A driver drives on streets duty time per § 395.1(h), then drive for Question 3: A driver has been given and highways during the week and up to 10 more hours? written permission by his/her employer jockeys CMVs in the yard (private Guidance: No. The 10 hours of to record meal and other routine stops property) on weekends. How is the yard driving time between the first and made during a tour of duty as off-duty time to be recorded? second sleeper berth periods must be time. Is the driver required to record Guidance: On-duty (driving). considered in determining the amount such time as off-duty, or is it the driver’s Question 10: How does compensation of time that the driver may drive after decision whether such time is recorded relate to on-duty time? the second sleeper berth period. Sleeper as off-duty? Guidance: The fact that a driver is berths are intended to be used between Guidance: It is the employer’s choice paid for a period of time does not periods of on-duty time. When a driver whether the driver shall record stops always establish that the driver was on- has already been off duty for more than made during a tour of duty as off-duty duty for the purposes of part 395 during 8 consecutive hours, and has therefore time. However, employers may permit that period of time. A driver may be had adequate opportunity to rest, he/she drivers to make the decision as to how relieved of duty under certain may not ‘‘save’’ additional hours before the time will be recorded. conditions and still be paid. going on duty and add them to the next Question 4: A driver has been given Question 11: Must nontransportation- sleeper berth period. In short, a driver written permission by his/her employer related work for a motor carrier be must be on duty before he/she begins to to record meal and other routine stops recorded as on-duty time? accumulate sleeper berth time. The made during a tour of duty as off-duty Guidance: Yes. All work for a motor driver in your scenario is operating in time. Is the driver allowed to record his carrier, whether compensated or not, violation of the hours of service stops during a tour of duty as off-duty must be recorded as on-duty time. The regulations for the entire second 10- time when the CMV is laden with HM term ‘‘work’’ as used in the definition of hour driving period until that driver is and the CMV is parked in a truck stop ‘‘on-duty time’’ in § 395.2 of the able to secure at least 8 consecutive parking lot? FMCSRs is not limited to driving or hours of off-duty time. Guidance: Drivers may record meal other nontransportation-related and other routine stops made during a employment. Section 395.2 Definitions tour of duty as off-duty time, except Question 12: How should time spent Question 1: A company told all of its when a CMV is laden with explosive in transit on a ferry boat be recorded? drivers that it would no longer pay for HM classified as hazard divisions 1.1, Guidance: Time spent on a ferry by driving from the last stop to home and 1.2, or 1.3 (formerly Class A or B drivers may be recorded as off-duty time Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16423 if they are completely relieved from Guidance: The time that a driver is lifting a loaded container, compacting work and all responsibility and free from obligations to the employer waste, etc.) considered driving time? obligation to the motor carriers for and is able to use that time to secure Does the location of the controls have a which they drive. This relief must be appropriate rest may be recorded as off- bearing on the answer? consistent with existing regulations of duty time. The fact that a driver must Guidance: The location of the controls the ferry company and the U.S. Coast also be available to receive a call in the does have a bearing on the answer. Guard. event the driver is needed at work, even Section 395.2 defines ‘‘driving time’’ as Question 13: What is the duty status under the threat of discipline for non- all time spent at the driving controls of of a co-driver (truck) who is riding availability, does not by itself impair the a CMV in operation. If a driver, seated seated next to the driver? ability of the driver to use this time for at the driving controls of the vehicle, is Guidance: On-duty (not driving). rest. able to simultaneously perform the Question 14: How much a CMV driver If the employer generally requires its driving and auxiliary function (for driving a non-CMV at the direction of a drivers to be available for call after a example, one hand on the steering motor carrier record this time? mandatory rest period which complies wheel and one hand on a control Guidance: If CMV drivers operate with the regulatory requirement, the mechanism), the time spent performing motor vehicles with GVWRs of 10,000 time spent standing by for a work- the auxiliary function must be recorded pounds or less at the direction of a related call, following the required off- as ‘‘driving time.’’ If a driver, seated at motor carrier, the FHWA requires those duty period, may be properly recorded the driving controls of the vehicle, is drivers to maintain records of duty as off-duty time. unable to simultaneously perform the status and record such time operating as Question 21: How does a driver driving and auxiliary function, the time on-duty (not driving). record the hours spent driving in a spent performing the auxiliary function Question 15: How much the time school bus operation when he/she also may be recorded as ‘‘on-duty not driving spent operating a motor vehicle on the drives a CMV for a company subject to time.’’ rails (roadrailers) be recorded? the FMCSRs? Question 27: A motor carrier has full- Guidance: On-duty (not driving). Guidance: If the school bus meets the time drivers who are also volunteer fire Question 16: Must a driver engaged in definition of a CMV, it must be recorded fighters. Some of the drivers carry union activities affecting the employing as driving time. pagers and leave their normal activities motor carrier record such time as on- Question 22: A motor carrier relieves only when notified of a fire. Others duty (not driving) time? Guidance: The union activities of a a driver from duty. What is a suitable consistently work 3 to 4 non- driver employed by a unionized motor facility for resting? consecutive 24-hour shifts at a fire Guidance: The only resting facility carrier must be recorded as on-duty (not station each month, resting between which the FHWA regulates is the driving) time if the collective bargaining calls. The drivers receive no monetary sleeper berth. The sleeper berth agreement requires the motor carrier to compensation for their work. How requirements can be found in § 393.76. pay the driver for time engaged in such should the time spent on these activities Question 23: How many times may a activities. Otherwise these activities be logged on the record of duty status motor carrier relieve a driver from duty may be recorded as off duty time unless when the drivers return to work? within a tour of duty? they are combined with normal duties Guidance: When drivers are free from Guidance: There is no limitation on obligations to their employers, that time performed for the carrier. the number of times a driver can be Efforts by a driver to organize co- may be recorded as off-duty time. relieved from duty during a tour of duty. workers employed by a non-unionized Drivers who are allowed by the motor Question 24: If a driver is transported motor carrier, either on the carrier’s carrier to leave their normal activities to by automobile from the point of a premises or elsewhere, may be recorded fight fires and those who spend full breakdown to a terminal, and then as off duty time unless the organizing days in a fire station are clearly off duty. dispatched on another run, how is the activities are combined with normal Their time should be recorded as such. time spent in the automobile entered on duties performed for the carrier. Question 28: How should time spent Question 17: How is the 50 percent the record of duty status? How is the at National Guard meetings and training driving time in the definition of ‘‘driver- time entered if the driver goes off-duty sessions be recorded for the hours of salesperson’’ in § 395.2 determined? once he reaches the terminal? service requirements? Guidance: The driving time is Guidance: The time spent in the Guidance: A member of a military determined on a weekly basis. The automobile would be on-duty (not reserve component, serving on either an driver must be employed solely as a driving) if dispatched on another run inactive duty status, such as on a driver-salesperson. The driver- once he/she reaches the terminal, and weekend drill, or in an active duty salesperson may not participate in any off-duty if he/she is given 8 consecutive status, such as annual training, need other type of work activity. hours off-duty upon reaching the only log as ‘‘on duty’’ time that time Question 18: May a driver change to terminal. during which he or she is required to and from a driver-salesman status at any Question 25: When a driver perform work, and not that time during time? experiences a delay on an impassable which he or she is required or permitted Guidance: Yes, if the change is made highway, should the time he/she is to rest. on a weekly basis. delayed be entered on the record of duty Section 395.3 Maximum Driving and Question 19: May the time a driver status as driving time or on-duty (not On-duty Time spends attending safety meetings, driving)? ceremonies, celebrations, or other Guidance: Delays on impassable Question 1: May a motor carrier company-sponsored safety events be highways must be recorded as driving switch from a 60-hour/7-day limit to a recorded as off-duty time? time because § 395.2 defines ‘‘driving 70-hour/8-day limit or vice versa? Guidance: Yes, if attendance is time’’ as all time spent at the driving Guidance: Yes. The only restriction voluntary. controls of a CMV in operation. regarding the use of the 70-hour/8-day Question 20: How must a driver Question 26: Is time spent operating rule is that the motor carrier must have record time spent on-call awaiting controls in a CMV to perform an CMVs operating every day of the week. dispatch? auxiliary, non-driving function (e.g., The 70-hour/8-day rule is a permissive 16424 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations provision in that a motor carrier with compliance with part 395. Despite its Guidance: No, a driver’s record of vehicles operating every day of the week possible effect on decisions a U.S. driver duty status must bear the signature of is not required to use the 70-hour/8-day must make while in Canada, this the driver whose time is recorded rules for calculating its drivers’ hours of interpretation does not involve an thereon. service. The motor carrier may, exercise of extraterritorial jurisdiction. Question 3: If a driver’s record of duty however, assign some or all of its Question 6: If a motor carrier operates status is not signed, may enforcement drivers to operate under the 70-hour/8- under the 70-hour/8-day rule, does any action be taken on the current day’s day rule if it so chooses. The assignment aspect of the 60-hour rule apply to its record if it contains false information? of individual drivers to the 60-hour/7- operations? If a motor carrier operates Guidance: Enforcement action can be day or the 70-hour/8-day time rule is under the 60-hour/7-day rule, does any taken against the driver even though left to the discretion of the motor part of the 70-hour rule apply to its that record may not be signed. The carrier. operations? regulations require the driver to keep Question 2: Does a driver, employed Guidance: If a motor carrier operates the record of duty status current to the full time by one motor carrier using the 7 days per week and chooses to require time of last change of duty status 60-hours in 7-days rule, and part-time all of its drivers to comply with the 70- (whether or not the record has been by another motor carrier using the 70- hour/8-day rule, the 60-hour/7-day rule signed). Also, § 395.8(e) states that hours in 8-days rule, have the option of would not be applicable to these making false reports shall make the using either rule in computing his hours drivers. If this carrier chooses to assign driver and/or the carrier liable to of service? some or all of its drivers to the 60-hour/ prosecution. Guidance: No. The motor carrier that 7-day rule, the 70-hour rule would not Question 4: Must drivers, alternating employs the driver on a full-time basis be applicable to these drivers. between interstate and intrastate determines which rule it will use to Conversely, if a motor carrier does not commerce, record their intrastate comply with § 395.3(b). The driver does operate 7 days per week, it must operate driving time on their record of duty not have the option to select the rule he/ under the 60-hour/7-day rule and the status? she wishes to use. 70-hour rule would not apply to its Guidance: Yes, to account for all on- Question 3: May a carrier which operations. duty time for the prior 7 or 8 days provides occasional, but not regular Question 7: What is the liability of a preceding an interstate movement. service on every day of the week, have motor carrier for hours of service Question 5: May a driver, being used the option of the 60 hours in 7 days or violations? for the first time, submit records of duty 70 hours in 8 days with respect to all Guidance: The carrier is liable for status for the preceding 7 days in lieu drivers, during the period in which it violations of the hours of service of a signed statement? operates one or more vehicles on each regulations if it had or should have had Guidance: The carrier may accept true day of the week? the means by which to detect the and accurate copies of the driver’s Guidance: Yes. violations. Liability under the FMCSRs record of duty status for the preceding Question 4: A Canadian driver is does not depend upon actual knowledge 7 days in lieu of the signed statement subjected to a log book inspection in the of the violations. required by § 395.8(j)(2). U.S. The driver has logged one or more Question 8: Are carriers liable for the Question 6: How should multiple 13-hour driving periods while in actions of their employees even though short stops in a town or city be recorded Canada during the previous 7 days, but the carrier contends that it did not on a record of duty status? has complied with all the FMCSRs require or permit the violations to Guidance: All stops made in any one while operating in the U.S. Has the occur? city, town, village or municipality may driver violated the 10-hour driving Guidance: Yes. Carriers are liable for be computed as one. In such cases the requirement in the U.S.? the actions of their employees. Neither sum of all stops should be shown on a Guidance: No. Canadian drivers are intent to commit, nor actual knowledge continuous line as on-duty (not driving). required to comply with the FMCSRs of, a violation is a necessary element of The aggregate driving time between only when operating in the U.S. that liability. Carriers ‘‘permit’’ such stops should be entered on the Question 5: May a driver domiciled in violations of the hours of service record of duty status immediately the United States comply with the regulations by their employees if they following the on-duty (not driving) Canadian hours of service regulations fail to have in place management entry. The name of the city, town, while driving in Canada? If so, would systems that effectively prevent such village, or municipality, followed by the the driving and on-duty time violations. State abbreviation where all the stops accumulated in Canada be counted took place, must appear in the toward compliance with one or more of Section 395.8 Driver’s Record of Duty ‘‘remarks’’ section of the record of duty the limits imposed by part 395 when the Status status. driver re-enters the United States? Question 1: How should a change of Question 7: Is the Canadian bilingual Guidance: A driver domiciled in the duty status for a short period of time be or any other record of duty status form United States may comply with the shown on the driver’s record of duty acceptable in the U.S.? Canadian hours of service regulations status? Guidance: Yes, provided the grid while driving in Canada. Upon re- Guidance: Short periods of time (less format and specific information entering the United States, however, the than 15 minutes) may be identified by required are included. driver is subject to all of the drawing a line from the appropriate on- Question 8: May a motor carrier requirements of part 395, including the duty (not driving) or driving line to the return a driver’s completed record of 10- and 15-hour rules, and the 60- or 70- remarks section and entering the duty status to the driver for correction hour rules applicable to the previous 7 amount of time, such as ‘‘6 minutes,’’ of inaccurate or incomplete entries? or 8 consecutive days. and the geographic location of the duty Guidance: Yes, although the In other words, a driver who takes full status change. regulations do not require a driver to advantage of Canadian law may have to Question 2: May a rubber stamp submit ‘‘corrected’’ records of duty stop driving for a time immediately after signature be used on a driver’s record of status. A driver may submit corrected returning to the U.S. in order to restore duty status? records of duty status to the motor Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16425 carrier at any time. It is suggested the authorized representative of the FHWA Question 17: Can military time be carrier mark the second submission or State official within 2 business days. used on the grid portion of the driver’s ‘‘CORRECTED COPY’’ and staple it to Question 11: Is a driver who works for record of duty status? the original submission for the required a motor carrier on an occasional basis Guidance: Yes. The references to 9 retention period. and who is regularly employed by a a.m., 3 p.m., etc. in § 395.8(d)(6) are Question 9: May a duplicate copy of non-motor carrier entity required to examples only. Military time is also a record of duty status be submitted if submit either records of duty status or acceptable. an original was seized by an a signed statement regarding the hours Question 18: Section 395.8(d)(4) enforcement official? of service for all on-duty time as ‘‘on- requires that the name of the motor Guidance: A driver must prepare a duty time’’ as defined by § 395.2? carrier be shown on the driver’s record second original record of duty status to Guidance: Yes. of duty status. If a company owns more replace any page taken by an Question 12: May a driver use ‘‘white- than one motor carrier subject to the enforcement official. The driver should out’’ liquid paper to correct a record of FMCSRs, may the company use logs note that the first original had been duty status entry? listing the names of all such motor taken by an enforcement official and the Guidance: Any method of correction carrier employers and require the driver circumstances under which it was would be acceptable so long as it does to identify the carrier for which he or taken. not negate the obligation of the driver to she drives? Question 10: What regulation, certify by his or her signature that all Guidance: Yes, provided three interpretation, and/or administrative entries were made by the driver and are conditions are met. First, the driver ruling requires a motor carrier to retain true and correct. must identify his or her motor carrier supporting documents and what are Question 13: Are drivers required to employer by a method that would be those documents? draw continuous lines between the off- visible on a photocopy of the log. A dark duty, sleeper berth, driving, and on-duty check mark by the carrier’s name would Guidance: Section 395.8(k)(1) requires (not driving) lines on a record of duty be acceptable. However, a colored motor carriers to retain all supporting status when changing their duty status? highlight of the name would not be documents at their principal places of Guidance: No. Under § 395.8(h) the acceptable, since these colors are often business for a period of 6 months from FMCSRs require that continuous lines transparent to photocopiers. date of receipt. be drawn between the appropriate time Second, the driver may check off the Supporting documents are the records markers within each duty status line, name of the motor carrier employer only of the motor carrier which are but they do not require that continuous if he or she works for a single carrier maintained in the ordinary course of lines be drawn between the appropriate during the 24 hour period covered by business and used by the motor carrier duty status lines when drivers change the log. to verify the information recorded on their duty status. Third, if the parent company uses the driver’s record of duty status. Question 14: What documents satisfy Multiday Logs (Form 139 or 139A), the Examples are: Bills of lading, carrier the requirement to show a shipping log for each day must list all motor pros, freight bills, dispatch records, document number on a record of duty carrier employers and the driver must driver call-in records, gate record status as found in § 395.8(d)(11)? identify his or her carrier each day. receipts, weight/scale tickets, fuel Guidance: The following are some of Question 19: Regulatory guidance receipts, fuel billing statements, toll the documents acceptable to satisfy the issued by the Office of Motor Carriers receipts, international registration plan requirement: shipping manifests, states that a driver’s record-of-duty- receipts, international fuel tax invoices/freight bills, trip reports, status (RODS) may be used as the 100 agreement receipts, trip permits, port of charter orders, special order numbers, air-mile radius time record ‘‘. . . entry receipts, cash advance receipts, bus bills or any other document that provided the form contains the delivery receipts, lumper receipts, identifies a particular movement of mandatory information.’’ Is this interchange and inspection reports, passengers or cargo. ‘‘mandatory information’’ that required lessor settlement sheets, over/short and In the event of multiple shipments, a of a normal RODS under § 395.8(d) or damage reports, agricultural inspection single document will satisfy the that of the 100 air-mile radius reports, CVSA reports, accident reports, requirement. If a driver is dispatched on exemption under § 395.1(e)(5)? telephone billing statements, credit card a trip, which is subsequently completed, Guidance: The ‘‘mandatory receipts, driver fax reports, on-board and then is dispatched on another trip information’’ referred to is the time computer reports, border crossing on that calendar day, two shipping records specified by § 395.1(e)(5) which reports, custom declarations, traffic document numbers or two shippers and must show: (1) The time the driver citations, overweight/oversize reports commodities must be shown in the reports for duty each day; (2) the total and citations, and/or other documents remarks section of the record of duty number of hours the driver is on duty directly related to the motor carrier’s status. each day; (3) the time the driver is operation, which are retained by the Question 15: If a driver from a foreign released from duty each day; and (4) the motor carrier in connection with the country only operates in the U.S. one total time for the preceding 7 days in operation of its transportation business. day a week, is he required to keep a accordance with § 395.8(j)(2) for drivers Supporting documents may include record of duty status for every day? used for the first time or intermittently. other documents which the motor Guidance: A foreign driver, when in Using the RODS to comply with carrier maintains and can be used to the U.S., must produce a current record § 395.1(e)(5) is not prohibited as long as verify information on the driver’s of duty status, and sufficient the RODS contains driver identification, records of duty status. If these records documentation to account for his duty the date, the time the driver began work, are maintained at locations other than time for the previous 6 days. the time the driver ended work, and the the principal place of business but are Question 16: Are drivers required to total hours on duty. not used by the motor carrier for include their total on-duty time for the Question 20: When a driver fails to verification purposes, they must be previous 7 to 8 days (as applicable) on meet the provisions of the 100 air-mile forwarded to the principal place of the driver’s record of duty status? radius exemption (§ 395.1(e)), is the business upon a request by an Guidance: No. driver required to have copies of his/her 16426 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations records of duty status for the previous going off duty if he/she expects to Question 2: May a driver operating a seven days? Must the driver prepare remain off duty until the end of the 24- CMV under a lease arrangement with a daily records of duty status for the next hour period. motor carrier, after being placed out of seven days? Question 25: Is a driver (United States service for an hours of service violation, Guidance: The driver must only have or foreign) required to maintain a record cancel the lease and continue to operate in his/her possession a record of duty of duty status (log book) in a foreign the vehicle as a private personal status for the day he/she does not country before entering the U.S.? conveyance? qualify for the exemption. The record of Guidance: No. The FHWA does not Guidance: No. Cancellation of a lease duty status must cover the entire day, require drivers to prepare records of does not relieve the driver of the even if the driver has to record duty status while operating outside the responsibility of complying with the out retroactively changes in status that jurisdiction of the United States. of service order which prohibits the occurred between the time that the However, it may be advantageous for driver from operating a CMV. driver reported for duty and the time in any driver (U.S. or foreign) to prepare Section 395.15 Automatic On-Board which he/she no longer qualified for the records of duty status for short-term Recording Devices 100 air-mile radius exemption. This is foreign trips. Upon entering the U.S., the only way to ensure that a driver each driver must either: (a) Have in his/ Question 1: Must a motor carrier does not claim the right to drive 10 her possession a record of duty status maintain a second (back-up copy) of the hours after leaving his/her exempt current on the day of the examination electronic hours-of-service files, by status, in addition to the hours already showing the total hours worked for the month, in a different physical location driven under the 100 air-mile prior seven consecutive days, including than where the original data is stored if exemption. time spent outside the U.S.; or, (b) the motor carrier retains the original Question 21: What is the carrier’s Demonstrate that he/she is operating as hours-of-service printout signed by the liability when its drivers falsify records a ‘‘100 air-mile (161 air-kilometer) driver and provides the driver with a of duty status? radius driver’’ under § 395.1(e). copy? Guidance: A carrier is liable both for Question 26: If a driver is permitted Guidance: No. By creating and the actions of its drivers in submitting to use a CMV for personal reasons, how maintaining the signed original record- false documents and for its own actions must the driving time be recorded? of-duty status printed from the in accepting false documents. Motor Guidance: When a driver is relieved electronic hours-of-service file, the carriers have a duty to require drivers to from work and all responsibility for motor carrier has converted the observe the FMCSRs. electronic document into a paper Question 22: If a driver logs his/her performing work, time spent traveling document subject to § 395.8(k). That duty status as ‘‘driving’’ but makes from a driver’s home to his/her terminal section requires the motor carrier to multiple short stops (each less than 15 (normal work reporting location), or retain at its principal place of business minutes) for on-duty or off-duty from a driver’s terminal to his/her the records of duty status and activities, marks a vertical line on the home, may be considered off-duty time. supporting documents for a period of 6 grid for each stop, and records the Similarly, time spent traveling short months from date of receipt. If the motor elapsed time for each in the remarks distances from a driver’s en route carrier did not generate a paper copy of section of the grid, would the aggregate lodgings (such as en route terminals or the electronic document and retain a time spent on those non-driving motels) to restaurants in the vicinity of signed original, it would be required to activities be counted against the 10-hour such lodgings may be considered off- maintain the electronic file and a driving limit? duty time. The type of conveyance used Guidance: No. On-duty not driving from the terminal to the driver’s home, second (back-up) copy. time or off-duty time is not counted from the driver’s home to the terminal, Question 2: May a driver who uses an against the 10-hour driving limit. or to restaurants in the vicinity of en automatic on-board recording device Question 23: When the driver’s duty route lodgings would not alter the amend his/her record of duty status status changes, do §§ 395.8(c) or situation unless the vehicle is laden. A during a trip? 395.8(h)(5) require a description of on- driver may not operate a laden CMV as Guidance: No. Section 395.15(i)(3) duty not driving activities (‘‘fueling,’’ a personal conveyance. The driver who requires automatic on-board recording ‘‘pre-trip,’’ ‘‘loading,’’ ‘‘unloading,’’, uses a motor carrier’s CMV for devices, to the maximum extent etc.) in the remarks section in addition transportation home, and is possible, be tamperproof and preclude to the name of the nearest city, town or subsequently called by the employing the alteration of information collected village followed by the State carrier and is then dispatched from concerning a driver’s hours of service. If abbreviation? home, would be on-duty from the time drivers, who use automatic on-board Guidance: No. Many motor carriers the driver leaves home. recording devices, were allowed to require drivers to identify work A driver placed out of service for amend their record of duty status while performed during a change of duty exceeding the requirements of the hours in transit, legitimate amendments could status. Part 395 neither requires nor of service regulations may not drive a not be distinguished from falsifications. prohibits this practice. CMV to any location to obtain rest. Records of duty status maintained and generated by an automatic on-board Question 24: When must a driver Section 395.13 Drivers Declared Out of recording device may only be amended complete the signature/certification of Service the driver’s record of duty status? by a supervisory motor carrier official to Guidance: In general, the driver must Question 1: May a driver operate any accurately reflect the driver’s activity. sign the record of duty status motor vehicle, at the direction of the Such supervisory motor carrier official immediately after all required entries motor carrier, after being placed out of must include an explanation of the have been made for the 24-hour period. service for an hours of service violation? mistake in the remarks section of either However, if the driver is driving at the Guidance: An out of service order the original or amended record of duty end of the 24-hour period, he/she must issued under § 395.13 extends only to status. Both the original and amended sign during the next stop. A driver may the operation of CMVs. State procedures record of duty status must be retained also sign the record of duty status upon may differ. by the motor carrier. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16427

PART 396ÐINSPECTION, REPAIR, AND Question 4: Is computerized Guidance: Yes. A driver must be MAINTENANCE recordkeeping of CMV inspection and satisfied that both the power unit and Sections Interpreted maintenance information permissible the trailer are in safe operating 396.3 Inspection, Repair, and Maintenance under § 396.3 of the FMCSRs? condition before operating the 396.9 Inspection of Motor Vehicles in Guidance: Yes, if the minimum combination. Operation inspection, repair, and maintenance Question 3: May more than one power 396.11 Driver Vehicle Inspection Report(s) records required are included in the unit be included on the DVIR if two or 396.13 Driver Inspection computer information system and can more power units were used by a driver 396.17 Periodic Inspection be reproduced on demand. during one day’s work? 396.19 Inspector Qualifications Guidance: No. A separate DVIR must 396.21 Periodic Inspection Recordkeeping Question 5: Where must vehicle Requirements inspection and maintenance records be be prepared for each power unit 396.23 Equivalent to a Periodic Inspection retained if a vehicle is not housed or operated during the day’s work. 396.25 Qualifications of Brake Inspectors maintained at a single location? Question 4: Does § 396.11 require a Guidance: The motor carrier may motor carrier to use a specific type of Section 396.3 Inspection, Repair, and retain the records at a location of its DVIR? Maintenance choice. If the vehicle maintenance Guidance: A motor carrier may use Question 1: What is meant by records are retained at a location apart any type of DVIR as long as the report ‘‘systematic inspection, repair, and from the vehicle, the motor carrier is not contains the information and signatures maintenance’’? relieved of its responsibility for required. Guidance: Generally, systematic ensuring that the records are current Question 5: Does § 396.11 require a means a regular or scheduled program and factual. In all cases, however, upon separate DVIR for each vehicle and a to keep vehicles in a safe operating request of the FHWA the maintenance combination of vehicles or is one report condition. Section 396.3 does not records must be made available within adequate to cover the entire specify inspection, maintenance, or a reasonable period of time (2 working combination? repair intervals because such intervals days). Guidance: One vehicle inspection are fleet specific and, in some instances, report may be used for any combination, Section 396.9 Inspection of Motor vehicle specific. The inspection, repair, provided the defects or deficiencies, if Vehicles in Operation and maintenance intervals are to be any, are identified for each vehicle and determined by the motor carrier. The Question 1: Under what conditions the driver signs the report. requirements of §§ 396.11, 396.13, and may a vehicle that has been placed ‘‘out Question 6: Does § 396.11(c) require a 396.17 are in addition to the systematic of service’’ under § 396.3 be moved? motor carrier to effect repairs of all inspection, repair, and maintenance Guidance: The vehicle may be moved items listed on a DVIR prepared by a required by § 396.3. by being placed entirely upon another driver before the vehicle is subsequently Question 2: Section 396.3(b)(4) refers vehicle, towed by a vehicle equipped driven? to a record of tests. What tests are with a crane or hoist, or driven if the Guidance: The motor carrier must required of push-out windows and ‘‘out of service’’ condition no longer effect repairs of defective or missing emergency door lamps on buses? exists. parts and accessories listed in Appendix Guidance: Generally, inspection of a Question 2: Is it the intent of § 396.9 G to the FMCSRs before allowing the push-out window would require to allow ‘‘out of service’’ vehicles to be vehicle to be driven. pushing out the window. However, if towed? Question 7: What constitutes a the window may be destroyed by Guidance: Yes; however, not all out of ‘‘certification’’ as required by pushing out to test its proper service vehicles may be towed away § 396.11(c)(1) and (2)? functioning, a visual inspection may from the inspection location. The Guidance: A motor carrier or its agent qualify as a test if the inspector can regulation sets up a flexible situation must state, in writing, that certain ascertain the proper functioning of the that will permit the inspecting officer to defects or deficiencies have been window without opening it. Checking to use his/her best judgment on a case-by- corrected or that correction was ensure that the rubber push-out molding case basis. unnecessary. The declaration must be is properly in place and has not immediately followed by the signature Section 396.11 Driver Vehicle deteriorated and that any handles or of the person making it. Inspection Report(s) marking instructions have not been Question 8: Who must certify under tampered with would meet the test Question 1: Does § 396.11 require the § 396.11(c) that repairs have been made requirement. Inspection of emergency DVIR to be turned in each day by a when a motor vehicle is repaired en door marking lights would require driver dispatched on a trip of more than route by the driver or a commercial opening the door to test the lights. one day’s duration? repair facility? Question 3: Who has the Guidance: A driver must prepare a Guidance: Either the driver or the responsibility of inspecting and DVIR at the completion of each day’s commercial repair facility. maintaining leased vehicles and their work and shall submit those reports to Question 9: Must certification for maintenance records? the motor carrier upon his/her return to trailer repairs be made? Guidance: The motor carrier must the home terminal. This does not relieve Guidance: Yes. Certification must be either inspect, repair, maintain, and the motor carrier from the responsibility made that all reported defects or keep suitable records for all vehicles of effecting repairs and certification of deficiencies have been corrected or that subject to its control for 30 consecutive any items listed on the DVIR, prepared correction was unnecessary. The days or more, or cause another party to at the end of each day’s work, that certification need only appear on the perform such activities. The motor would be likely to affect the safety of the carrier’s copy of the report if the trailer carrier is solely responsible for ensuring operation of the motor vehicle. is separated from the tractor. that the vehicles under its control are in Question 2: Does § 396.11 require that Question 10: What responsibility does safe operating condition and that defects the power unit and the trailer be a vehicle leasing company, engaged in have been corrected. inspected? the daily rental of CMVs, have regarding 16428 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations the placement of the DVIR in the power Guidance: Since § 396.11 is not Question 26: Is the motor carrier unit? specific, the DVIRs may be kept at either official or agent who certifies that Guidance: A leasing company has no the motor carrier’s principal place of defects or deficiencies have been responsibility to comply with § 396.11 business or the location where the corrected or that correction was unless it is the carrier. It is the vehicle is housed or maintained. unnecessary required to be a mechanic responsibility of a motor carrier to Question 19: Who is responsible for or have training concerning commercial comply with part 396 regardless of retaining DVIRs for leased vehicles motor vehicle maintenance? whether the vehicles are owned or including those of owner-operators? Guidance: No. Section 396.11 does leased. Guidance: The motor carrier is not establish minimum qualifications Question 11: Which carrier is to be responsible for retaining the original for motor carrier officials or agents who provided the original of the DVIR in a copy of each DVIR and the certification certify that defects or deficiencies on trip lease arrangement? of repairs for at least 3 months from the DVIRs are corrected. With the exception Guidance: The motor carrier date the report was prepared. of individuals performing the periodic controlling the vehicle during the term Question 20: Is a multi-day DVIR or annual inspection (§ 396.19), and of the lease (i.e. the lessee) must be acceptable under §§ 396.11 and 396.13? motor carrier employees responsible for given the original of the DVIR. The Guidance: Yes, provided all ensuring that brake-related inspection, controlling motor carrier is also information and certifications required repair, or maintenance tasks are responsible for obtaining and retaining by §§ 396.11 and 396.13 are contained performed correctly (§ 396.25), Part 396 records relating to repairs. on the report. of the FMCSRs does not establish Question 12: Must the motor carrier’s Question 21: Is a DVIR required by a minimum qualifications for certification be shown on all copies of motor carrier operating only one tractor maintenance personnel. Motor carriers, the DVIR? trailer combination? therefore, are not prohibited from Guidance: Yes. Guidance: No. One tractor semitrailer/ having DVIRs certified by company Question 13: Must a DVIR carried on full trailer combination is considered officials or agents who do not have a power unit during operation cover one motor vehicle. However, a carrier experience repairing or maintaining both the power unit and trailer being operating a single truck tractor and commercial motor vehicles. operated at the time? multiple semitrailers, which are not Guidance: No. The DVIR must cover capable of being operated as one Section 396.13 Driver Inspection the power unit being operated at the combination unit, would be required to Question 1: If a DVIR does not time. The trailer identified on the report prepare DVIRs. indicate that certain defects have been Question 22: Are motor carriers may represent one pulled on the repaired, and the motor carrier has not required to retain the ‘‘legible copy’’ of preceding trip. certified in writing that such repairs the last vehicle inspection report Question 14: In instances where the were considered unnecessary, may the (referenced in § 396.11(c)(3)) which is DVIR has not been prepared or cannot driver refuse to operate the motor carried on the power unit? be located, is it permissible under vehicle? § 396.11 for a driver to prepare a DVIR Guidance: No. The record retention Guidance: The driver is prohibited based on a pre-trip inspection and a requirement refers only to the original from operating the motor vehicle if the short drive of a motor vehicle? copy retained by the motor carrier. Guidance: Yes. Section 396.11 of the Question 23: Does the record motor carrier fails to make that FMCSRs places the responsibility on the retention requirement of § 396.11(c)(2) certification. Operation of the vehicle by motor carrier to require its drivers to apply to all DVIRs, or only those reports the driver would cause the driver and prepare and submit the DVIR. If, in on which defects or deficiencies have the motor carrier to be in violation of unusual circumstances, the DVIR has been noted? § 396.11(c) and both would be subject to not been prepared or cannot be located Guidance: The record retention appropriate penalties. However, a driver the motor carrier may cause a road test requirement applies to all DVIRs. may sign the certification of repairs as and inspection to be performed for Question 24: How would the DVIR an agent of the motor carrier if he/she safety of operation and the DVIR to be requirements apply to a driver who is satisfied that the repairs have been prepared. works two or more shifts in a single performed. Question 15: Is it permissible to use calendar day? Question 2: At the end of the day’s the back of a record of duty status (daily Guidance: Section 396.11(a) requires work and upon completion of the log) as a DVIR? every driver to prepare a DVIR at the required DVIR, what does the driver do Guidance: Yes, but the retention completion of each day’s work on each with the copy of the previous DVIR requirements of § 396.11 and § 395.8 vehicle operated. A driver who operates carried on the power unit? must be met. two or more vehicles in a 24-hour- Guidance: There is no requirement Question 16: Does § 396.11 require period must prepare a DVIR at the that the driver submit the copy of that that specific parts and accessories that completion of the tour of duty in each previous DVIR to the motor carrier nor are inspected be identified on the DVIR? vehicle. is there a retention requirement for the Guidance: No. Question 25: Section 396.11 requires motor carrier. the driver, at the completion of each Question 17: Is the Ontario pretrip/ Section 396.17 Periodic Inspection posttrip inspection report acceptable as day’s work, to prepare a written report a DVIR under § 396.11? on each vehicle operated that day. Does Question 1: Some of a motor carrier’s Guidance: Yes, provided the report this section require a ‘‘post trip vehicles are registered in a State with a from the preceding trip is carried on inspection’’ of the kind described in mandated inspection program which board the motor vehicle while in § 396.15? has been determined to be as effective operation and all entries required by Guidance: No. However, the written as the Federal periodic inspection §§ 396.11 and 396.13 are contained on report must include all defects in the program, but these vehicles are not used the reports. parts and accessories listed in in that State. Is the motor carrier Question 18: Where must DVIRs be § 396.11(a) that were discovered by or required to make sure the vehicles are maintained? reported to the driver during that day. inspected under that State’s program in Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16429 order to meet the Federal periodic Guidance: No. Appendix G to included in the inspection without inspection requirements? subchapter B—Minimum Periodic removal of the container. Guidance: If the State requires all Inspection Standards, lists tires so Question 14: Is it acceptable for the vehicles registered in the State to be labeled as a defect or deficiency which proof of periodic inspection to be inspected through its mandatory would prevent a vehicle from passing an written in Spanish? program then the motor carrier must go inspection. Guidance: Yes. There is no through the State program to satisfy the Question 8: Is a CMV subject to a requirement under § 396.17, or Federal requirements. If, however, the roadside inspection by State or Federal appendix G to subchapter B that the State inspection program includes an inspectors if it displays a periodic proof of periodic inspection be written exception or exemption for vehicles inspection decal or other evidence of a in English. which are registered in the State but periodic inspection being conducted in Section 396.19 Inspector domiciled outside of the State, then the the past 12 months? Qualifications motor carrier may meet the Federal Guidance: Yes. Evidence of a valid requirements through a self-inspection, periodic inspection only precludes a Question 1: May an entity other than a third party inspection, a CVSA citation for a violation of § 396.17. a motor carrier maintain the evidence of inspection, or a periodic inspection Question 9: Is a State required to inspector qualifications required by performed in any State with a program accept the periodic inspection program § 396.19(b)? that the FHWA determines is of another State having a periodic Guidance: Yes. In those cases in comparable to, or as effective as, the inspection program meeting minimum which the inspection is performed by a part 396 requirements. FHWA standards as contained in commercial garage or similar facility or Question 2: May the due date for the appendix G to the FMCSRs? a leasing company, the motor carrier next inspection satisfy the requirements Guidance: Yes. Section 210 of the may allow the commercial garage or for the inspection date on the sticker or MCSA (49 U.S.C. 31142) establishes the leasing company to maintain a copy of decal? principle that State inspections meeting the inspector’s qualifications on behalf Guidance: No. The rule requires that federally approved criteria must be of the motor carrier. The motor carrier, the date of the inspection be included recognized by every other State. however, is responsible for obtaining on the report and sticker or decal. This Question 10: Do vehicles inspected copies of evidence of the inspector’s date may consist of a month and a year. under a periodic Canadian inspection qualifications upon the request of Question 3: Must each vehicle in a program comply with the FHWA Federal, State, or local officials. If, for combination carry separate periodic periodic inspection standards? whatever reason, the motor carrier is inspection documentation? Guidance: Yes. The FHWA has unable to obtain this information from Guidance: Yes, unless a single determined that the inspection the third party, the motor carrier may be document clearly identifies all of the programs of all of the Canadian cited for noncompliance with § 396.19. vehicles in the CMV combination. Provinces meet or exceed the Federal Question 2: Is there a specific form or Question 4: Does the sticker have to requirements for a periodic inspection format to be used in ensuring that be located in a specific location on the program. inspectors are qualified in accordance vehicle? Question 11: Must a specific form be with § 396.19? Guidance: No. The rule does not used to record the periodic inspection Guidance: No. Section 396.19(b) specify where the sticker, decal or other mandated by § 396.17? requires the motor carrier to retain form of documentation must be located. Guidance: No. Section 396.21 does evidence satisfying the standards It is the responsibility of the driver to not designate any particular form, decal, without specifying any particular form. produce the documentation when or sticker, but does specify the requested. Therefore, the driver must information which must be shown on Section 396.21 Periodic Inspection know the location of the sticker and these documents. Recordkeeping Requirements ensure that all information on it is Question 12: May an inspector certify Question 1: What recordkeeping legible and current. The driver must a CMV as meeting the periodic requirements under § 396.21 is a carrier also be able to produce the inspection inspection standards of § 396.17 if he/ subject to when it utilizes an FHWA- report if that form of documentation is she cannot see all components required approved State inspection program? used. to be inspected under appendix G? Guidance: The motor carrier must Question 5: Is new equipment Guidance: No. The affixing of a decal comply with the recordkeeping required to pass a periodic inspection or sticker or preparation of a report as requirements of the State. The under § 396.17? proof of inspection indicates requirements specified in § 396.21 (a) Guidance: Yes, but a dealer who compliance with all requirements of and (b) are applicable only in those meets the inspection requirements may appendix G to part 396. instances where the motor carrier self- provide the documentation for the Question 13: If an intermodal inspects its CMVs or has an agent initial periodic inspection. container is attached to a chassis at the perform the periodic inspection. Question 6: Are the Federal periodic time of a periodic inspection, must the inspection requirements applicable to container also be inspected to comply Section 396.23 Equivalent to a U.S. Government trailers operated by with § 396.17 inspection requirements? Periodic Inspection motor carriers engaged in interstate Guidance: Yes. Safe loading is one of Question 1: Is a CVSA Level I or Level commerce? the inspection areas covered under V inspection a ‘‘State * * * roadside Guidance: Yes. The transportation is appendix G. If the chassis is loaded at inspection program’’ through which a not performed by a governmental entity the time of inspection, the method of motor carrier may meet the periodic but by a for-hire carrier in interstate securement of the container to the inspection requirements of § 396.17? If commerce. chassis must be included in the so, what evidence of inspection is Question 7: Does a CMV equipped inspection. Although integral required? with tires marked ‘‘Not for Highway securement devices such as twist locks Guidance: A CVSA Level I or Level V Use’’ meet the periodic inspection are not listed in appendix G, the inspection is equivalent to the Federal requirements? operation of these devices must be periodic inspection requirements. A 16430 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

CMV that passes such an inspection has Guidance: Part 397 applies to motor local, State, or Federal governmental therefore met § 396.17, unless the carriers that transport HM in interstate authorities for the parking of unattended vehicle is subject to a mandatory State commerce in types and quantities vehicles containing Division 1.1, 1.2, or inspection program that the FHWA has requiring marking or placarding under 1.3 materials.’’ Do guidelines exist for determined is comparable to, or as 49 CFR 177.823. The routing establishing approval criteria for safe effective as, the Federal requirements requirements of part 397 establish havens? Is there a national list of [see § 396.23(b)(1)]. A CVSA decal guidelines State and Indian tribal approved safe havens available to the displayed on the CMV, or a copy of the routing agencies must employ in public? Level I or Level V inspection report designating and/or restricting routes for Guidance: The FHWA believes the maintained in the vehicle, constitutes the transportation of HM. Interstate safe haven concept is becoming sufficient evidence of inspection. motor carriers transporting HM, in increasingly obsolete due to readily interstate or intrastate commerce, must Section 396.25 Qualifications of Brake available alternatives for providing comply with the designations and Inspectors ‘‘attendance at all times’’ for vehicles restrictions established by the routing Question 1: Does a CDL with an agencies. laden with explosives. The FHWA is airbrake endorsement qualify a person Question 2: Is the interstate aware of two documents that may be as a brake inspector under § 396.25? transportation of anhydrous ammonia, used as resources for establishing Guidance: No. in nurse tanks, subject to part 397? approval criteria for safe havens. The Question 2: May a driver who does Guidance: The requirements of part first document, Construction and not have the necessary experience 397 do not apply to the direct Maintenance Procedure perform the adjustment under directions application of ammonia to fields from Recommendations for Proposed Federal issued by telephone by a qualified nurse tanks. However, part 397 does Guidelines of Safe Havens for Vehicles inspector? apply to the transportation of nurse Carrying Class A or Class B Explosives Guidance: Yes. A driver is permitted tanks on public highways, when (1985), contains design, construction, to perform brake adjustments at a performed by interstate motor carriers. and maintenance guidelines. The roadside inspection providing they are second document, Recommended done under the supervision of a Section 397.5 Attendance and National Criteria for the Establishment Surveillance of Motor Vehicles qualified brake adjuster and the carrier and Operation of Safe Havens (1990), is willing to assume responsibility for Question 1: What defines a ‘‘public contains recommended national the proper adjustment. highway’’ or ‘‘shoulder’’ of a public uniform criteria for approval of safe Question 3: May a driver or other highway for the purpose of determining havens and an inventory of all State- motor carrier employee be qualified as violations under § 397.5(c)? approved safe havens in existence at the a brake inspector under § 396.25 by way Guidance: The applicable time of the report. These two documents of experience or training to perform engineering/highway design plans. may be used both as resources for brake adjustments without being Question 2: Must a driver of a motor establishing guidelines for safe haven qualified to perform other brake-related vehicle transporting HM, other than design and construction, and as source tasks such as the repair or replacement Division 1.1, 1.2, or 1.3 (Class A or B) documents for finding other materials of brake components? explosives, always maintain an that may be used toward the same Guidance: Yes. A driver may be unobstructed view and be within 100 qualified by the motor carrier to perform purpose. These two documents are feet of that vehicle? available to the public through the U.S. a limited number of tasks in connection Guidance: No. If the vehicle is not Department of Commerce, National with the brake system, e.g., inspect and/ located on a public street or highway or Technical Information Service (NTIS), or adjust the vehicle’s brakes, but not on the shoulder of a public highway, Springfield, Virginia 22161 (phone: repair them. then the vehicle need not be within 100 (703) 487–4650). The NTIS publications Question 4: Would a mechanic who is feet of the driver’s unobstructed view, database is also accessible on the employed by a leasing company and unless it contains Division 1.1, 1.2, or only works on CMVs that the leasing 1.3 (Class A or B) materials. internet’s world wide web at company leases to other motor carriers Question 3: May a motor carrier http://www.fedworld.gov/ntis. be required to meet the brake inspector consider fuel stop operators as Question 6: May video monitors be certification requirements? ‘‘qualified representative(s)’’ for used to satisfy the attendance Guidance: No. The mechanic is not purposes of the attendance and requirements in § 397.5? required to meet the certification surveillance requirements of § 397.5? requirements of § 396.25(d) since he/she Guidance: Yes. However, the fuel stop Guidance: The purpose of the is not employed by a motor carrier. operator must be able to perform the attendance requirement is to ensure that required functions. motor vehicles containing hazardous PART 397ÐTRANSPORTATION OF materials are attended at all times and HAZARDOUS MATERIALS; DRIVING AND Question 4: Who determines what is PARKING RULES a ‘‘safe haven’’? that, in the event of an emergency involving the motor vehicle, the Sections Interpreted Guidance: The selection of safe havens is a decision of the ‘‘competent attendant is able to respond 397.1 Application of the Rules in This Part government authorities’’ having immediately. The use of video monitors 397.5 Attendance and Surveillance of jurisdiction over the area. The definition could satisfy the attendance Motor Vehicles requirements in § 397.5, provided the 397.7 Parking found in § 397.5(d)(3) is purposely void 397.9 Routes of any specific guidelines or criteria. A monitors are operable and continuously 397.13 Smoking truck stop may be considered a safe manned, the attendant is within 30.48 haven if it is so designated by local or meters (100 feet) of the parked vehicle Section 397.1 Application of the Rules State governmental authorities. with an unobstructed view, and the in This Part Question 5: Section 397.5(d)(3) attendant is able to go to the vehicle Question 1: Who is subject to part describes a safe haven as ‘‘* * * an area immediately from the monitoring 397? specifically approved in writing by location. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16431

Section 397.7 Parking authorities’’ having jurisdiction over the PART 399ÐEMPLOYEE SAFETY AND HEALTH STANDARDS Question 1: When is a vehicle area. considered ‘‘parked’’? Question 6: If a motor vehicle is Sections Interpreted Guidance: For the purposes of part transporting Division 1.1, 1.2, or 1.3 399.207 Truck and Truck-Tractor Access 397, ‘‘parked’’ means the vehicle is (Class A or B) explosives and is parked Requirements stopped for a purpose unrelated to the in a safe haven, must it be in Section 399.207 Truck and Truck- driving function, (e.g., fueling, eating, compliance with the parking Tractor Access Requirements loading, unloading). requirements of § 397.7? Question 1: If a high-profile COE Question 2: What constitutes Guidance: Yes. Safe havens, as truck or truck-tractor is equipped with ‘‘knowledge and consent of the person outlined in § 397.5, relate to attendance a seat on the passenger’s side, must in charge,’’ as used in § 397.7(a)(2)? and surveillance requirements. The steps and handholds be provided for Guidance: In order to satisfy the parking restrictions of § 397.7 still any person entering or exiting on that requirement for ‘‘knowledge and apply. side of the vehicle? consent,’’ actual notice of ‘‘the nature of Guidance: Yes, all high-profile COE the hazardous materials the vehicle Question 7: May a driver transporting trucks and truck tractors shall be contains’’ must be given to the person Division 1.1, 1.2, or 1.3 (Class A or B) equipped on each side of the vehicle in charge, and that person must materials park within 100 feet of an where a seat is located, with a sufficient affirmatively agree to allow the vehicle eating establishment in order to meet number of steps and handholds to to be parked on the property under his/ the attendance and surveillance comply with the requirements of her control. requirements? § 399.207(a). Question 3: Is the motor carrier or Guidance: No, because it will result in Question 2: What does the foot driver relieved from the requirements of a violation of § 397.7(a)(3). accommodation rule mean when it § 397.7(a)(3) if the person in charge of states: ‘‘The step need not retain the the private property is notified of the Section 397.9 Routes disc at rest’’? explosive HM contained in the vehicle? Guidance: The note under Guidance: No. A vehicle transporting Question 1: May a motor vehicle which contains HM use expressways or § 399.207(b)(4) states that the disc Division 1.1, 1.2, or 1.3 (Class A or B) referred to is a measuring device. The explosives must meet the 300-foot major thoroughfares to make deliveries within a populated area? step or rung does not have to be separation requirement, regardless of configured in such a manner as to keep any notification made to any person. Guidance: Yes, unless otherwise the measuring disc from falling off the Question 4: What is meant by the term specifically prohibited by State or local step or rung. ‘‘brief periods when necessities of authorities. In many instances a more Question 3: In § 399.207(b)(4), operation require * * *’’ in circuitous route may present greater Illustration III, what does the unshaded § 397.7(a)(3)? hazards due to increased exposure. area within the disc suggest? Guidance: Brief periods of time However, in those situations where a Guidance: The unshaded area depend upon the ‘‘necessities of vehicle is passing through a populated illustrates the height of the open area operation’’ in question. Parking a or congested area, use of a beltway or required for a driver to insert his or her vehicle containing Division 1.1, 1.2, or other bypass would be considered the foot. 1.3 (Class A or B) materials closer than appropriate route, regardless of the Question 4: May the step be a rung? 300 feet to buildings, dwellings, etc. for additional economic burden. If so, what minimum diameter must the periods up to 1 hour for a driver to eat rung be? would not be permitted under the Section 397.13 Smoking Guidance: Yes, the step may be a provisions of § 397.7(a)(3). Parking at Question 1: May a driver of a CMV rung. There is no minimum requirement fueling facilities to obtain fuel, oil, etc., for the diameter of a step rung. or at a carrier’s terminal would be transporting HM, listed in § 397.13, smoke while at the controls or in the However, it must meet the performance considered necessities of operation. requirements in § 399.207(b)(5). Question 5: May a safe haven be sleeper berth of the vehicle? designated within 300 feet of an area Guidance: No. All persons are (5 U.S.C. 553(b); 49 CFR 1.48) where buildings and other structures are prohibited from smoking or carrying Issued on: March 27, 1997. likely to be occupied by large numbers lighted smoking materials at any time Jane F. Garvey, of people? while on or within 25 feet of such a Acting Administrator, Federal Highway Guidance: The selection and vehicle. The word ‘‘on’’ includes any Administration. designation of safe havens are a decision time while in the cab, sleeper berth, etc. [FR Doc. 97–8406 Filed 4–3–97; 8:45 am] of the ‘‘competent government BILLING CODE 4910±22±P federal register April 4,1997 Friday Applications; Notice Grants Program;FY1997Solicitationof Biotechnology RiskAssessmentResearch and ExtensionService Cooperative StateResearch,Education, Agricultural ResearchService Agriculture Department of Part IV 16433 16434 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

DEPARTMENT OF AGRICULTURE 180), prohibits CSREES from using the both risk assessment research and funds available for FY 1997 to pay regulation of agricultural biotechnology. Agricultural Research Service indirect costs exceeding 14 percent of Areas of Research To Be Supported in the total Federal funds provided under Cooperative State Research, Fiscal Year 1997 each award on competitively awarded Education, and Extension Service research grants. Proposals addressing the following Biotechnology Risk Assessment In addition, pursuant to section 716 of topics are requested: 1. Research on the introduction into Research Grants Program; Fiscal Year the Agriculture, Rural Development, the environment (not in a contained 1997 Solicitation of Applications Food and Drug Administration, and Related Agencies Appropriations Act, facility) of genetically engineered AGENCY: Agricultural Research Service; 1997, in the case of any equipment or organisms. The data collected may Cooperative State Research, Education, product that may be authorized to be include: Survival; reproductive fitness; and Extension Service. purchased with the funds provided genetic stability; horizontal gene ACTION: Notice of biotechnology risk under this Program, entities are transfer; loss of genetic diversity; or assessment research grants program; encouraged to use such funds to enhanced competitiveness. The Fiscal year 1997 solicitation of purchase only American-made organisms may include: fungi; bacteria; applications. equipment or products. viruses; microorganisms; plants; arthropods; fish; birds; mammals; and SUMMARY: Applications are invited for Program Description other animals. competitive grant awards under the CSREES and ARS will competitively 2. Research on the potential for Biotechnology Risk Assessment award research grants to support recombination between plant viruses Research Grants Program (the science-based biotechnology regulation and plant-encoded viral transgenes. ‘‘Program’’) for fiscal year (FY) 1997. and thus help address concerns about Such studies should identify sequences The authority for the Program is the effects of introducing genetically that may be prone to recombinational contained in section 1668 of the Food, modified organisms into the events, factors that affect frequency of Agriculture, Conservation, and Trade environment and help regulators in recombination, and factors, including Act of 1990 developing policies regarding such host factors, that may affect a (7 U.S.C. 5921). The Program is introduction. recombinant virus in out-competing a administered by the Cooperative State The Program’s research emphasis is wild-type virus. Comparisons of Research, Education, and Extension on risk assessment and not risk recombination frequencies between Service (CSREES) and the Agricultural management. The Program defines risk naturally occurring viral sequences and Research Service (ARS) of the U.S. assessment research as the science- virus and viral transgenes are Department of Agriculture. based evaluation and interpretation of encouraged. FOR FURTHER INFORMATION CONTACT: factual information in which a given 3. Research on the potential for Dr. Edward K. Kaleikau, USDA/ hazard, if any, is identified, and the nontarget effects of introduced plant- CSREES, (202) 401–1901, or Dr. Robert consequences associated with the defense compounds expressed in M. Faust, USDA/ARS, (301) 504–6918. hazard are explored. The Program genetically modified plant-associated SUPPLEMENTARY INFORMATION: The defines risk management as primarily a microorganisms (e.g., compounds in the purpose of the Program is to assist policy and decision-making process that phyllosphere or rhizosphere-inhabiting Federal regulatory agencies in making uses risk assessment data in deciding bacteria) or in plants (e.g., Bacillus science-based decisions about the safety how to avoid or mitigate the thuringiensis delta-endotoxin), of introducing into the environment consequences identified in a risk especially in regard to persistence of the genetically modified organisms, assessment. Proposals must be relevant organisms and material in the including plants, microorganisms, fungi, to risk assessment to be eligible for this environment. bacteria, viruses, arthropods, fish, birds, Program. 4. Research on large-scale deployment mammals and other animals. The Proposals must include a statement of genetically engineered organisms; Program accomplishes this purpose by describing the relevance of the proposed especially commercial uses of such providing scientific information derived project to one or more of the topics organisms, with special reference to from the risk assessment research that it requested in this solicitation. In considerations that may not be revealed funds. Research proposals submitted to addition, proposals must include through small-scale evaluations and the Program must be applicable to the detailed descriptions of the tests. This may include monitoring purpose of the Program to be experimental design and appropriate locations where transgenic virus considered. statistical analyses to be done. The resistant plants (expressing viral Program strongly encourages the transgenes) are grown on a commercial Applicant Eligibility inclusion of statisticians and risk scale or in large-scale production for Proposals may be submitted by any analysis researchers as co-principal viral strains which overcome the United States public or private research investigators or contractors. resistance phenotype. The analysis of or educational institution or Awards will not be made for clinical resistance-breaking strains should organization. trials, commercial product include analyzing whether the strain development, product marketing arose via recombination between viral Available Funding strategies, or other research deemed not transgenes and the viral genome. Such Subject to the availability of funds, appropriate to risk assessment. projects should survey the production the anticipated amount available for sites for two to three years. support of the Program in FY 1997 is Proposal Evaluation 5. The Program will, subject to $1.5 million. Proposals will be evaluated by the resource availability, provide partial Section 712 of the Agriculture, Rural Administrator assisted by a peer panel funding to organize a scientific research Development, Food and Drug of scientists for scientific merit, conference that brings together Administration, and Related Agencies qualifications of project personnel, scientists and regulators, to review the Appropriations Act, 1997 (Pub. L. 104– adequacy of facilities, and relevance to research evidence, if any, that the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16435 introduction of a pest resistance gene Branch, Office of Extramural Programs, (vii) Activities related to trade into a crop plant increases the Cooperative State Research, Education, representation and market development weediness of the crop plant or of and Extension Service, U.S. Department activities abroad. sexually compatible plants. The of Agriculture, STOP 2245, 1400 (2) CSREES and ARS Categorical conference should provide an Independence Avenue, SW., Exclusions (7 CFR 3407.6 and 7 CFR opportunity to address how experiments Washington, DC. 20250–2245, 520.5) could be designed to test whether a pest Telephone Number: (202) 401–5048. resistance gene increases the weediness Application materials may also be Based on previous experience, the of the plant in the field. The scientific requested via Internet by sending a following categories of CSREES and steering committee for the conference message with your name, mailing ARS actions are excluded because they should include a broad representation of address (not e-mail) and telephone have been found to have limited scope disciplines, including ecology, number to [email protected] which and intensity and to have no significant population biology, plant pathology, states that you wish to receive a copy of individual or cumulative impacts on the entomology, plant breeding, and others the application materials for the FY quality of the human environment: as appropriate. 1997 Biotechnology Risk Assessment (i) The following categories of 6. Funding will be available to Research Grants Program. The materials research programs or projects of limited develop and make publicly available, will then be mailed to you (not e- size and magnitude or with only short- information about statistical and mailed) as quickly as possible. term effects on the environment: monitoring approaches for field testing (A) Research conducted within any of genetically modified organisms. Proposal Format laboratory, greenhouse, or other contained facility where research Applicable Regulations The format guidelines for full research proposals, found in the administrative practices and safeguards prevent This Program is subject to the provisions for the Program at environmental impacts; (B) Surveys, inventories, and similar administrative provisions found in 7 § 3415.4(d), should be followed for the studies that have limited context and CFR part 3415, which set forth preparation of proposals under the minimal intensity in terms of changes in procedures to be followed when Program in FY 1997. (Note that the submitting grant proposals, rules the environment; and Department elects not to solicit (C) Testing outside of the laboratory, governing the evaluation of proposals, preproposals in FY 1997.) the awarding of grants, and post-award such as in small, isolated field plots, administration of such grants. Several Compliance With the National which involves the routine use of other Federal statutes and regulations Environmental Policy Act (NEPA) familiar chemicals or biological apply to grant proposals considered for materials. As outlined in 7 CFR part 3407 and (ii) Routine renovation, rehabilitation, review or to grants awarded under this 7 CFR part 520 (the CSREES and ARS Program. These include but are not or revitalization of physical facilities, regulations implementing the National including the acquisition and limited to: Environmental Policy Act of 1969), 7 CFR part 3019—USDA installation of equipment, where such environmental data for any proposed activity is limited in scope and implementation of OMB Circular A– project is to be provided to CSREES and 110, Uniform Administrative intensity. ARS so that CSREES and ARS may In order for CSREES and ARS to Requirements for Grants and determine whether any further action is Agreements with Institutions of Higher determine whether any further action is needed. The applicant shall review the needed with respect to NEPA, pertinent Education, Hospitals and Other following categorical exclusions and Nonprofit Organizations. information regarding the possible determine if the proposed project may environmental impacts of a particular Programmatic Contact fall within one of the categories. project is necessary; therefore, a For additional information on the (1) Department of Agriculture separate statement must be included in Program, please contact: Categorical Exclusions (7 CFR 1b.3) the proposal indicating whether the Dr. Edward K. Kaleikau, Cooperative applicant is of the opinion that the (i) Policy development, planning and State Research, Education, and project falls within a categorical implementation which are related to Extension Service, U.S. Department of exclusion and the reasons therefor. If it routine activities such as personnel, Agriculture, STOP 2241, 1400 is the applicant’s opinion that the organizational changes, or similar Independence Avenue, SW., project proposed falls within the administrative functions; Washington, DC. 20250–2241, categorical exclusions, the specific (ii) Activities which deal solely with Telephone: (202) 401–1901, or exclusions must be identified. The Dr. Robert M. Faust, Agricultural the funding of programs, such as information submitted shall be Research Service, U.S. Department of program budget proposals, identified as ‘‘NEPA Considerations’’ Agriculture, Room 338, Building 005, disbursements, and transfer or and the narrative statement shall be BARC-West, Beltsville, MD 20705, reprogramming of funds; placed after the coversheet of the Telephone: (301) 504–6918 (iii) Inventories, research activities, proposal. and studies, such as resource Even though a project may fall within How To Obtain Application Materials inventories and routine data collection the categorical exclusions, CSREES and Copies of this solicitation, the when such actions are clearly limited in ARS may determine that an administrative provisions for the context and intensity; Environmental Assessment or an Program (7 CFR part 3415), and the (iv) Educational and informational Environmental Impact Statement is Application Kit, which contains programs and activities; necessary for an activity, if substantial required forms, certifications, and (v) Civil and criminal law controversy on environmental grounds instructions for preparing and enforcement and investigative activities; exists or if other extraordinary submitting applications for funding, (vi) Activities which are advisory and conditions or circumstances are present may be obtained by contacting: Proposal consultative to other agencies and which may cause such activity to have Services Unit, Grants Management public and private entities; and a significant environmental effect. 16436 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

Proposal Submission Avenue, SW., Washington, DC 20250– 24, 1983), this Program is excluded from 2245, Telephone: (202) 401–5048. the scope of Executive Order No. 12372 What To Submit Hand-delivered proposals, including which requires intergovernmental An original and 14 copies of a those submitted by express mail or a consultation with State and local proposal must be submitted. Each copy courier service, must be received at the officials. of each proposal must be stapled following address by May 16, 1997 (note Under the provisions of the securely in the upper lefthand corner that the zip code differs from that Paperwork Reduction Act of 1980 (44 (DO NOT BIND). All copies of the shown above): Proposal Services Unit, U.S.C. 3504(h)), the collection of proposal must be submitted in one Grants Management Branch, Office of information requirements contained in package. Extramural Programs, Cooperative State this Notice have been approved under Research, Education, and Extension OMB Document No. 0524–0022. Where and When To Submit Service, U.S. Department of Agriculture, Done at Washington, DC, on this 21st day Proposals submitted through First Room 303, Aerospace Center, 901 D of March 1997. Class mail must be POSTMARKED BY Street, SW., Washington, DC 20024, B.H. Robinson, May 16, 1997, and sent to the following Telephone: (202) 401–5048. Administrator, Cooperative State Research, address: Proposal Services Unit, Grants The Biotechnology Risk Assessment Education, and Extension Service. Management Branch, Office of Research Grants Program is listed in the E.B. Knipling, Extramural Programs, Cooperative State Catalog of Federal Domestic Assistance Acting Administrator, Agricultural Research Research, Education, and Extension under No. 10.219. For reasons set forth Service. Service, U.S. Department of Agriculture, in the final rule-related Notice to 7 CFR [FR Doc. 97–8535 Filed 4–3–97; 8:45 am] STOP 2245, 1400 Independence part 3015, subpart V (48 FR 29115, June BILLING CODE 3410±22±M federal register April 4,1997 Friday Notice Derived Pharmaceuticals;Availability; Preclinical TestingofBiotechnology- Harmonisation; DraftGuidlineforthe International Conferenceon Food andDrugAdministration Services Health andHuman Department of Part V 16437 16438 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

DEPARTMENT OF HEALTH AND been undertaken by regulatory Although not required, FDA has in HUMAN SERVICES authorities and industry associations to the past provided a 75- or 90-day promote international harmonization of comment period for draft ICH Food and Drug Administration regulatory requirements. FDA has guidelines. However, the comment [Docket No. 97D±0113] participated in many meetings designed period for this guideline has been to enhance harmonization and is shortened to 60 days so that comments International Conference on committed to seeking scientifically may be received by FDA in time to be Harmonisation; Draft Guideline for the based harmonized technical procedures reviewed and then discussed at a July Preclinical Testing of Biotechnology- for pharmaceutical development. One of 1997 ICH meeting involving this Derived Pharmaceuticals; Availability the goals of harmonization is to identify guideline. and then reduce differences in technical This guideline represents the agency’s AGENCY: Food and Drug Administration, requirements for drug development current thinking on preclinical testing of HHS. among regulatory agencies. biotechnology-derived pharmaceuticals. ACTION: Notice. ICH was organized to provide an It does not create or confer any rights for SUMMARY: The Food and Drug opportunity for tripartite harmonization or on any person and does not operate Administration (FDA) is publishing a initiatives to be developed with input to bind FDA or the public. An draft guideline entitled ‘‘Guideline for from both regulatory and industry alternative approach may be used if the Preclinical Testing of representatives. FDA also seeks input such approach satisfies the Biotechnology-Derived from consumer representatives and requirements of the applicable statute, Pharmaceuticals.’’ The draft guideline others. ICH is concerned with regulations, or both. was prepared under the auspices of the harmonization of technical Interested persons may, on or before International Conference on requirements for the registration of June 3, 1997, submit to the Dockets Harmonisation of Technical pharmaceutical products among three Management Branch (address above) Requirements for Registration of regions: The European Union, Japan, written comments on the draft Pharmaceuticals for Human Use (ICH). and the United States. The six ICH guideline. Two copies of any comments The draft guideline is intended to sponsors are the European Commission, are to be submitted, except that provide general principles for the design the European Federation of individuals may submit one copy. of internationally acceptable preclinical Pharmaceutical Industries Associations, Comments are to be identified with the safety evaluation programs for the Japanese Ministry of Health and docket number found in brackets in the biopharmaceuticals. Welfare, the Japanese Pharmaceutical heading of this document. The draft guideline and received comments may DATES: Written comments by June 3, Manufacturers Association, the Centers 1997. for Drug Evaluation and Research and be seen in the office above between 9 a.m. and 4 p.m., Monday through ADDRESSES: Submit written comments Biologics Evaluation and Research, FDA, and the Pharmaceutical Research Friday. An electronic version of this on the draft guideline to the Dockets guideline is available via Internet by Management Branch (HFA–305), Food and Manufacturers of America. The ICH using the World Wide Web (WWW). To and Drug Administration, 12420 Secretariat, which coordinates the connect to the CDER home page, type Parklawn Dr., rm. 1–23, Rockville, MD preparation of documentation, is http://www.fda.gov/cder and go to the 20857. Copies of the draft guideline are provided by the International ‘‘Regulatory Guidance’’ section. To available from the Drug Information Federation of Pharmaceutical connect to CBER’s WWW site, type Branch (HFD–210), Center for Drug Manufacturers Associations (IFPMA). The ICH Steering Committee includes http://www.fda.gov/cber/cberftp.html. Evaluation and Research, Food and The text of the draft guideline follows: Drug Administration, 5600 Fishers representatives from each of the ICH Lane, Rockville, MD 20857, 301–827– sponsors and the IFPMA, as well as Preclinical Testing of Biotechnology-Derived 4573. Single copies of the draft observers from the World Health Pharmaceuticals guideline may be obtained by mail from Organization, the Canadian Health 1. Introduction Protection Branch, and the European the Office of Communication, Training 1.1 Objectives and Manufacturers Assistance (HFM– Free Trade Area. At a meeting held on November 7, Regulatory standards for biotechnology- 40), Center for Biologics Evaluation and derived pharmaceutical products/ Research, or by calling the CBER Voice 1996, the ICH Steering Committee biopharmaceuticals have generally been Information System at 1–800–835–4709 agreed that a draft guideline entitled comparable among the United States, Europe, or 301–827–1800. Copies may be ‘‘Guideline for the Preclinical Testing of and Japan. All regions appear to have a obtained from CBER’s FAX Information Biotechnology-Derived flexible, case-by-case, science-based System at 1–888–CBER–FAX or 301– Pharmaceuticals’’ should be made approach to preclinical safety evaluation 827–3844. available for public comment. The draft needed to support clinical development and marketing authorization. For a case-by-case FOR FURTHER INFORMATION CONTACT: guideline is the product of the Safety Expert Working Group of the ICH. philosophy to succeed in a harmonized way, Regarding the guideline: Joy A. there is a need for a common understanding Cavagnaro, Center for Biologics Comments on this draft will be among the regions. Evaluation and Research (HFM–5), considered by FDA and the Safety Biotechnology-derived pharmaceutical Food and Drug Administration, Expert Working Group. products were initially developed in the 1401 Rockville Pike, Rockville, MD The draft guideline recommends a early 1980’s. The first marketing 20852, 301–827–0379. basic framework for the preclinical authorizations were granted later in the Regarding the ICH: Janet J. Showalter, safety testing of biotechnology-derived decade, followed soon after by the adoption Office of Health Affairs (HFY–20), pharmaceutical products. Adherence to of the first pharmacopeial monographs. Since Food and Drug Administration, the preclinical safety testing principles this time considerable experience has been 5600 Fishers Lane, Rockville, MD gathered. Critical review of this experience presented in the guideline will allow for has been the basis for development of this 20857, 301–827–0864. continual improvement in the quality guidance which is intended to help provide SUPPLEMENTARY INFORMATION: In recent and consistency of data supporting the the general principles for design of years, many important initiatives have development of biopharmaceuticals. internationally acceptable preclinical safety Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16439 evaluation programs for biopharmaceuticals. remove impurities and contaminants rather product which are related to clinical activity. The principles in this guidance should be than to establish a preclinical testing program The use of cell lines and/or primary cell implemented in a flexible way. for their qualification. In all cases, the cultures can be useful to examine the direct The primary goals of preclinical safety product should be sufficiently characterized effects on cellular phenotype and evaluation are: (1) To identify an initial safe to allow an appropriate design of preclinical proliferation. Due to the species specificity of starting dose and subsequent dose escalation studies. many biotechnology-derived pharmaceutical scheme in humans; (2) to identify potential In general, the product used in the products, it is important to select an target organs for toxicity and possible definitive pharmacology, toxicology, appropriate animal species for toxicity reversibility; and (3) to identify parameters absorption, distribution, metabolism, and testing. In vitro cell lines from mammalian for clinical monitoring. Adherence to the excretion (ADME) studies should be cells can be used to predict specific aspects principles presented in this document will comparable to the product proposed for the of in vivo activity. Such studies may be allow for continual improvement in the initial clinical studies. However, it is designed to determine for example, receptor quality and consistency of the data appreciated that during the course of occupancy, receptor affinity, and/or supporting the development of development programs, changes normally pharmacological effects, and to assist in the biopharmaceuticals. occur in the manufacturing process in order selection of an appropriate animal species for 1.2 Background to improve product quality and yields. The further in vivo pharmacology and toxicology potential impact of such changes for studies. The combined results from in vitro Several guidelines and points-to-consider extrapolation of the animal findings to and in vivo studies will assist in the documents are available from the various humans should be considered. extrapolation of the findings to humans. In regulatory agencies regarding the assessment In order to allow the timely use of the vivo studies to assess pharmacological of biotechnology-derived pharmaceutical product made by a new or modified activity, including defining mechanism(s) of products. Review of such documents may manufacturing process in an ongoing action, are often used to support the rationale provide useful background data in development program, the comparability of of the proposed product in clinical studies. developing new products. the test material should be demonstrated For monoclonal antibodies, the 1.3 Scope throughout development on the basis of immunological properties of the antibody This guideline recommends a basic biochemical and biological characterization should be described in detail, including its framework for the preclinical safety testing of (i.e., identity, purity, stability, and potency). antigenic specificity, complement binding, biotechnology-derived pharmaceutical In some cases additional studies may be and any unintentional reactivity and/or products. It applies to products derived from needed to assure product comparability (e.g., cytotoxicity towards human tissues distinct characterized cells through the use of a pharmacokinetics). The scientific rationale from the intended target. Testing to include variety of expression systems including for the approach taken should be provided. such cross-reactivity should be carried out by bacteria, yeast, insect, plant, and mammalian appropriate immunohistochemical 3. Preclinical testing cells. The intended indications may include procedures using a range of human tissues. in vivo diagnostic, therapeutic, or 3.1 General principles 3.3 Animal species/model selection prophylactic uses. The active substances The objectives of the preclinical studies are The pharmacological activity together with include proteins and peptides, their to define pharmacological and toxicological species and/or tissue specificity of many derivatives and products of which they are effects not only prior to initiation of human biotechnology-derived pharmaceutical components; they could be derived from cell studies but throughout clinical development. products often preclude standard toxicology cultures or produced using recombinant DNA Both in vitro and in vivo studies can testing designs in commonly used species technology. Examples include but are not contribute to this characterization. (e.g., rats and dogs). Safety evaluation limited to: Cytokines, plasminogen Biopharmaceuticals structurally and programs will normally include two relevant activators, recombinant blood plasma factors, pharmacologically comparable to a product species. In certain situations one relevant growth factors, hormones, and monoclonal for which there is wide experience in clinical species may suffice. In these cases the antibodies. practice may, under certain conditions, need rationale should be provided. Some of the following guidance may also less extensive toxicity testing, especially if a Toxicology studies in pharmacologically be applicable to recombinant DNA protein similar kinetic profile has been nonrelevant species are not needed and are vaccines, chemically synthesized peptides, demonstrated. discouraged. However, if in vitro preclinical blood plasma extracted factors, endogenous Preclinical models should consider: (1) studies have not identified a relevant animal proteins extracted from human tissue, and Selection of the animal species and species, due to the unique species restriction oligonucleotide drugs. physiological state and (2) the manner of to human cells, it may still be prudent to This document does not cover antibiotics, delivery, including dose, route of assess some aspects of potential toxicity in a allergenic extracts, heparin, vitamins, administration, and treatment regimen. limited toxicity evaluation in a single species cellular blood components, conventional Pivotal toxicology studies are expected to (e.g., a repeated dose toxicity study of < 14 bacterial or viral vaccines, DNA vaccines, be performed in compliance with Good days duration) including the evaluation of and cellular and gene therapies. Laboratory Practices (GLP’s). However, it is important functional endpoints (e.g., 2. Safety and specification of the test recognized that some specialized test systems cardiovascular, respiratory). Alternative approaches, when no relevant material often needed for biopharmaceuticals may not be able to comply fully. Areas of species exist, may include the use of Biotechnology-derived pharmaceutical noncompliance should be identified and transgenic animals expressing the human products may have potential risks associated their significance evaluated relative to the receptor or the use of homologous proteins. with host cell contaminants from bacteria, overall safety assessment. In some cases, a The information gained from use of a yeast, insect, plant, and mammalian cell lack of overall GLP compliance does not transgenic species expressing the human sources. The presence of cellular host necessarily mean that the data from these receptor is optimized when the interaction of contaminants can result in allergic reactions studies cannot be used to support clinical the product and the humanized receptor has and other immunopathological effects. The trials and marketing authorizations. physiological consequences similar to those adverse effects associated with nucleic acid Conventional approaches to toxicity testing expected in humans. While useful contaminants are theoretical and include of pharmaceuticals may not be appropriate information may also be gained from the use potential integration into the host genome. for biopharmaceuticals due to the unique and of homologous proteins, it should be noted For products derived from insect, plant, or diverse structural and biological properties of that the production process, range of mammalian cells or transgenic animals, there the latter which may include species impurities/contaminants, pharmacokinetics, may be the additional risk of viral infections. specificity, immunogenicity, and and exact pharmacological mechanism(s) These issues are not covered in this unpredicted pleiotropic activities. may differ between the homologous form and document but they are addressed elsewhere the product intended for clinical use. (Note 1). Safety concerns may arise from the 3.2 Biological activity/pharmacodynamics In recent years, there has been much presence of impurities or contaminants. It is Biological activity may be evaluated using progress in the development of animal preferable to rely on purification processes to in vitro assays to determine effects of the models that are thought to be similar to the 16440 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices disease to be treated in humans. These determine adequate safety margins may vary systems, and the renal system) depends on animal models include spontaneous disease with each class of biotechnology-derived the pharmacological properties of the models or spontaneous models of disease. pharmaceutical product and its clinical product. Such studies should allow for a These models may provide further insight, indication(s). mechanistically-based explanation of specific not only in determining the pharmacological 3.6 Immunogenicity organ toxicities which should be considered action of the product, pharmacokinetics, and carefully with respect to human use and dosimetry, but may also be useful in the It is likely that many biotechnology- indication(s). derived pharmaceutical products will be determination of safety (e.g., evaluation of 4.2 Toxicokinetics and pharmacokinetics undesirable promotion of disease immunogenic in animals. Therefore, measurement of antibodies associated with (Absorption, Distribution, Metabolism, progression). In certain cases, studies in Excretion—ADME) animal models of disease may be used as an administration of these types of products acceptable alternative to toxicology studies in should be performed when conducting Toxicokinetics and pharmacokinetics normal animals. The scientific justification repeated dose toxicity studies in order to aid should follow relevant ICH guidelines (Note for the use of these animal models of disease in the interpretation of these studies. 1). It is difficult to establish uniform to support safety should be provided (Note Antibody responses should be characterized guidelines for ADME studies for 2). (e.g., neutralizing or non-neutralizing), and biotechnology-derived pharmaceutical their appearance should be correlated with products. Single dose pharmacokinetics and 3.4 Number/gender of animals any pharmacological and/or toxicological tissue distribution studies are often useful; The number of animals used per dose has changes. Specifically, the effects of antibody however, routine studies that attempt to a direct bearing on the ability to detect formation on pharmacokinetic/ assess mass balance, accumulation, and toxicity. A small sample size may lead to a pharmacodynamic characteristics, incidence excretion are not useful. Differences in failure to observe toxic events due to and/or severity of adverse effects, or the ADME among animal species may have observed frequency alone regardless of emergence of new toxic effects, should be significant impact on the predictiveness of severity. The limitations imposed by sample considered when interpreting the data. animal studies or on the assessment of dose- size, as often is the case for nonhuman The detection of antibodies should not be response relationships in toxicology studies. primate studies, may be in part compensated the sole criterion for the early termination of Alterations in the pharmacokinetic profile by increasing the frequency and duration of a preclinical study or modification in the due to immune-mediated clearance monitoring. Both genders should generally be duration of the study design unless the mechanisms may affect the ADME profiles used or justification given for specific immune response neutralizes the and the interpretation of the toxicity data. omissions. pharmacological and/or toxicological effect ADME studies should, whenever possible, 3.5 Administration/dose selection in a large proportion of the animals. In most utilize test material that is representative of that intended for clinical use using a route The route and frequency of administration cases, the immune response to recombinant proteins is variable, like that observed in of administration relevant to the anticipated should be as close as possible to the clinical studies. proposed clinical use and should also take humans. Specific attention should be paid to into account the pharmacokinetics and the evaluation of possible pathological 4.2.1 Assays bioavailability of the product in the species changes related to immune complex The use of one or more assay methods being used, and the volume which can safely formation and deposition. If the should be addressed on a case-by-case basis and humanely be administered to the test interpretation of the data from the safety and the scientific rationale should be animals. For example, the frequency of study is not compromised by these issues, provided. One validated assay method is administration in laboratory animals may be then no special significance should be usually considered sufficient. For example, increased compared to the proposed ascribed to the antibody response. quantitation of TCA-precipitable schedule for the human clinical studies in The significance of antibody formation in radioactivity following administration of a order to compensate for faster clearance rates animals to the potential for antibody radiolabeled protein may provide adequate or low solubility of the active ingredient. In formation in humans is often questionable. information, but a specific assay for the these cases, the level of test animal exposure Humans develop serum antibodies even analyte is preferred. It is important to show relative to the clinical exposure should be against humanized proteins, and frequently that the radiolabeled test material presented. Considerations should be given to the therapeutic response persists in their administered maintains equivalent activity the effects of volume of the administered presence. The occurrence of severe and biological properties to the unlabeled dose, size of the animal species, and muscle anaphylactic responses to recombinant compound. Ideally the assay methods should mass, on the absorption of products into the proteins is rare in humans. In this regard, the be the same for animals and humans. The systemic circulation. The use of routes of results of guinea pig anaphylaxis tests, which possible influence of plasma binding proteins administration other than those used are generally positive for protein products, and/or antibodies on the assay performance clinically may be acceptable if the route must are not predictive for humans. Therefore, should be determined. be modified due to limited bioavailability, such studies are considered of little value for 4.2.2 Animal species selection limitations due to the route of these types of products. Relevant animal species should be selected administration, or size/physiology of the 4. Specific considerations to retain comparability of the data with data animal species. obtained from pharmacology and toxicology 4.1 Safety pharmacology Ideally, dose levels should be selected to studies. provide information on a dose-response It is important to investigate the potential 4.2.3 Absorption relationship, a toxic dose, and a no observed for undesirable pharmacological activity in adverse effect level (NOAEL). For some appropriate animal models and, where Absorption and/or bioavailability should classes of products with little to no toxicity necessary, to incorporate particular be characterized in relation to the proposed it may not be possible to define a specific monitoring for this activity in the toxicity route of clinical administration. Absorption maximum dose. In these cases, a strong studies and/or clinical studies. Safety studies may be performed in conjunction with toxicology studies. Patterns of scientific justification of the rationale for the pharmacology studies provide functional absorption may be influenced by formulation dose selection and projected multiples of indices of toxicity. These functional indices and/or volume. Some information on human exposure should be provided. To may be investigated in separate studies or disposition in relevant animal models should justify high dose selection, consideration incorporated into the design of the toxicology be available prior to clinical studies in order should be given to the expected studies. The aim of the safety pharmacology to project expected margins of safety based pharmacological/physiological effects, studies should be to establish the functional upon exposure and dose. availability of suitable test material, and the effects on the major physiological systems. intended clinical use. Where a product has Investigations may include use of isolated 4.2.4 Distribution a lower affinity or potency in the cells of the organs or other test systems not involving Studies of extravascular distribution and target species than in human cells, testing of intact animals. The evaluation of function of mechanisms of clearance may be useful in higher doses may be important. The specific organ systems (e.g., cardiovascular, understanding pharmacological and multiples of the human dose necessary to respiratory, CNS, and autonomic nervous toxicological properties. Tissue levels of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16441 radioactivity and/or autoradiography data products are intended to stimulate or given to the selection of doses. The use of from iodinated proteins may be difficult to suppress the immune system. Inflammatory pharmacokinetic or pharmacodynamic interpret with rapid in vivo metabolism and reactions at the injection site may be endpoints with consideration of receptor ensuing deiodination. Care should be taken indicative of a stimulatory response. In characteristics and intended exposures in in the interpretation of studies using addition, the expression of surface antigens humans represents the most scientifically radioactive tracers incorporated into specific on target cells may be altered with valid approach for defining the appropriate amino acids because of recycling of implications for their autoimmune potential. doses. The rationale for the selection of doses radiolabeled amino acids into non-drug Immunotoxicological testing strategies should be provided. related proteins/peptides. should be applied to clarify any such issues; 4.9 Local tolerance studies 4.2.5 Metabolism however, routine tiered testing approaches or standard testing batteries are not Local tolerance should be evaluated. Metabolic pathways for biotechnology- recommended. Ideally, the formulation intended for derived pharmaceutical products are less marketing should be tested. However, in complex than for conventional 4.6 Reproductive performance and certain cases, the testing of representative pharmaceuticals and therefore major species developmental toxicity formulations may be acceptable. In some differences in metabolic profiles are not an The need for reproductive/developmental cases, the potential local effects of the issue. toxicity studies is dependent upon the product can be evaluated in single or Metabolite/disposition patterns can be product, clinical indication, and intended repeated dose toxicity studies thus obviating discerned by a range of detection techniques patient population. Reproductive and the need for separate local tolerance studies. (e.g., immunochemical detection, developmental toxicity studies should follow Note 1 chromatographic separation, SDS–PAGE). the relevant ICH guidelines (Note 1). The ‘‘Quality of Biotechnological Products: 4.2.6 Excretion specific study design and dosing schedule Viral Safety Evaluation of Biotechnology Several organ systems and mechanisms may be modified based on issues related to Products Derived from Cell Lines of Human may contribute to the elimination of species specificity and/or antigenicity (Note and Animal Origin’’ (Q5A). biotechnology-derived pharmaceutical 3). ‘‘Quality of Biotechnological Products: products. When feasible, these studies 4.7 Genotoxicity studies Derivation and Characterisation of Cell should characterize the rate and contribution The range and type of genotoxicity studies Substrates Used for Production of of the various organs to the overall routinely conducted for conventional Biotechnological/Biological Products’’ (Q5D). elimination process. pharmaceuticals are not applicable to the ‘‘Specifications for New Drug Substances 4.3 Single dose toxicity studies active components of biotechnology-derived and Products: Biotechnolgical Products’’ (Q6B). Single dose studies may generate useful pharmaceutical products. The administration of large quantities of peptides/ proteins may ‘‘Guideline on the Need for Carcinogenicity data to describe the relationship of dose to Studies of Pharmaceuticals’’ (S1A). systemic and/or local toxicity. These data can yield uninterpretable results; moreover, it is not expected that these substances would ‘‘Carcinogenicity: Testing for be used to select doses for repeated dose Carcinogenicity of Pharmaceuticals’’ (S1B). toxicology studies. Data on dose-response interact directly with DNA or other chromosomal material (Note 4). ‘‘Toxicokinetics: Guidance on the relationships may be gathered as a Assessment of Systemic Exposure in Toxicity component of pharmacology or animal model Studies in available and relevant systems, including newly developed systems, should Studies’’ (S3A). efficacy studies or through the conduct of a ‘‘Pharmacokinetics: Guidance for Repeated single dose toxicology study. be performed in those cases where there is cause for concern about the product (because Dose Tissue Distribution Studies’’ (S3B). 4.4 Repeated dose toxicity studies of the presence of an organic linker molecule ‘‘Detection of Toxicity to Reproduction for For consideration of the selection of animal in a conjugated protein product). Medicinal Products’’ (S5A). ‘‘Reproductive Toxicology: Toxicity to species for repeated dose studies see section 4.8 Carcinogenicity studies Male Fertility’’ (S5B). 3.3. The route and dosing regimen (e.g., daily versus intermittent dosing) should reflect the Product-specific assessment of Note 2 intended clinical use or exposure. When carcinogenic potential may be needed, Animal models of disease may be useful in feasible, these studies should include depending upon duration of clinical dosing defining toxicity endpoints, selection of toxicokinetics. and patient population (Note 1). However, clinical indications, and determination of A recovery period should generally be where rodents are not the relevant species for appropriate formulations. It should be noted included in study designs to determine assessing toxicity and/or the product is that with these models of disease there is reversal, potential worsening of immunogenic, conventional carcinogenicity often a paucity of historical data for use as pharmacological/toxicological effects, and/or bioassays are not appropriate. When there is a reference when evaluating study results. potential delayed toxic effects. a concern about carcinogenic potential (e.g., Therefore, the collection of concurrent The duration of repeated dose studies growth factors) a variety of approaches control and baseline data is critical to should be based on the intended duration of should be considered. optimize study design. clinical exposure and disease indication. Products that may have the potential to Note 3 This duration has generally been 1–3 months support or induce proliferation of transformed cells and clonal expansion In cases where extensive public for most biotechnology-derived products. For information is available regarding potential products intended for short-term use (e.g., ≤ leading to tumor formation should be evaluated for receptor expression in various reproductive and/or developmental effects of to 7 days) and for acute life-threatening a particular class of compounds (e.g., diseases, repeated dose studies up to 2 weeks malignant and normal human cells that are potentially relevant to the patient population interferons) and the only relevant species is duration have been considered adequate to the nonhuman primate, mechanistic studies support clinical studies as well as marketing under study. The ability of the product to stimulate growth of the malignant cells indicating that similar effects are likely to be authorization. For those products intended caused by a new but related molecule may for chronic indications, studies of 6 months expressing the receptor or to initiate malignant cell growth in normal cells obviate the need for formal reproductive/ duration have generally been appropriate developmental toxicity studies. In each case, although in some cases shorter or longer expressing the receptor should be determined. When in vitro data for tumor the scientific basis for assessing the potential durations have supported marketing for possible effects on reproduction/ authorizations. promotion give cause for concern, further studies in relevant animal models may be development should be provided. 4.5 Immunotoxicity needed. Note 4 One aspect of immunotoxicological In those cases where the product is With some types of products there is a evaluation includes assessment of potential biologically active and nonimmunogenic in potential concern of accumulation of immunogenicity and hypersensitivity (see rodents, then an assessment of carcinogenic spontaneously mutated cells (e.g., via section 3.6). In addition, many potential in a single species should be facilitating a selective advantage of biotechnology-derived pharmaceutical considered. Careful consideration should be proliferation). This could lead to concerns 16442 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices regarding the potential carcinogenicity of such compounds. The standard battery of genotoxicity tests is not designed to test for these circumstances. Alternative responsive in vitro or in vivo models for such conditions may have to be developed and evaluated. Dated: March 29, 1997. William K. Hubbard, Associate Commissioner for Policy Coordination. [FR Doc. 97–8620 Filed 4–3–97; 8:45 am] BILLING CODE 4160±01±F federal register April 4,1997 Friday Components ProgramÐIntermediary andCore Development FinancialInstitutions(CDFI) Inviting ApplicationsfortheCommunity Notices ofFundsAvailability(NOFA) Institutions Program;FinalRuleand Community DevelopmentFinancial 12 CFRPart1805 Institutions Fund Community DevelopmentFinancial Treasury Department ofthe Part VI 16443 16444 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

DEPARTMENT OF THE TREASURY Department of the Treasury finds that evaluate applications, monitor the any economic or other consequence of performance of entities receiving Community Development Financial this revised interim rule are a direct assistance, and ensure compliance with Institutions Fund result of the implementation of statutory statutory and program requirements. provisions. The collection(s) of information is 12 CFR Part 1805 Paperwork Reduction Act required to obtain a benefit. The RIN 1505±AA71 anticipated respondents and The Department of the Treasury is recordkeepers are financial institutions Community Development Financial issuing these revised interim regulations that may apply for and receive Institutions Program without prior notice and public assistance. procedure pursuant to the Estimated total annual reporting and/ AGENCY: Community Development Administrative Procedure Act (5 U.S.C. Financial Institutions Fund, Department or recordkeeping burden: 30,000. 553). For this reason, the collection of Estimated average annual burden of the Treasury. information contained in these revised hours per respondent and/or ACTION: Revised interim rule with interim regulations have been reviewed recordkeeper: 100. request for comment. under the requirements of the Paperwork Reduction Act (44 U.S.C. Estimated number of respondents SUMMARY: The Department of the 3507(j)) and, pending receipt and and/or record keepers: 300. Treasury is issuing a revised interim evaluation of public comments, Estimated annual frequency of rule implementing the Community approved by the OMB under control responses: 1–4. Development Financial Institutions number 1505–0154. An agency may not National Environmental Policy Act Program (CDFI Program). The revised conduct or sponsor, and a person is not interim rule is intended to enable the required to respond to, a collection of Pursuant to Treasury Directive 75–02 CDFI Fund to administer the CDFI information unless it displays a valid (Department of the Treasury Program in a more efficient manner. The control number assigned by OMB. Environmental Quality Program), the CDFI Fund’s programs are designed to Comments concerning the collection of Department has determined that these facilitate the flow of lending and information should be directed to the revised interim regulations are investment capital into distressed Office of Management and Budget, categorically excluded from the communities and to individuals who Attention: Desk Officer for the National Environmental Policy Act and have been unable to take full advantage Department of the Treasury, Community do not require an environmental review. of the financial services industry. Development Financial Institutions Administrative Procedure Act DATES: Revised interim rule effective Fund, Office of Information and April 4, 1997; comments must be Regulatory Affairs, Washington, DC Pursuant to the provisions of 5 U.S.C. received on or before July 31, 1997. 20503, with copies to the Community 553(a)(2), these revised interim ADDRESSES: All comments concerning Development Financial Institutions regulations are exempt from the this revised interim rule should be Fund, Department of the Treasury, 1500 proposed rule-making requirements of 5 addressed to the Director, Community Pennsylvania Avenue NW., Washington, U.S.C. 553(b) and are being issued as Development Financial Institutions DC 20220. Any such comments should revised interim regulations without Fund, Department of the Treasury, 1500 be submitted not later than July 31, opportunity for notice and public Pennsylvania Avenue NW., Washington, 1997. Comments are specifically comment prior to their effective date. DC 20220. Comments may be inspected requested concerning: Furthermore, the Department for good at the above address weekdays between (1) Whether the proposed collection(s) cause finds that notice and public 9:30 a.m. and 4:30 p.m. of information is necessary for the comment prior to effect are FOR FURTHER INFORMATION CONTACT: proper performance of the functions of impracticable and contrary to the public Kirsten S. Moy, Director, Community the Community Development Financial interest. Congress appropriated funds Development Financial Institutions Institutions Fund, including whether for the CDFI Fund in FY 1996 and Fund, at (202) 622–8662. (This is not a the information will have practical required such funds to be obligated by toll free number.) utility; September 30, 1997. If the Department (2) The accuracy of the estimated does not issue these regulations for SUPPLEMENTARY INFORMATION: burden associated with the proposed effect, it will not be feasible to I. General collection(s) of information (see below); implement this program, as amended (3) How to enhance the quality, prior to September 30, 1997 in a manner Executive Order (E.O.) 12866 utility, and clarity of the information to that better achieves the results intended It has been determined that this be collected; by Congress. regulation is not a significant regulatory (4) How to minimize the burden of Catalog of Federal Financial Assistance action as defined in E.O. 12866. Because complying with the proposed Number no substantive changes were made to collection(s) of information, including this regulation subsequent to the application of automated collection Community Development Financial submission to the Office of Management techniques or other forms of information Institutions Program—21.020. and Budget (OMB), the provisions of technology; and II. Background section 6(a)(3)(E) of the E.O. do not (5) Estimates of capital or start-up apply. costs and costs of operation, The CDFI Fund was established as a maintenance, and purchase of services wholly owned government corporation Regulatory Flexibility Act to provide information. by the Community Development Because no notice of proposed rule Provisions requiring the collection of Banking and Financial Institutions Act making is required for this revised information can be found in §§ 1805.701 of 1994 (the Act). Subsequent legislation interim rule, the provisions of the and 1805.903 of these revised interim placed the Fund within the Department Regulatory Flexibility Act (5 U.S.C. 601 regulations. The information requested of the Treasury and gave the Secretary et seq.) do not apply. Moreover, the in such provisions will be used to of the Treasury all powers and rights of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16445 the Administrator of the Fund as set Program are intended to provide much- requirements, application contents, and forth in the authorizing statute. needed capital that will enable existing the review process. The Fund has Consistent with the placement and institutions to expand and facilitate the determined that before developing a administration of the Fund within the start-up of new institutions. final rule for this program, it would be Department’s organizational structure, This issue of the Federal Register also useful to give interested parties an the Department of the Treasury’s contains two separate Notices of Funds additional opportunity to comment on Inspector General will serve as the Availability (NOFAs) for the program, the interim rule, informed by their Inspector General for the Fund. Any one for the core component of the CDFI experience under the Program’s first individual who becomes aware of the Program and another for a new round and the process of developing existence or apparent existence of fraud, intermediary component. The core applications pursuant to the NOFAs waste, or abuse of assistance provided component provides direct assistance to published separately in this issue of the by the Fund is encouraged to report it CDFIs that serve their target markets Federal Register. It is the Fund’s intent to the Department of the Treasury’s through loans, investments and other to issue a final rule that incorporates or Office of Inspector General in writing or activities, rather than primarily through addresses both the formal comments on the Inspector General’s Hotline (toll the financing of other CDFIs. The core previously submitted and new free 1–800–359–3898). All telephone component continues the basic comments received in response to the calls will be handled confidentially. approach followed by the Fund in the publication of this revised interim rule. Written complaints should be addressed first round of the CDFI Program. For the The following is a summary of the to the U.S. Department of the Treasury, foreseeable future, the core component major provisions of the revised interim Office of Inspector General, Room 2412, will receive the great bulk of the Fund’s regulations, including references to the 1500 Pennsylvania Avenue NW., resources devoted to the CDFI Program. most significant changes from the earlier The new intermediary component Washington, DC 20220. interim rule. All records and materials pertaining provides financial assistance to CDFIs to the selection and awarding of that provide financing primarily to other III. Community Development Financial assistance by the Fund shall be fully CDFIs and/or to support the formation Institutions Program subject to the Freedom of Information of CDFIs. The Fund recognizes that Subpart A—General Provisions Act. Interested parties should contact there are in existence certain the U.S. Department of the Treasury, intermediary CDFIs, and others may be Under the Community Development Office of the Assistant Secretary for created over time, that focus their Financial Institutions Program (12 CFR Management, Disclosure Services at financing activities primarily on part 1805), the Fund provides financial (202) 622–1500. financing other CDFIs. Such institutions and technical assistance to selected The CDFI Fund’s programs are may have knowledge and capacity to applicants in order to enhance their designed to facilitate the flow of lending develop and implement a specialized ability to make loans and investments and investment capital into distressed niche or niches in their financing of and provide services for the benefit of communities and to individuals who CDFIs and/or CDFIs in formation. The designated investment area(s), targeted have been unable to take full advantage Fund believes that providing financial population(s), or both. The Fund selects of the financial services industry. The assistance to such intermediaries can be awardees through a competitive initiative is an important step in an effective way to expand its support application process. After selection, rebuilding poverty-stricken and of the CDFI industry. To illustrate the each awardee will enter into an transitional communities and creating concept of an intermediary CDFI with a assistance agreement with the Fund economic opportunity for people often few examples, an intermediary may which includes the establishment of left behind by the economic have a specialized niche or niches performance goals and other terms and mainstream. focusing on financing a specific type or conditions. Access to credit and investment types of CDFIs, providing small capital is an essential ingredient for Subpart A contains general provisions amounts of capital per CDFI, financing including the purpose of the program creating and retaining jobs, developing CDFIs with specialized risk levels, or affordable housing, revitalizing (§ 1805.100), a summary (§ 1805.101), its financing institutions seeking to become relationship to other Fund programs neighborhoods, unleashing the CDFIs. By providing financial assistance (§ 1805.102) and definitions economic potential of small business, to specialized intermediaries, the Fund (§ 1805.104). Section 1805.104(aa) and empowering people. Over the past believes it can leverage the expertise of amends the definition of Low Income to three decades, community-based such intermediaries and strengthen the accommodate appropriate adjustments financial institutions have proven that Fund’s capacity to support the since the 1990 census. strategic lending and investment development and enhancement of the activities tailored to the unique CDFI industry. Subpart B—Eligibility characteristics of underserved markets The revised interim rule published in are highly effective in improving the this issue of the Federal Register Section 1805.200 establishes criteria economic well being of communities incorporates only technical and other for qualification as a CDFI. The criteria and the people who live there. clarifying changes to the previous reflect the requirements stated in the The CDFI Fund was established to interim rule, including changes authorizing statute. To be eligible to facilitate the creation of new, and designed to provide flexibility and ease apply for assistance, an entity must expansion of existing, financial the burden of application and reporting either be, or propose to become, a CDFI. institutions that are specialized in requirements. The Fund received 20 The revised interim regulations describe serving these markets. These written submissions of formal the information needed by the Fund to institutions—while highly effective—are comments in response to the interim assess whether, among other things: typically small in scale, too few in rule for the CDFI Program published in (1) The applicant has a primary number, and often have difficulty the Federal Register on October 19, mission of community development; raising the equity capital needed to meet 1995. The comments covered a variety (2) The applicant’s predominant the demands for their products and of subjects including eligibility, target business activity is the provision of services. The investments by the CDFI market designation, matching loans or investments; and 16446 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(3) The applicant serves an geographic units in order to reflect the conditions possible and enable a CDFI investment area(s) or targeted neighborhoods, areas, or markets that to obtain the Fund’s assistance in a like population(s). applicants serve or propose to serve. manner. The Fund recognizes that there will Section 1805.301 requires that an Section 1805.603 permits applicants be significant diversity among investment area in a metropolitan area to satisfy matching requirements with applicants with respect to asset size, consist of census tracts, block groups, or funds obtained for up to one year prior organizational type, stage of a combination thereof. organizational development, products Section 1805.302 incorporates the to publication of a NOFA or such earlier and services offered, and geographic statutory requirements for defining a date as may be specified in a NOFA for location. Section 1805.200 provides that targeted population. a particular funding round. The revised although an entity that proposes to interim rule clarifies that funds that are Subpart D—Use of Funds/Eligible become a CDFI may apply for used prior to the execution of the Activities assistance, if selected to receive assistance agreement may nevertheless financial assistance from the Fund such Section 1805.401 lists the eligible qualify as matching funds provided the entity will not receive such financial activities for which financial assistance Fund determines in its reasonable assistance until it qualifies as a CDFI. must be used and permits the Fund to discretion that such use promoted the An entity may receive technical approve other activities. Section purpose of the comprehensive business assistance from the Fund before it 1805.402 requires that an applicant use plan that the Fund is supporting becomes a CDFI, if such technical the Fund’s assistance and any through its assistance. (The revised assistance is designed to assist it to corresponding matching funds for interim rule further provides that funds become a CDFI. purposes approved by the Fund as spent for operating expenses prior to the The revised interim rule provides that reflected in an assistance agreement. calendar year in which the deadline an entity that proposes to become a The revised interim regulations place falls for receipt of applications in an CDFI is eligible to apply for assistance restrictions on such applicant’s applicable NOFA shall not be eligible to if the Fund determines that such entity’s distribution of monies to affiliates or its be considered as matching funds.) To application materials provide a realistic community partners. Section 1805.403 the extent consistent with the Act and course of action to ensure that it can describes technical assistance which these revised interim regulations, the qualify as a CDFI within two years of may be sought as part of the application. Fund believes that applicants should be entering into an assistance agreement Technical assistance requests pursuant able to use matching funds when they with the Fund (or such lesser period as to this part will be evaluated pursuant are available. may be set forth in an applicable to the same competitive review criteria NOFA). The Fund recognizes that in as financial assistance requests. Each NOFA may establish other certain cases, for example, start-ups that conditions or restrictions on the time must undertake substantial fund raising Subpart E—Investment Instruments period for raising matching funds. and/or organizations that require Section 1805.500 states that the Subpart G—Applications For Assistance regulatory approvals, an entity selected Fund’s primary objective in awarding to receive assistance may not qualify as financial assistance is to enhance the Section 1805.701 specifies the a CDFI until some time after its stability, performance, and capacity of information that must be provided as selection. However, the Fund believes an awardee. The Fund retains discretion part of an application. This information that in most cases substantially less than to provide its assistance in a manner describes how an applicant can two years will be required. and amount different from an demonstrate whether it meets the Section 1805.201 allows an entity to applicant’s request. eligibility requirements of subpart B. apply to the Fund for certification as a Section 1805.501 describes the types The section also describes information CDFI regardless of whether it is of investment instruments through that an applicant must provide to be applying for assistance. The Fund which the Fund may provide financial evaluated and selected under subpart H. believes that such a certification process assistance. Section 1805.502 restates the The most significant component of the will recognize the importance of the Act’s aggregate assistance limit of $5 application is a five-year comprehensive activities that institutions are engaged million for each applicant in any three- business plan. The plan will provide the in, enhance their credibility with year period—which may be increased basis for evaluating both the applicant’s investors, and facilitate participation by by up to $3.75 million under special current capacity and its potential for the CDFIs in other government programs. circumstances which have been future. The plan must include, among clarified in the revised interim rule. Subpart C—Target Markets other things, elements related to As stated in § 1805.300, an applicant Subpart F—Matching Funds financial performance, management must designate one or more investment Requirements policies and capacity, market analysis, areas or targeted populations as the Pursuant to § 1805.600, each coordination efforts, community impact, target market(s) it intends to serve. applicant must obtain matching funds funding resources, and timing. The Section 1805.301 gives each applicant from sources other than the Federal application must contain a detailed significant flexibility in designating an government that are at least equal to the description of the matching funds to be investment area provided that certain amount of financial assistance provided raised by the applicant for use in conditions are met. Investment areas by the Fund. Community Development conjunction with the Fund’s assistance. must meet objective criteria of distress. Block Grant funds may not be used for In order to facilitate coherence and Consistent with its statutory mandate, the match. As required by the Act and avoid duplication, the revised interim the Fund has developed objective § 1805.601, the matching funds must be rule permits an applicant to present its criteria that are appropriate for comparable in form and value to the application materials in an order and identifying distress in metropolitan, Fund’s financial assistance. This format that it believes is the most non-metropolitan, and Native American provision is intended to encourage appropriate. The revised interim rule communities. Investment areas may be match providers to offer their resources also eliminates the Low Income comprised of a variety of different under the most favorable terms and Targeted Population Worksheet. Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16447

Subpart H—Evaluation and Selection of assistance agreements. The agreement PART 1805ÐCOMMUNITY Applicants will contain sanctions for DEVELOPMENT FINANCIAL Section 1805.800 outlines the noncompliance. As required by the Act, INSTITUTIONS PROGRAM any proposed sanctions to be imposed evaluation and selection process. Subpart AÐGeneral Provisions Section 1805.801 indicates the Fund’s on an insured CDFI must be discussed intent to seek to fund a geographically with the appropriate Federal banking Sec. diverse group of applicants as required agency under specific procedures. 1805.100 Purpose. by the Act. The revised interim rule Pursuant to § 1805.902, disbursement of 1805.101 Summary. assistance from the Fund will be in a 1805.102 Relationship to other Fund amends the evaluation and selection programs. process discussed in subpart H. Without lump sum or over a period of time, as determined by the Fund. However, the 1805.103 Awardee not instrumentality. eliminating any of the evaluation 1805.104 Definitions. factors, the revised interim rule Fund may provide no financial assistance until the awardee has secured 1805.105 Waiver authority. restructures the process of evaluating 1805.106 OMB control number. applications described in § 1805.802 to firm commitments for its corresponding expedite the process and improve its matching funds. This provision is Subpart BÐEligibility efficiency. intended to ensure that no Federal 1805.200 Applicant eligibility. The revised interim rule states that funds are released until other resources 1805.201 Certification as a Community the Fund will not provide assistance to are leveraged. Development Financial Institution. an applicant that does not meet the Section 1805.903 describes the Subpart CÐTarget Markets eligibility requirements or that has not recordkeeping and reporting 1805.300 Target markets—general. submitted complete application requirements applicable to awardees. These requirements are consistent with 1805.301 Investment Area. materials. In addition, the revised 1805.302 Targeted Population. interim rule consolidates what had been the Fund’s fiduciary and monitoring the Tier 2 (financial and organizational responsibilities. Awardees are required Subpart DÐUse of Funds/Eligible Activities capacity) and Tier 3 (other qualitative to submit quarterly data on financial 1805.400 Purposes of financial assistance. criteria) reviews into one set of indicators and performance measures 1805.401 Eligible activities. substantive review criteria. The and annual reports and audits on its 1805.402 Restrictions on use of assistance. selection criteria set forth with respect financial and programmatic 1805.403 Technical assistance. performance. The revised interim rule to the CDFI Program in the interim rule Subpart EÐInvestment Instruments published in the Federal Register on contains modifications intended to October 19, 1995, are retained, provide awardees flexibility in their 1805.500 Investment instruments—general. including financial strength and quarterly reports as well as flexibility in 1805.501 Forms of investment instruments. 1805.502 Assistance limits. organizational capacity, extent of the timing of the submission of reports. 1805.503 Authority to sell. external resources, and community In developing its revised regulations, impact. The revised interim rule the Fund has sought to minimize its Subpart FÐMatching Funds Requirements clarifies that the criteria to be recordkeeping and reporting 1805.600 Matching funds—general. considered include the quality of the requirements. The Fund requests input 1805.601 Comparability of form and value. applicant’s comprehensive business on how to further reduce such burden 1805.602 Severe constraints waiver. plan and the extent and nature of an while still meeting its statutory 1805.603 Time frame for raising match. applicant’s potential community monitoring and enforcement 1805.604 Retained earnings. development impact that will be requirements. Subpart GÐApplications for Assistance catalyzed relative to the amount of All awardees shall be subject to legal 1805.700 Notice of funds availability. assistance to be provided by the Fund. requirements pertaining to the Fund’s 1805.701 Application contents. While ensuring fairness and assistance, including conflict of interest consistency, the Fund will seek to standards. Section 1805.905 requires Subpart HÐEvaluation and Selection of implement the evaluation and selection each awardee to comply with all other Applications process in a manner that takes into governmental requirements. Section 1805.800 Evaluation and selection— consideration the unique characteristics 1805.906 requires awardees to maintain general. of applicants that vary by organizational standards of conduct acceptable to the 1805.801 Geographic diversity. type, total asset size, and stage of Fund. Section 1805.907 describes 1805.802 Evaluation of applications. organizational development. lobbying restrictions applicable to Subpart IÐTerms and Conditions of Subpart I—Terms and Conditions of awardees. Assistance Assistance List of Subjects in 12 CFR Part 1805 1805.900 Safety and soundness. While Federal and State agencies will 1805.901 Assistance Agreement; sanctions. Community development, Grant 1805.902 Disbursement of funds. retain responsibility for assuring the programs—housing and community safety and soundness of insured CDFIs, 1805.903 Data collection and reporting. development, Loan programs—housing 1805.904 Information. pursuant to § 1805.900 the Fund will (to and community development, Reporting 1805.905 Compliance with government the extent practicable) ensure that and recordkeeping requirements, Small requirements. unregulated awardees are financially businesses. 1805.906 Conflict of interest requirements. and managerially sound and maintain Kirsten S. Moy, 1805.907 Lobbying restrictions. appropriate internal controls. Prior to 1805.908 Criminal provisions. receiving assistance, each awardee will Director, Community Development Financial Institutions Fund. 1805.909 Fund deemed not to control. execute an agreement with the Fund 1805.910 Limitation on liability. that describes its performance goals and For the reasons set forth in the 1805.911 Fraud, waste and abuse. other terms and conditions of preamble, chapter XVIII of title 12 of the Authority: 12 U.S.C. 4703, 4717; chapter X, assistance. Section 1805.901 describes Code of Federal Regulations is amended Pub. L. 104–19, 109 Stat. 237 (12 U.S.C. 4703 the nature and use of the Fund’s by revising part 1805 to read as follows: note). 16448 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Subpart AÐGeneral Provisions assistance under the Community include a Depository Institution Holding Development Financial Institutions Company, an Insured Depository § 1805.100 Purpose. Program. Institution, an Insured Credit Union, a The purpose of the Community not-for-profit or for-profit organization, Development Financial Institutions § 1805.103 Awardee not instrumentality. a State or local government entity, a Program is to facilitate the creation of a No Awardee (or its Community quasi-government entity, or an national network of financial Partner) shall be deemed to be an investment company authorized institutions that is dedicated to agency, department, or instrumentality pursuant to the Small Business community development. of the United States. Investment Act of 1958 (15 U.S.C. 661 et seq.); § 1805.101 Summary. § 1805.104 Definitions. (m) Community Partnership means an For the purpose of this part: Under the Community Development agreement between an Applicant and a (a) Act means the Community Financial Institutions Program, the Community Partner to collaboratively Development Banking and Financial Fund will provide financial and provide loans, equity investments, or Institutions Act of 1994, as amended (12 technical assistance to Applicants Development Services to an Investment U.S.C. 4701 et seq.); selected by the Fund in order to Area(s) or a Targeted Population(s); (b) Affiliate means any company or enhance their ability to make loans and (n) Comprehensive Business Plan investments and provide services. An entity that controls, is controlled by, or is under common control with another means a document covering not less Awardee must serve an Investment than the next five years which meets the Area(s), Targeted Population(s), or both. company; (c) Applicant means any entity requirements described under The Fund will select Awardees to § 1805.701(d); receive financial and technical submitting an application for assistance under this part; (o) Depository Institution Holding assistance through a competitive Company means a bank holding application process. Each Awardee will (d) Appropriate Federal Banking Agency has the same meaning as in company or a savings and loan holding enter into an Assistance Agreement company as defined in section 3 of the which will require it to achieve section 3 of the Federal Deposit Insurance Act (12 U.S.C. 1811 et seq.), Federal Deposit Insurance Act (12 performance goals negotiated between U.S.C. 1811 et seq.); the Fund and the Awardee and abide by and also includes the National Credit (p) Development Investment means an other terms and conditions pertinent to Union Administration with respect to equity investment made by an any assistance received under this part. Insured Credit Unions; (e) Assistance Agreement means a Applicant which, in the judgment of the § 1805.102 Relationship to other Fund formal agreement between the Fund and Fund, directly supports or enhances programs. an Awardee which specifies the terms activities that serve an Investment (a) Bank Enterprise Award Program. and conditions of assistance under this Area(s) or a Targeted Population(s). (1) No Community Development part; Such investments must be made Financial Institution may receive (f) Awardee means an Applicant through an arms-length transaction with assistance from the Bank Enterprise selected by the Fund to receive a third party that does not have a Award Program (part 1806 of this assistance pursuant to this part; relationship with the Applicant as an chapter) if it has: (g) Community Development Affiliate; (i) An application for assistance Financial Institution (or CDFI) means an (q) Development Services means pending under the Community entity currently meeting the eligibility activities that promote community Development Financial Institutions requirements under § 1805.200; development and are integral to lending Program; (h) Community Development and Development Investment activities. (ii) Received assistance under the Financial Institutions Program (or CDFI Such services shall prepare or assist Community Development Financial Program) means the program authorized potential borrowers or investees to Institutions Program within the by sections 105–108 of the Act (12 utilize the lending or investment preceding 12-month period; or U.S.C. 4704–4707) and implemented products of the Awardee, its Affiliates, (iii) Received assistance under the under this part; or its Community Partners. Such Community Development Financial (i) Community Facility means a services include, for example: Institutions Program for the same facility where health care, child care, (1) Financial or credit counseling to activities as proposed under an educational, cultural, or social services individuals for the purpose of application for the Bank Enterprise are provided; / facilitating home ownership, promoting Award Program. (j) Community-Governed means an self-employment, or enhancing (2) An Equity Investment (as defined entity in which the residents of an consumer financial management skills; in part 1806 of this chapter) in, or a loan Investment Area(s) or members of a or to, a Community Development Financial Targeted Population(s) represent greater (2) Technical assistance to borrowers Institution made by a Bank Enterprise than 50 percent of the governing body; or investees for the purpose of Award Program Awardee may be used (k) Community-Owned means an enhancing business planning, to meet the matching fund requirements entity in which the residents of an marketing, management, and financial described in subpart F of this part. Investment Area(s) or members of a management skills; Receipt of such Equity Investment or Targeted Population(s) have an (r) Financial Services means checking, loan does not disqualify a Community ownership interest of greater than 50 check-cashing, money orders, certified Development Financial Institution from percent; checks, automated teller machines, receiving assistance under this part. (l) Community Partner means a deposit-taking, and safe deposit box (b) Liquidity enhancement program. person (other than an individual) that services; No entity that receives assistance provides loans, equity investments, or (s) Fund means the Community through the liquidity enhancement Development Services and enters into a Development Financial Institutions program authorized under section 113 Community Partnership with an Fund established under section 104(a) (12 U.S.C. 4712) of the Act may receive Applicant. A Community Partner may (12 U.S.C. 4703(a)) of the Act; Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16449

(t) Indian Reservation means any Company, Insured Depository applicable Notice of Funds Availability geographic area that meets the Institution, or Insured Credit Union; (NOFA). The Fund shall not, however, requirements of section 4(10) of the (dd) State means any State of the disburse any financial assistance to such Indian Child Welfare Act of 1978 (25 United States, the District of Columbia an entity before it meets the U.S.C. 1903(10)), and shall include land or any territory of the United States, requirements described in paragraphs held by incorporated Native groups, Puerto Rico, Guam, American Samoa, (b) through (h) of this section. regional corporations, and village the Trust Territories of the Pacific (3) The Fund shall require an entity corporations, as defined in and pursuant Islands, the Virgin Islands, and the to meet any additional eligibility to the Alaska Native Claims Settlement Northern Mariana Islands; requirements that the Fund deems Act (43 U.S.C. 1601 et seq.), public (ee) Subsidiary means any company appropriate. domain Indian allotments, and former which is owned or controlled directly or (4) The Fund, in its sole discretion, Indian reservations in the State of indirectly by another company and shall determine whether an Applicant Oklahoma; includes any service corporation owned fulfills the requirements set forth in this (u) Indian Tribe means any Indian in whole or part by an Insured section and § 1805.701(b). Tribe, band, pueblo, nation, or other Depository Institution or any Subsidiary (b) Primary mission. A CDFI shall organized group or community, of such a service corporation, except as have a primary mission of promoting including any Alaska Native village or provided in § 1805.200(h)(4); and community development. regional or village corporation, as (ff) Targeted Population means (c) Target market. A CDFI shall serve defined in or established pursuant to the individuals or an identifiable group an Investment Area(s) or Targeted Alaska Native Claims Settlement Act (43 meeting the requirements of § 1805.302. Population(s). U.S.C. 1601 et seq.), which is recognized (d) Financing entity. A CDFI shall be as eligible for special programs and § 1805.105 Waiver authority. an entity whose predominant business services provided by the United States The Fund may waive any requirement activity is the provision of loans or to Indians because of their status as of this part that is not required by law Development Investments. Indians; upon a determination of good cause. (e) Development Services. A CDFI, (v) Insider means any director, officer, Each such waiver shall be in writing directly or through an Affiliate, shall employee, principal shareholder and supported by a statement of the provide Development Services in (owning, individually or in combination facts and the grounds forming the basis conjunction with loans or Development with family members, five percent or of the waiver. For a waiver in an Investments. more of any class of stock), or agent (or individual case, the Fund must (f) Accountability. A CDFI must any family member or business partner determine that application of the maintain accountability to residents of of any of the above) of any Applicant, requirement to be waived would its Investment Area(s) or Targeted Affiliate or Community Partner; adversely affect the achievement of the Population(s) through representation on (w) Insured CDFI means a CDFI that purposes of the Act. For waivers of its governing board or otherwise. is an Insured Depository Institution or general applicability, the Fund will (g) Non-government entity. A CDFI an Insured Credit Union; publish notification of granted waivers shall not be an agency or (x) Insured Credit Union means any in the Federal Register. instrumentality of the government of the credit union, the member accounts of United States, or any State or political which are insured by the National § 1805.106 OMB control number. subdivision thereof. An entity that is Credit Union Share Insurance Fund; The collection of information created by, or that receives substantial (y) Insured Depository Institution requirements in this part have been assistance from, one or more means any bank or thrift, the deposits of approved by the Office of Management government entities may be a CDFI which are insured by the Federal and Budget and assigned OMB control provided that it is not controlled by Deposit Insurance Corporation; number 1505–0154. such entities and maintains (z) Investment Area means a independent decision-making power geographic area meeting the Subpart B±Eligibility over its activities. (h) Provisions applicable to requirements of § 1805.301; § 1805.200 Applicant eligibility. (aa) Low-Income means an income, Depository Institution Holding adjusted for family size, of not more (a) General requirements. (1) An Companies and Insured Depository than: entity that meets the requirements Institutions. (1) A Depository Institution (1) For Metropolitan Areas, 80 percent described in paragraphs (b) through (h) Holding Company may qualify as a of the area median family income; and of this section will be considered a CDFI CDFI only if it and its Affiliates (2) For non-Metropolitan Areas, the and, subject to paragraph (a)(3) of this collectively satisfy the requirements greater of: section, will be eligible to apply for described in paragraphs (a) through (g) (i) 80 percent of the area median assistance under this part. Criteria to of this section. family income; or establish compliance with such (2) No Affiliate of a Depository (ii) 80 percent of the statewide non- requirements are set forth in Institution Holding Company may Metropolitan Area median family § 1805.701(b). qualify as a CDFI unless the holding income; (2) An entity that proposes to become company and all of its Affiliates (bb) Metropolitan Area means an area a CDFI is eligible to apply for assistance collectively meet the requirements designated as such by the Office of under this part if the Fund determines described in paragraphs (a) through (g) Management and Budget pursuant to 44 that such entity’s application materials of this section. U.S.C. 3504(d)(3) and 31 U.S.C. 1104(d) provide a realistic course of action to (3) No Subsidiary of an Insured and Executive Order 10253 (3 CFR, ensure that it will meet the Depository Institution may qualify as a 1949–1953 Comp., p. 758), as amended; requirements described in paragraphs CDFI if the Insured Depository (cc) Non-Regulated CDFI means any (b) through (h) of this section within Institution and its Subsidiaries do not entity meeting the eligibility two years of entering into an Assistance collectively meet the requirements requirements of § 1805.200 which is not Agreement with the Fund or such lesser described in paragraphs (a) through (g) a Depository Institution Holding period as may be set forth in an of this section. 16450 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(4) For the purposes of paragraphs States (which shall encompass any State of complete plumbing and occupancy of (h)(1), (2) and (3) of this section, an of the United States, the District of more than one person per room) is at Applicant will not be considered to be Columbia or any territory of the United least 20 percent; or a Subsidiary of any Insured Depository States, Puerto Rico, Guam, American (5) In areas located outside of a Institution or Depository Institution Samoa, the Trust Territories of the Metropolitan Area, the county Holding Company that controls less Pacific Islands, the Virgin Islands, and population loss between 1980 and 1990 than 25 percent of any class of its voting the Northern Mariana Islands). is at least 10 percent. shares, and which does not, in any (b) Geographic units. Subject to the (e) Unmet needs. An Investment Area manner, otherwise control the election remainder of this paragraph (b), an will be deemed to have significant of a majority of directors of the Investment Area shall consist of a unmet needs for loans or equity Applicant. geographic unit(s) that is a county (or investments if studies or other analyses equivalent area), minor civil division § 1805.201 Certification as a Community provided by the Applicant adequately Development Financial Institution. that is a unit of local government, demonstrate a pattern of unmet needs incorporated place, census tract, block for loans and equity investments within An entity may apply to the Fund for numbering area, block group, or certification that it meets the CDFI such area(s). American Indian or Alaska Native area (f) Serving Investment Areas. An eligibility requirements (as described (as such units are defined or reported by under § 1805.200) regardless of whether Applicant can serve an Investment Area the U.S. Bureau of the Census). it is seeking financial or technical directly or through borrowers or However, geographic units in assistance from the Fund. Entities investees that serve the Investment Area Metropolitan Areas that are used to seeking such certification shall provide or provide significant benefits to its comprise an Investment Area shall be the information described under residents. limited to census tracts, block groups § 1805.701(b). Certification by the Fund and American Indian or Alaskan Native § 1805.302 Targeted Population. will verify that the entity meets the areas. An Applicant can designate one (a) A Targeted Population shall mean CDFI eligibility requirements. However, or more Investment Areas as part of a individuals, or an identifiable group of such a certification shall not constitute single application. individuals, who: are Low-Income an opinion by the Fund as to the (c) Designation. An Applicant can persons; or lack adequate access to loans financial viability of the entity that designate an Investment Area by or equity investments. An Applicant can obtains such certification or that the selecting: serve the members of a Targeted CDFI will be selected to receive an (1) A geographic unit(s) which Population directly or through award from the Fund. The Fund, in its individually meets one of the criteria in borrowers or investees that directly sole discretion, shall have the right to paragraph (d) of this section; or serve or provide significant benefits to decertify a certified entity after a (2) A group of contiguous geographic determination that the eligibility such members. units which together meet one of the (b) The members of a Targeted requirements of paragraphs (b) through criteria in paragraph (d) of this section, (h) of § 1805.200 are no longer met. Population shall reside within the provided that the combined population boundaries of the United States (which Subpart CÐTarget Markets residing within individual geographic shall encompass any State of the United units not meeting any such criteria does States, the District of Columbia or any § 1805.300 Target marketsÐgeneral. not exceed 15 percent of the total territory of the United States, Puerto An Applicant shall designate one or population of the entire Investment Rico, Guam, American Samoa, the Trust more Investment Area(s) or Targeted Area. Territories of the Pacific Islands, the Population(s) that it proposes to serve. (d) Distress criteria. An Investment Virgin Islands, and the Northern An Applicant may also choose to serve Area (or the units that comprise an area) Mariana Islands). both an Investment Area(s) and a must meet at least one of the following (c) An Applicant shall provide its Targeted Population(s). An Investment objective criteria of economic distress products and services in a manner that Area shall meet specific geographic and (as reported in the 1990 (or subsequent) is consistent with the Equal Credit other criteria discussed in § 1805.301. A decennial census and published by the Opportunity Act (15 U.S.C. 1691), to the Targeted Population shall consist of U.S. Bureau of the Census): extent that the Applicant is subject to Low-Income persons or those who (1) The percentage of the population the requirements of such Act. otherwise lack adequate access to loans living in poverty is at least 20 percent; or equity investments. (2) In the case of an Investment Area Subpart DÐUse of Funds/Eligible located: Activities § 1805.301 Investment Area. (i) Within a Metropolitan Area, the (a) General. A geographic area will be median family income shall be at or § 1805.400 Purposes of financial considered eligible for designation as an below 80 percent of the Metropolitan assistance. Investment Area if it: Area median family income or the The Fund may provide financial (1)(i) Meets at least one of the national Metropolitan Area median assistance through investment objective criteria of economic distress as family income, whichever is greater; or instruments described under subpart E set forth in paragraph (d) of this section (ii) Outside of a Metropolitan Area, of this part. Such financial assistance is and has significant unmet needs for the median family income shall be at or intended to strengthen the capital loans or equity investments as described below 80 percent of the statewide non- position and enhance the ability of an in paragraph (e) of this section; or Metropolitan Area median family Awardee to make loans and (ii) Encompasses or is located in an income or the national non- Development Investments and provide Empowerment Zone or Enterprise Metropolitan Area median family Financial Services. Community designated under section income, whichever is greater; 1391 of the Internal Revenue Code of (3) The unemployment rate is at least § 1805.401 Eligible activities. 1986 (26 U.S.C. 1391); and 1.5 times the national average; Financial assistance provided under (2) Is entirely located within the (4) The percentage of occupied this part may be used by an Awardee to geographic boundaries of the United distressed housing (as indicated by lack serve Investment Area(s) or Targeted Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16451

Population(s) by developing or technical assistance in amounts, or shall include credit union shares) in supporting: under terms and conditions that are Insured CDFIs. Deposits in an Insured (a) Commercial facilities that promote different from those requested by an CDFI shall not be subject to any revitalization, community stability or Applicant. The Fund may not provide requirement for collateral or security. job creation or retention; any technical assistance to an Applicant (b) Businesses that: for the purpose of assisting in the § 1805.502 Assistance limits. (1) Provide jobs for Low-Income preparation of an application. The Fund (a) General. Except as provided in persons; may provide technical assistance to a paragraph (b) of this section, the Fund (2) Are owned by Low-Income CDFI directly, through grants, or by may not provide, pursuant to this part, persons; or contracting with organizations that more than $5 million, in the aggregate, (3) Enhance the availability of possess the appropriate expertise. in financial and technical assistance to products and services to Low-Income (b) The Fund may provide technical an Awardee and its Affiliates during any persons; assistance regardless of whether or not three-year period. (c) Community Facilities; the recipient also receives financial (b) Additional amounts. If an (d) The provision of Financial assistance under this part. Technical Awardee proposes to establish a new Services; assistance provided pursuant to this Affiliate to serve an Investment Area(s) (e) Housing that is principally part is subject to the assistance limits or Targeted Population(s) outside of any affordable to Low-Income persons, described in § 1805.502. State, and outside of any Metropolitan except that assistance used to facilitate (c) An Applicant seeking technical Area, currently served by the Awardee home ownership shall only be used for assistance must meet the eligibility or its Affiliates, the Awardee may services and lending products that serve requirements of § 1805.200 and submit receive additional assistance pursuant Low-Income persons and that: an application as described in to this part up to a maximum of $3.75 (1) Are not provided by other lenders § 1805.701. million during the same three-year in the area; or (d) Applicants for technical assistance period. Such additional assistance: (2) Complement the services and pursuant to this part will be evaluated (1) Shall only be used to finance lending products provided by other pursuant to the competitive review activities in the new or expanded lenders that serve the Investment criteria in subpart H of this part, except Investment Area(s) or Targeted Area(s) or Targeted Population(s); that requirements for matching funds Population(s); and (f) The provision of Consumer Loans are not applicable to technical (2) Must be distributed to a new (a loan to one or more individuals for assistance requests. Affiliate that meets the eligibility household, family, or other personal Subpart EÐInvestment Instruments requirements described in § 1805.200 expenditures); or and is selected for assistance pursuant (g) Other businesses or activities as § 1805.500 Investment instrumentsÐ to subpart H of this part. requested by the Applicant and deemed general. (c) An Awardee may only receive the appropriate by the Fund. The Fund’s primary objective in assistance described in paragraph (b) of awarding financial assistance is to this section if no other application to § 1805.402 Restrictions on use of assistance. enhance the stability, performance and serve substantially the same Investment capacity of an Awardee. The Fund will Area(s) or Targeted Population(s) that (a) An Awardee shall only use provide financial assistance to an meets the requirements of § 1805.802(a) assistance provided by the Fund and its Awardee through one or more of the was submitted to the Fund prior to the corresponding matching funds for the investment instruments described in receipt of the application of said eligible activities approved by the Fund § 1805.501, and under such terms and Awardee and within the current funding and described in the Assistance conditions as described in this subpart round. Agreement. E. The Fund, in its sole discretion, may § 1805.503 Authority to sell. (b) An Awardee may not distribute provide financial assistance in amounts, assistance to an Affiliate without the through investment instruments, or The Fund may, at any time, sell its Fund’s consent. under rates, terms and conditions that equity investments and loans, provided (c) Assistance provided upon are different from those requested by an the Fund shall retain the authority to approval of an application involving a Applicant. enforce the provisions of the Assistance Community Partnership shall only be Agreement until the performance goals distributed to the Awardee and shall not § 1805.501 Forms of investment specified therein have been met. be used to fund any activities carried instruments. out by a Community Partner or an (a) Equity. The Fund may make Subpart FÐMatching Funds Affiliate of a Community Partner. nonvoting equity investments in an Requirements Awardee, including, without limitation, § 1805.600 Matching fundsÐgeneral. § 1805.403 Technical assistance. the purchase of nonvoting stock. Such (a) General. The Fund may provide stock shall be transferable and, in the All financial assistance awarded technical assistance to build the discretion of the Fund, may provide for under this part shall be matched with capacity of a CDFI or an entity that convertibility to voting stock upon funds from sources other than the proposes to become a CDFI. Such transfer. The Fund shall not own more Federal government. Except as provided technical assistance may include than 50 percent of the equity of an in § 1805.602, such matching funds training for management and other Awardee and shall not control its shall be provided on the basis of not less personnel; development of programs, operations. than one dollar for each dollar provided products and services; improving (b) Capital grants. The Fund may by the Fund. Funds that have been used financial management and internal award grants. to satisfy a legal requirement for operations; enhancing a CDFI’s (c) Loans. The Fund may make loans, obtaining funds under another Federal community impact; or other activities if permitted by applicable law. grant or award program cannot be used deemed appropriate by the Fund. The (d) Deposits and credit union shares. to satisfy the matching requirements Fund, in its sole discretion, may provide The Fund may make deposits (which described in this section. Community 16452 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

Development Block Grant Program and (b) Not more than 25 percent of the Union), retained earnings that can be other funds provided pursuant to the total funds available for obligation used for matching funds purposes shall Housing and Community Development under this part in any fiscal year may be consist of: Act of 1974, as amended (42 U.S.C. 5301 matched as described in paragraph (a) of (i) The increase in an Applicant’s net et seq.), shall be considered Federal this section. assets (excluding the amount of any government funds and shall not be used (c) An Applicant may request a grants and value of other donated assets) to meet the matching requirements. ‘‘severe constraints waiver’’ as part of its that has occurred over the Applicant’s Matching funds shall be used as application for assistance. An Applicant most recent fiscal year; or provided in the Assistance Agreement. shall provide a narrative justification for (ii) The annual average of such Funds that are used prior to the its request, indicating: increases that has occurred over the execution of the Assistance Agreement (1) The cause and extent of the Applicant’s three most recent fiscal may nevertheless qualify as matching constraints on raising matching funds; years. funds provided the Fund determines in (2) Efforts to date, results, and (2) Such retained earnings can be its reasonable discretion that such use projections for raising matching funds; used to match a request for a capital promoted the purpose of the (3) A description of the matching grant. The terms and conditions of Comprehensive Business Plan that the funds expected to be raised; and financial assistance will be determined Fund is supporting through its (4) Any additional information by the Fund. assistance. However, funds spent for requested by the Fund. (d)(1) In the case of an Insured Credit operating expenses prior to the calendar (d) The Fund will grant a ‘‘severe Union Applicant, retained earnings that year in which falls the deadline for constraints waiver’’ only in exceptional can be used for matching funds receipt of applications pursuant to an circumstances when it has been purposes shall consist of: applicable NOFA shall not be used to demonstrated, to the satisfaction of the (i) The increase in net capital that has meet the matching requirements. Fund, that an Investment Area(s) or occurred over the Applicant’s most Targeted Population(s) would not be recent fiscal year; § 1805.601 Comparability of form and adequately served without the waiver. (ii) The annual average of such value. increases that has occurred over the (a) Matching funds shall be at least § 1805.603 Time frame for raising match. Applicant’s three most recent fiscal comparable in form (e.g., equity Applicants may use monies that have years; or investments, deposits, credit union been obtained or legally committed for (iii) The entire net capital that has shares, loans and grants) and value to up to one year prior to the publication been accumulated since the inception of financial assistance provided by the of a NOFA, or such earlier date or the Applicant provided that the Fund (except as provided in period specified in the NOFA, for an conditions described in paragraph (d)(4) § 1805.602). The Fund shall have the applicable funding round to meet the of this section are satisfied. discretion to determine whether matching requirements. An Applicant (2) For the purpose of paragraph (d)(4) matching funds pledged are comparable shall raise the balance of its matching of this section, net capital shall be in form and value to the financial requirements within the period set forth comprised of ‘‘Regular Reserves’’, assistance requested. in the applicable NOFA. ‘‘Other Reserves’’ (excluding reserves (b) In the case of an Awardee that specifically dedicated for losses), and § 1805.604 Retained earnings. raises matching funds from more than ‘‘Undivided Earnings’’ as such terms are one source, through different (a) An Applicant that proposes to used in the National Credit Union investment instruments, or under meet all or a portion of its matching Administration’s accounting manual. varying terms and conditions, the Fund funds requirements as set forth in this (3) Such retained earnings can be may provide financial assistance in a part by committing available earnings used to match a request for a capital manner that represents the combined retained from its operations pursuant to grant. The terms and conditions of characteristics of such instruments. § 1805.601(c) shall be subject to the financial assistance will be determined (c) An Awardee may meet all or part restrictions described in this section. by the Fund. of its matching requirements by (b)(1) In the case of a for-profit (4) If the option described in committing available earnings retained Applicant, retained earnings that can be paragraph (d)(1)(iii) of this section is from its operations. used for matching funds purposes shall used: consist of: (i) The Assistance Agreement shall § 1805.602 Severe constraints waiver. (i) The increase in retained earnings require that: (a) In the case of an Applicant with (excluding the after-tax value to an (A) An Awardee increase its member severe constraints on available sources Applicant of any grants and other and/or non-member shares by an of matching funds, the Fund, in its sole donated assets) that has occurred over amount that is at least equal to four discretion, may permit such Applicant the Applicant’s most recent fiscal year times the amount of net capital that is to comply with the matching (e.g., retained earnings at the end of committed as matching funds; requirements by: fiscal year 1996 less retained earnings at (B) Such increase be achieved within (1) Reducing such requirements by up the end of fiscal year 1995); or 18 months of the last day of the month to 50 percent; or (ii) The annual average of such prior to the month in which the (2) Permitting an Applicant to provide increases that have occurred over the Applicant is selected to receive matching funds in a form to be Applicant’s three most recent fiscal assistance; and determined at the discretion of the years. (C) Such increase be maintained for Fund, if such an Applicant: (2) Such retained earnings can be the period of time covered by the (i) Has total assets of less than used to match a request for an equity Comprehensive Business Plan; $100,000; investment. The terms and conditions of (ii) The Applicant’s Comprehensive (ii) Serves an area that is not a financial assistance will be determined Business Plan shall discuss its strategy Metropolitan Area; and by the Fund. for raising the required shares and the (iii) Is not requesting more than (c)(1) In the case of a non-profit activities associated with such increased $25,000 in assistance. Applicant (other than an Insured Credit shares; (iii) The level from which the Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16453 increases in shares described in facilitate coherence and avoid demonstrate that its total activities are paragraph (d)(4)(i) of this section will be duplication, an Applicant may present principally directed to serving measured shall be the greater of the its application in an order and format Investment Area(s), Targeted level of shares as of: that it believes to be the most Population(s) or both. (A) The end of the calendar year appropriate, provided that the requested (3) Designation. An Applicant shall immediately preceding the applicable information is included and that an provide a description of the Investment application deadline; or index is included to assist the Fund in Area(s) or Targeted Population(s) to be (B) The last day of the month prior to locating the items requested in this served. If an Applicant is serving: the month in which an Applicant is section. (i) An Investment Area(s), it shall selected to receive assistance; and (a) Award request. An Applicant shall submit: (iv) Financial assistance shall be indicate: (A) A completed Investment Area disbursed by the Fund only as the (1) The dollar amount, form, rates, Designation worksheet contained in the amount of increased shares described in terms and conditions of financial application packet; paragraph (d)(4)(i)(A) of this section is assistance requested; and (B) A map of the designated area(s); achieved. (2) Any technical assistance needs for and (5) The Fund will allow an Applicant which it is requesting assistance. (C) Studies or other analyses as to utilize the option described in (b) Eligibility verification. An described in § 1805.301(e); paragraph (d)(1)(iii) for matching funds Applicant shall provide information (ii) A Targeted Population(s), it shall only if it determines, in its sole necessary to establish that it is, or will submit: discretion, that the Applicant will have be, a CDFI. An Applicant shall (A) In the case of a Low Income a high probability of success in demonstrate whether it meets the Targeted Population, a description of increasing its shares to the specified eligibility requirements described in the service area from which the Low amounts. § 1805.200 by providing the information Income Targeted Population is drawn (e) An Applicant may only use requested in this paragraph (b). The (which could be, for example, a local, retained earnings to meet the matching Fund, in its sole discretion, shall regional or national service area); or funds requirements if it has liquidity (as determine whether an Applicant has (B) In the case of a Targeted determined by the Fund) in amounts satisfied the requirements of this Population defined other than on the that are equal to or greater than the paragraph (b). basis of Low Income, studies or other amount of retained earnings that is (1) Primary mission. (i) A CDFI shall analyses that provide adequate evidence proposed for use as matching funds. In have a primary mission of promoting of lack of adequate access to loans or assessing an Applicant’s liquidity for community development. In equity investments. the purposes of this paragraph (e), the determining whether an Applicant has (4) Financing entity. (i) A CDFI shall Fund may exclude any amounts that it such a primary mission, the Fund will be an entity whose predominant determines are not available to promote consider whether the activities of the business activity is the provision, in an Awardee’s performance goals and the Applicant and its Affiliates are arms-length transactions, of loans, purposes of the CDFI Program. principally directed: Development Investments, and/or (f) Retained earnings accumulated (A) Within the geographic boundaries similar financing. An Applicant can after the end of the Applicant’s most of an Investment Area(s); demonstrate that it is such an entity if recent fiscal year ending prior to the (B) To members of a Targeted it is a(n): appropriate application deadline may Population(s); (A) Depository Institution Holding not be used as matching funds. (C) To projects that provide Company; significant benefits to residents of an (B) Insured Depository Institution or Subpart GÐApplications for Investment Area(s) or members of a Insured Credit Union; or Assistance Targeted Population(s); or (C) Organization which is deemed by (D) To any combination of the above. the Fund to have such a predominant § 1805.700 Notice of Funds Availability. The Fund may consider other factors, business activity as a result of analysis Each Applicant shall submit an either in the alternative or in addition of its financial statements, annual application for financial or technical to those mentioned above, as it deems reports, organizing documents, and any assistance under this part in accordance appropriate. other information submitted as part of with these regulations and the (ii) Using indicators selected by the its application. In conducting such applicable NOFA published in the Applicant that are appropriate given the analysis, the Fund may take into Federal Register. The NOFA will advise nature of the products and services it consideration an Applicant’s potential Applicants on how to obtain (and its Affiliates) offers, an Applicant institutional type, total asset size, and an application packet and will establish shall provide information pertinent to stage of organizational development. deadlines and other requirements. The an evaluation of whether the activities (ii) An Applicant described under: NOFA may specify any limitations, of the Applicant and each Affiliate, (A) Paragraph (b)(4)(i)(A) of this special rules, procedures, and when viewed collectively (as a whole), section shall submit a copy of its restrictions for a particular funding are principally directed in the manner organizing documents that indicate that round. After receipt of an application, described in paragraph (b)(1)(i) of this it is a Depository Institution Holding the Fund may request clarifying or section. Company; technical information on the materials (iii) An Applicant shall provide the (B) Paragraph (b)(4)(i)(B) of this submitted as part of such application. information requested in paragraph section shall submit a copy of its current (b)(1)(ii) of this section in accordance certificate of insurance issued by the § 1805.701 Application contents. with paragraph (c) of this section. Federal Deposit Insurance Corporation Unless otherwise specified in an (2) Target markets. Using the or the National Credit Union applicable NOFA, each application information in paragraph (b)(1) of this Administration; and must contain the information specified section that is submitted for the (C) Paragraph (b)(4)(i)(C) of this in the application packet including the Applicant (excluding information on section shall submit a copy of its items specified in this section. To any Affiliates), an Applicant shall balance sheets and income and expense 16454 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations statements (and any notes or other (c) Time of operation. At the time of capitalization projections, estimates of supplemental information to its submission of an application, an the volume of new activity to be financial statements) as described in Applicant that has been in operation for: achieved assuming that assistance is paragraph (d)(2)(i) of this section which (1) Three years or more shall submit provided by the Fund, and a description clearly document its assets, liabilities, information on its activities (as of any assumptions that underlie its and net worth that are dedicated to described in paragraphs (b)(1), (2) and projections. lending and Development Investments (10) of this section) and financial (iii) Financial statements. (A) An and an explanation of how such assets, statements (as described in paragraph Applicant shall submit: liabilities and net worth support these (d)(2)(i) of this section) for the three (1) Audited financial statements; activities. An Applicant shall provide most recent fiscal years; (2) Financial statements that have the information specified in this (2) For more than one year, but less been reviewed by a certified public paragraph (b)(4)(ii)(C) for such periods than three years, shall submit accountant; or as specified in paragraph (c) of this information on its activities (as (3) Financial statements that have section. described in paragraphs (b)(1), (2) and been reviewed by the Applicant’s (5) Development Services. An (10) of this section) and financial Appropriate Federal Banking Agency. (B) All financial statements must Applicant shall submit a summary statements (as described in paragraph utilize accrual based accounting description of the Development Services (d)(2)(i) of this section) for each full methods. All historic financial to be offered, the expected provider of fiscal year since its inception; or (3) For less than one year (including statements shall be reported on the basis such services, and information on the a start-up organization), shall submit of the Applicant’s fiscal year. persons expected to use such services. information on its activities and (iv) Financial management policies. (6) Accountability. An Applicant shall financial statements as described in An Applicant shall submit information describe how it has and will maintain paragraph (d) of this section. on its financial management policies accountability to the residents of the (d) Comprehensive Business Plan. An that describe its methodologies for Investment Area(s) or Targeted Applicant shall submit a five-year underwriting and approving loans and Population(s) it serves. Comprehensive Business Plan that investments and managing and (7) Non-government. An Applicant addresses the items described in this monitoring its portfolio, internal shall submit articles of incorporation (or paragraph (d). The Comprehensive operations, and capitalization needs. comparable organizing documents), Business Plan shall demonstrate that the (3) Management capacity. An charter, bylaws, or other legal Applicant shall have the capacity to Applicant shall provide information on documentation or opinions sufficient to operate as a CDFI upon receiving the background and capacity of its verify that it is not a government entity. financial assistance from the Fund management team, including the (8) Ownership. An Applicant shall pursuant to this part. The Plan should relevant background and expertise of submit information indicating the include projections that are appropriate management (such as resumes or portion of shares of all classes of voting given an Applicant’s current and statements of personal history), key stock that are held by each Insured anticipated organizational type, total personnel and governing board Depository Institution or Depository asset size, and stage of organizational members, if appropriate. The Applicant Institution Holding Company investor development. shall also provide information on any (if any). (1) Executive summary. An Applicant training or technical assistance needed (9) Previous Awardees. In the case of shall provide an executive summary of to enhance the capacity of the an Applicant that has previously the Comprehensive Business Plan organization to successfully carry out its received assistance under this part, the which includes a description of the Comprehensive Business Plan. Applicant shall demonstrate that it: institution (including relationships to (4) Market analysis. An Applicant (i) Has substantially met its any Affiliates), markets served or to be shall provide an analysis of its target performance goals and other served, community needs, and other markets. An Applicant must: requirements described in its previous pertinent information. (i) Describe its proposed target Assistance Agreement(s); and (2) Financial performance.—(i) market(s), including a description of the Historic performance. An Applicant characteristics of the Investment Area(s) (ii) Will expand its operations into a shall submit historic financial (e.g., location, boundaries, economic new Investment Area(s), serve a new statements for such periods as specified characteristics, relationships to Targeted Population(s), offer more in paragraph (c) of this section. Such Metropolitan, non-Metropolitan, or products or services, or increase the statements should include balance regional markets) or Targeted volume of its activities. sheets, income and expense statements, Population(s) (e.g., number of persons, (10) Previous history. An Applicant and a capitalization statement (which income, and other socio-economic with a prior history of serving includes information on changes in characteristics), its methodology for Investment Area(s) or Targeted capital structure and funding from selecting such target market(s), the size Population(s) shall: outside sources) for the Applicant. The of the market(s), and any relevant (i) Describe its activities, operations Applicant shall provide information market trends; and community benefits created for necessary to assess trends in financial (ii) Describe the products and services residents of the Investment Area(s) or and operating performance (e.g., (and corresponding pricing) it proposes Targeted Population(s) for such periods portfolio delinquencies, defaults and to provide and analyze the as described in paragraph (c) of this charge-offs, origination volume and competitiveness of such products and section; and volume of loans closed, annual or services in the target market(s); and (ii) Demonstrate that the Applicant cumulative operating ratios). (iii) Identify and analyze any will expand its operations into a new (ii) Future projections. An Applicant characteristics of the target market(s) Investment Area(s), serve a new Target shall submit projections for each of the that will create opportunities or present Population(s), offer more products or next five years which includes balance impediments for its products, services services, or increase the volume of its sheet projections, income and expense and overall market strategy (e.g., activities. projections, operating budgets, economic conditions, perceived or Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16455 documented credit needs or Financial term leases, and dollar amount of application with a Community Partner, Service needs, market activity, Community Facility loan originations); the Applicant shall: neighborhood perceptions, government (iv) The Applicant’s activities will (i) Describe how the Applicant and services or delivery systems, community promote affordable housing (e.g., the Community Partner will participate institutions, or strength of the number of affordable rental units, dollar in carrying out the Community employment base). amount of affordable rental housing Partnership and how the partnership (5) Strategy. An Applicant shall loans originated, information on the will enhance activities serving the describe its strategy for delivering its demand for such housing (e.g., market Investment Area(s) or Targeted products and services to its target vacancy rates, number of people on Population(s); market(s). An Applicant may also public and assisted housing waiting (ii) Demonstrate that the Community describe any product or service lists), information on the type of size of Partnership activities are consistent development activities that are units and the people who will reside in with the Comprehensive Business Plan; necessary before undertaking its strategy such units (e.g., families, special needs (iii) Provide information necessary to including the nature, scope, cost, populations), number of homes evaluate such an application as timing, and risks of such activities. An purchased and dollar amount of home described under § 1805.802(b)(4); Applicant shall also describe ownership loan originations)); (iv) Include a copy of any written anticipated incremental increases in (v) The Applicant will provide agreement between the Applicant and activity to be achieved with assistance Development Services (as measured by the Community Partner related to the provided by the Fund and matching the number of individuals that will Community Partnership; and funds. receive Development Services); and (v) Provide information to (6) Coordination strategy. An (vi) The Applicant will provide demonstrate that the Applicant meets Applicant shall describe: Financial Services (as measured by the the eligibility requirements described in (i) Its plan to coordinate use of number of new customers of Financial § 1805.200 and satisfies the selection assistance from the Fund with existing Services (e.g., individuals opening criteria described in subpart H of this Federal, State, local, and tribal checking and savings accounts). In part. (A Community Partner shall not be government assistance programs and addition, the Applicant shall provide required to meet the eligibility private sector resources; such other indicators as deemed requirements described in § 1805.200.) (ii) How its proposed activities are appropriate by the Applicant or the (e) Matching funds. (1) An Applicant consistent with existing economic, Fund. shall submit a detailed description of its community and housing development (8) Community need. An Applicant plans for raising matching funds and plans adopted for an Investment Area(s) may provide information on the extent likely or committed sources of funds to or Targeted Population(s); and of economic distress within its match the amount of financial (iii) How it will coordinate with Investment Area(s) or needs of its assistance requested from the Fund. An community organizations, financial Targeted Population(s) to supplement Applicant shall indicate the extent to institutions, and Community Partners (if the data required pursuant to subpart C which such matching funds will be applicable) which will provide loans, of this part and paragraph (b)(3) of this derived from private, nongovernment equity investments, secondary markets, section. Such information may be from sources. or other services to an Investment sources other than the 1990 decennial (2) An Applicant shall submit a Area(s) or a Targeted Population(s). census. description of any matching funds (7) Projected community impact. An (9) Funding sources. An Applicant previously obtained or legally Applicant shall provide an estimate of shall provide information: committed. Such description shall the benefits expected to be created (i) On its current and projected include the name of the source, total within its Investment Area(s) or sources of capital and other financial amount of such match, the date the Targeted Population(s) over the next support; matching funds were obtained or legally five years, as indicated by the extent to (ii) To demonstrate that it has a plan committed, if applicable, the extent to which: for achieving or maintaining financial which, and for what purpose, such (i) The Applicant will concentrate its viability within the five-year period; matching funds have been used to date, activities within an Investment Area(s) and and terms and restrictions on use for or among Targeted Population(s); (iii) To demonstrate that it will, to the each matching source, including any (ii) The Applicant’s activities will maximum extent appropriate, increase restriction that might reasonably be expand economic opportunity (e.g., self-sufficiency. Such information shall construed as a limitation on the ability number of jobs created, jobs retained, demonstrate that the Applicant will not of the Applicant to use the funds for businesses financed, business be dependent upon future awards from matching purposes. The application ownership opportunities facilitated, the Fund for continued viability. shall include copies of any agreements, residents of Investment Area(s) or (10) Risks and assumptions. An memoranda of understanding, letters of members of Targeted Population(s) Applicant shall identify and discuss intent, or similar documents pertaining employed, number or dollar amount of critical risks (including strategies to to matching funds. business loans and investment mitigate risk) and assumptions (3) If an Applicant intends to use originations); contained in its Comprehensive retained earnings to meet the matching (iii) The Applicant’s activities will Business Plan, and any significant funds requirements, it shall provide the facilitate revitalization (e.g., number of impediments to the Plan’s information described in paragraph square feet of commercial space implementation. (d)(2)(iii) of this section and a copy of financed, dollar amount of commercial (11) Schedule. An Applicant shall its tax returns for the same period, or, real estate loan originations, indicators provide a schedule indicating the timing in the case of an Insured Credit Union, of demand for such commercial space of major events necessary to realize the a copy of its most recent Form 5300 that (e.g., market vacancy rates, pre-leased objectives of its Comprehensive has been submitted to the National tenants, number of long term leases), Business Plan. Credit Union Administration. The number and square feet of Community (12) Community Partnership. In the Applicant shall submit a certification Facility space financed, number of long case of an Applicant submitting an from its governing body: 16456 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(i) As to the amount and form of § 1805.801 Geographic diversity. Investment Area(s) or Targeted retained earnings available as matching In selecting Awardees, the Fund shall Population(s); funds; and seek to fund a geographically diverse (iii) The extent of need for loans, (ii) That such earnings will be used group of Applicants serving equity investments, Development for the purposes described in its Metropolitan Areas, non-Metropolitan Services, and Financial Services within application. Areas, and Indian Reservations from the designated Investment Area(s) or (4) If the Applicant is requesting a different regions of the United States. Targeted Population(s); ‘‘severe constraints waiver’’ of any (iv) The extent to which the activities matching requirements, it shall submit § 1805.802 Evaluation of Applications. proposed in the Comprehensive the information requested in § 1805.602. (a) Eligibility and Completeness. An Business Plan will expand economic (f) Support. An Applicant shall Applicant will not be eligible to receive opportunities or promote community provide information to demonstrate the assistance pursuant to this part if it fails development within the designated extent of support (if any) within the to meet the eligibility requirements Investment Area(s) or Targeted Investment Area(s) or Targeted described under § 1805.200 or if it has Population(s); Population(s) for its activities. not submitted complete application (v) The extent of support from the (g) Community Ownership and materials. For the purposes of this designated Investment Area(s) or Governance. An Applicant shall provide paragraph (a), the Fund reserves the Targeted Population(s); information to demonstrate whether it is right to request additional or (vi) The extent to which an Applicant Community-Owned or Community- supplemental information from the is, or will be, Community-Owned or Governed. Applicant, if it deems it appropriate. Community-Governed; (h) Conflict of interest. An Applicant (b) Substantive Review. In evaluating (vii) The extent to which an Applicant shall submit a copy of its conflict of and selecting Applicants, the Fund will will increase its resources through such interest policies that are consistent with evaluate factors including the following: means as a Community Partnership, the requirements of § 1805.906. (1) Financial Strength and participation in the secondary market, (i) Environmental information. The Organizational Capacity. The Fund will and coordination with other institutions Applicant shall provide sufficient examine several criteria in evaluating (e.g., a local Empowerment Zone or information regarding the potential financial and organizational capacity Enterprise Community coordinating environmental impact of its proposed and an Applicant’s likelihood of success entity); activities in order for the Fund to in meeting the goals of its (viii) The extent and nature of the complete its environmental review Comprehensive Business Plan. These potential community development requirements pursuant to part 1815 of criteria will include the experience, impact that will be catalyzed by the this chapter. strength and background of an Fund’s assistance, relative to the (j) Applicant certification. The Applicant’s management team and other amount of such assistance to be Applicant and Community Partner (if key personnel, the quality of its provided; and applicable) shall certify that: financial management policies and (ix) In the case of an Applicant with (1) It possesses the legal authority to practices, the breadth and depth of its a prior history of serving Investment apply for assistance from the Fund; financial resources, the quality of its Area(s) or Targeted Population(s), the (2) The application has been duly Comprehensive Business Plan, and extent of success in serving them. authorized by its governing body and trends in financial and operating (4) Community Partnerships. duly executed; performance. Community Partnerships will be (3) It will not use any Fund resources (2) External resources. The Fund will evaluated based on the extent to which for lobbying activities as set forth in evaluate the extent of external resources the Applicant and Community Partner § 1805.907; and available to an Applicant based on: meet the factors described in paragraphs (4) It will comply with all relevant (i) The amount of firm commitments (b)(1), (2) and (3) of this section and provisions of this chapter and all to meet or exceed the matching giving consideration to the extent to applicable Federal, State, and local requirements and the likely success of which: laws, ordinances, regulations, policies, the plan for raising the balance of the (i) The Community Partner will guidelines, and requirements. matching funds in a timely manner; participate in carrying out the activities Subpart HÐEvaluation and Selection (ii) The extent to which the matching of the Community Partnership; of Applications funds are, or will be, derived from (ii) The Community Partnership will private sources or new investments; enhance the likelihood of success of the § 1805.800 Evaluation and selectionÐ (iii) Whether an Applicant is, or will Comprehensive Business Plan; and general. become, an Insured CDFI; and (iii) Service to an Investment Area(s) Applicants will be evaluated and (iv) The extent to which an Awardee or Targeted Population(s) will be better selected, at the sole discretion of the will use assistance to expand the funds performed by a Community Partnership Fund, to receive assistance based on a available for lending and equity than by an Applicant alone. review process, that could include an investments beyond the sum of the (5) Other factors. The Fund may interview(s), that is intended to: award and the matching funds. consider any other factors with respect (a) Ensure that Applicants are (3) Community impact. The Fund will to any application as it deems evaluated on a competitive basis in a evaluate an application’s community appropriate. fair and consistent manner; impact based on: (c) Consultation with Appropriate (b) Ensure that all Awardees satisfy (i) The extent of economic distress Federal Banking Agencies. The Fund quality standards; and within the designated Investment shall consult with, and consider the (c) Take into consideration the unique Area(s) or the extent of need within the views of, the Appropriate Federal characteristics of institutions that vary designated Targeted Population(s), as Banking Agency prior to providing by institution type, total asset sizes, those factors are measured by objective assistance to: stage of organizational development, criteria; (1) An Insured CDFI; markets served, products and services (ii) The extent to which an Applicant (2) A CDFI that is examined by or provided, and location. will concentrate its activities on serving subject to the reporting requirements of Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16457 an Appropriate Federal Banking (1) Require changes in the Area(s) includes an Indian Reservation Agency; or performance goals set forth in the or Targeted Population(s) includes an (3) A CDFI that has as its Community Assistance Agreement; Indian Tribe, the Fund shall consult Partner an institution that is examined (2) Require changes in the Awardee’s with, and seek input from, the by, or subject to, the reporting Comprehensive Business Plan; appropriate tribal government. requirements of an Appropriate Federal (3) Revoke approval of the Awardee’s (g) Prior to imposing any sanctions Banking Agency. application; pursuant to this section or an Assistance (4) Reduce or terminate the Awardee’s (d) Awardee selection. The Fund will Agreement, the Fund shall, to the assistance; maximum extent practicable, provide select Awardees based on the criteria (5) Require repayment of any described in paragraph (b) of this the Awardee (or the Community assistance that has been distributed to Partner, if applicable) with written section and any other criteria set forth the Awardee; in this part or the applicable NOFA. notice of the proposed sanction and an (6) Bar the Awardee (and the opportunity to comment. Nothing in Community Partner, if applicable) from Subpart IÐTerms and Conditions of this section, however, shall provide an reapplying for any assistance from the Assistance Awardee or Community Partner with Fund; or the right to any formal or informal (7) Take any other action as permitted § 1805.900 Safety and soundness. hearing or comparable proceeding not by the terms of the Assistance otherwise required by law. (a) Regulated institutions. Nothing in Agreement. this part, or in an Assistance Agreement, (d) In the case of an Insured § 1805.902 Disbursement of funds. shall affect any authority of an Depository Institution, the Assistance Appropriate Federal Banking Agency to Assistance provided pursuant to this Agreement shall provide that the part may be provided in a lump sum or supervise and regulate any institution or provisions of the Act, this part, and the company. over a period of time, as determined Assistance Agreement shall be appropriate by the Fund. The Fund (b) Non-Regulated CDFIs. The Fund enforceable under section 8 of the will, to the maximum extent practicable, shall not provide any assistance (other Federal Deposit Insurance Act by the than technical assistance) under this ensure that Awardees that are Non- Appropriate Federal Banking Agency Regulated CDFIs are financially and part until an Awardee has satisfied any and that any violation of such conditions set forth in its Assistance managerially sound and maintain provisions shall be treated as a violation Agreement and has secured firm appropriate internal controls. of the Federal Deposit Insurance Act. commitments for the matching funds Nothing in this paragraph (d) precludes § 1805.901 Assistance Agreement; required for such assistance. At a the Fund from directly enforcing the sanctions. minimum, a firm commitment must Assistance Agreement as provided for consist of a binding written agreement (a) Prior to providing any assistance, under the terms of the Act. the Fund and an Awardee shall execute (e) The Fund shall notify the between an Awardee and the source of an Assistance Agreement that requires Appropriate Federal Banking Agency the matching funds that is conditioned an Awardee to comply with before imposing any sanctions on an only upon the availability of the Fund’s performance goals and abide by other Insured CDFI or other institution that is assistance and such other conditions as terms and conditions of assistance. Such examined by or subject to the reporting the Fund, in its sole discretion, may performance goals may be modified at requirements of that agency. The Fund deem appropriate. Such agreement must any time by mutual consent of the Fund shall not impose a sanction described in provide for disbursal of the matching and an Awardee or as provided in paragraph (c) of this section if the funds to an Awardee prior to, or paragraph (c) of this section. If a Appropriate Federal Banking Agency, in simultaneously with, receipt by an Community Partner is part of an writing, not later than 30 calendar days Awardee of the Federal funds. application that is selected for after receiving notice from the Fund: § 1805.903 Data collection and reporting. assistance, such partner must be a party (1) Objects to the proposed sanction; (a) Data—general. An Awardee (and a to the Assistance Agreement if deemed (2) Determines that the sanction Community Partner, if appropriate) appropriate by the Fund. would: shall maintain such records as may be (b) An Awardee shall comply with (i) Have a material adverse effect on the safety and soundness of the prescribed by the Fund which are performance goals that have been necessary to: negotiated with the Fund and which are institution; or (ii) Impede or interfere with an (1) Disclose the manner in which based upon the Comprehensive Fund assistance is used; Business Plan submitted as part of the enforcement action against that institution by that agency; (2) Demonstrate compliance with the Awardee’s application. Performance (3) Proposes a comparable alternative requirements of this part and an goals for Insured CDFIs shall be action; and Assistance Agreement; and determined in consultation with the (4) Specifically explains: (3) Evaluate the impact of the CDFI Appropriate Federal Banking Agency. (i) The basis for the determination Program. Such goals shall be incorporated in, and under paragraph (e)(2) of this section (b) Customer profiles. An Awardee enforced under, the Awardee’s and, if appropriate, provides (and a Community Partner, if Assistance Agreement. documentation to support the appropriate) shall compile such data on (c) The Assistance Agreement shall determination; and the gender, race, ethnicity, national provide that, in the event of fraud, (ii) How the alternative action origin, or other information on mismanagement, noncompliance with suggested pursuant to paragraph (e)(3) individuals that utilize its products and the Fund’s regulations or of this section would be as effective as services as the Fund shall prescribe in noncompliance with the terms and the sanction proposed by the Fund in an Assistance Agreement. Such data conditions of the Assistance Agreement securing compliance and deterring will be used to determine whether on the part of the Awardee (or the future noncompliance. residents of Investment Area(s) or Community Partner, if applicable), the (f) In reviewing the performance of an members of Targeted Population(s) are Fund, in its discretion, may: Awardee in which its Investment adequately served. 16458 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations

(c) Access to records. An Awardee (iii) Qualitative and quantitative under this section to the extent (and a Community Partner, if information on an Awardee’s practicable to eliminate duplicative appropriate) must submit such financial compliance with its performance goals requests for information and reports and activity reports, records, statements, and (if appropriate) an analysis of from, and record keeping by, an Insured and documents at such times, in such factors contributing to any failure to CDFI or other institution that is forms, and accompanied by such meet such goals; examined by or subject to the reporting reporting data, as required by the Fund (iv) Information describing the requirements of an Appropriate Federal or the U.S. Department of Treasury to manner in which Fund assistance and Banking Agency. ensure compliance with the any corresponding matching funds were (4) Notwithstanding paragraphs (f)(1) requirements of this part and to evaluate used. The Fund will use such and (2) of this section, the Fund may the impact of the CDFI Program. The information to verify that assistance was require an Insured CDFI or other United States Government, including used in a manner consistent with the institution that is examined by or the U.S. Department of Treasury, the Assistance Agreement; subject to the reporting requirements of Comptroller General, and their duly (v) Certification that an Awardee an Appropriate Federal Banking Agency authorized representatives, shall have continues to meet the eligibility to provide information with respect to full and free access to the Awardee’s requirements described in § 1805.200; the institution’s implementation of its offices and facilities and all books, and Comprehensive Business Plan or documents, records, and financial (vi) Its most recent audited financial compliance with the terms of its statements relating to use of Federal statements prepared by an independent Assistance Agreement, after providing funds and may copy such documents as certified public accountant. Such notice to the Appropriate Federal they deem appropriate. The Fund, if it statements shall cover the operations of Banking Agency. deems appropriate, may prescribe the Awardee’s most recently completed (5) Nothing in this part shall be access to record requirements for fiscal year. The audit shall be conducted construed to permit the Fund to require entities that are borrowers of, or that in accordance with generally accepted an Insured CDFI or other institution that receive investments from, an Awardee. Government Auditing Standards set is examined by or subject to the (d) Retention of records. An Awardee forth in the General Accounting Office’s reporting requirements of a Appropriate shall comply with all record retention Government Auditing Standards (1994 Federal Banking Agency to obtain, requirements as set forth in OMB Revision) issued by the Comptroller maintain, or furnish an examination Circular A–110 (as applicable). General and OMB Circular A–133 report of any Appropriate Federal (e) Review. (1) At least annually, the (‘‘Audits of Institutions of Higher Banking Agency or records contained in Fund will review the progress of an Education and Other Nonprofit or related to such report. Awardee (and a Community Partner, if Institutions’’), as applicable. (6) The Fund and the Appropriate appropriate) in implementing its (4) The Fund shall make reports Federal Banking Agency shall promptly Comprehensive Business Plan and described in paragraph (e)(2) and (e)(3) notify each other of material concerns satisfying the terms and conditions of its of this section available for public about an Awardee that is an Insured Assistance Agreement. inspection after deleting any materials CDFI or that is examined by or subject (2) An Awardee shall submit a report necessary to protect privacy or to the reporting requirements of an within 45 days after the end of each proprietary interests. Appropriate Federal Banking Agency, calendar quarter, or within some other (f) Exchange of information with and share appropriate information period after the end of each calendar Appropriate Federal Banking Agencies. relating to such concerns. quarter as may be agreed to in the (1) Except as provided in paragraph (7) Neither the Fund nor the Assistance Agreement, with information (f)(4) of this section, prior to directly Appropriate Federal Banking Agency on, unless otherwise determined by requesting information from or shall disclose confidential information mutual agreement between the Awardee imposing reporting or record keeping obtained pursuant to this section from and the Fund, the performance of its requirements on an Insured CDFI or any party without the written consent of loans, Development Investments, other institution that is examined by or that party. Development Services, and Financial subject to the reporting requirements of (8) The Fund, the Appropriate Federal Services in the previous quarter, and an Appropriate Federal Banking Banking Agency, and any other party unaudited financial statements. Such Agency, the Fund shall consult with the providing information under this report shall include key indicators of Appropriate Federal Banking Agency to paragraph (f) of this section shall not be portfolio performance, including determine if the information requested deemed to have waived any privilege volume of originations, delinquencies, is available from or may be obtained by applicable to the any information or and defaults, and charge-offs for the such agency in the form, format, and data, or any portion thereof, by previous quarter. detail required by the Fund. providing such information or data to (3) An Awardee shall submit a report (2) If the information, reports, or the other party or by permitting such within 60 days after the end of each records requested by the Fund pursuant data or information, or any copies or Federal fiscal year, or by such to paragraph (f)(1) of this section are not portions thereof, to be used by the other alternative deadline as may be agreed to provided by the Appropriate Federal party. in the Assistance Agreement, with: Banking Agency within 15 calendar (g) Availability of referenced (i) Information on its customer profile days after the date on which the publications. The publications and the performance of its loans, material is requested, the Fund may referenced in this section are available Development Investments, Development request the information from or impose as follows: Services, and Financial Services for the the record keeping or reporting (1) OMB Circulars may be obtained previous year; requirements directly on such from the Office of Administration, (ii) Information on its portfolio institutions with notice to the Publications Office, 725 17th Street, performance, including volume of Appropriate Federal Banking Agency. NW., Room 2200, New Executive Office originations, delinquencies, and (3) The Fund shall use any Building, Washington, DC 20503; and defaults and charge-offs for the previous information provided by the (2) General Accounting Office year; Appropriate Federal Banking Agency materials may be obtained from GAO Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Rules and Regulations 16459

Distribution, 700 4th Street, NW., Suite (iii) The Board of Directors or other modification of any State or local 1100, Washington, DC 20548. governing body of the Awardee shall government contract, grant, loan or approve the extension of the credit; and cooperative agreement as such terms are § 1805.904 Information. (iv) The credit must be provided in defined in 31 U.S.C. 1352. The Fund and each Appropriate accordance with a policy regarding Federal Banking Agency shall cooperate credit to Insiders that has been § 1805.908 Criminal provisions. and respond to requests from each other approved in advance by the Fund. The criminal provisions of 18 U.S.C. and from other Appropriate Federal (2) An Awardee that is an Insured 657 regarding embezzlement or Banking Agencies in a manner that CDFI or a Depository Institution misappropriation of funds are ensures the safety and soundness of the Holding Company shall comply with applicable to all Awardees and Insiders. Insured CDFIs or other institution that the restrictions on Insider activities and is examined by or subject to the any comparable restrictions established § 1805.909 Fund deemed not to control. reporting requirements of an by its Appropriate Federal Banking The Fund shall not be deemed to Appropriate Federal Banking Agency. Agency. control an Awardee by reason of any (b) Awardee standards of conduct. An assistance provided under the Act for § 1805.905 Compliance with government Awardee that is a Non-Regulated CDFI the purpose of any applicable law. requirements. shall maintain a code or standards of In carrying out its responsibilities conduct acceptable to the Fund that § 1805.910 Limitation on liability. pursuant to an Assistance Agreement, shall govern the performance of its The liability of the Fund and the the Awardee shall comply with all Insiders engaged in the awarding and United States Government arising out of applicable Federal, State, and local administration of any credit (including any assistance to a CDFI in accordance laws, regulations, and ordinances, OMB loans and Development Investments) with this part shall be limited to the Circulars, and Executive Orders. and contracts using monies from the amount of the investment in the CDFI. Fund. No Insider of an Awardee shall The Fund shall be exempt from any § 1805.906 Conflict of interest solicit or accept gratuities, favors or requirements. assessments and other liabilities that anything of monetary value from any may be imposed on controlling or (a) Provision of credit to Insiders. (1) actual or potential borrowers, owners or An Awardee that is a Non-Regulated principal shareholders by any Federal contractors for such credit or contracts. law or the law of any State. Nothing in CDFI may not use any monies provided Such policies shall provide for to it by the Fund to make any credit this section shall affect the application disciplinary actions to be applied for of any Federal tax law. (including loans and Development violation of the standards by the Investments) available to an Insider Awardee’s Insiders. § 1805.911 Fraud, waste and abuse. unless it meets the following Any person who becomes aware of restrictions: § 1805.907 Lobbying restrictions. the existence or apparent existence of (i) The credit must be provided No assistance made available under fraud, waste or abuse of assistance pursuant to standard underwriting this part may be expended by an provided under this part should report procedures, terms and conditions; Awardee to pay any person to influence such incidences to the Office of (ii) The Insider receiving the credit, or attempt to influence any agency, Inspector General of the U.S. and any family member or business elected official, officer or employee of a Department of the Treasury. partner thereof, shall not participate in State or local government in connection any way in the decision making with the making, award, extension, [FR Doc. 97–8783 Filed 4–2–97; 1:09 pm] regarding such credit; continuation, renewal, amendment, or BILLING CODE 4810±70±P 16460 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices

DEPARTMENT OF THE TREASURY of loans must be charged against receive assistance to expand their appropriated funds, the actual aggregate activities. This Notice invites Community Development Financial amount of awards is likely to be applications from eligible applicants for Institutions Fund somewhat higher than the amount of the purpose of promoting community appropriated funds that are obligated.) development activities and Notice of Funds Availability (NOFA) DATES: Applications may be submitted revitalization. Inviting Applications for the at any time following April 4, 1997. The The Fund has determined that it can Community Development Financial deadline for receipt of an application is best address the needs of the diverse Institutions (CDFI) ProgramÐCore 6 p.m. Eastern Standard Time on Friday, and growing CDFI industry by Component June 20, 1997. Applications received expanding the tools it utilizes to assist CDFIs. The program connected with this AGENCY: Community Development after that date and time will not be Notice constitutes the core component Financial Institutions Fund, Department accepted and will be returned to the of the CDFI Program, involving direct of the Treasury. sender. Applications sent by facsimile will not be accepted. assistance to CDFIs that serve their ACTION: Notice of Funds Availability target markets through loans, (NOFA) inviting applications. ADDRESSES: Applications must be sent to: The Community Development investments and other activities, rather than primarily through the financing of SUMMARY: The Community Development Financial Institutions Fund, U.S. Banking and Financial Institutions Act Department of the Treasury, 1500 other CDFIs. For the foreseeable future, this core component will receive the of 1994 (12 U.S.C. 4701 et seq.) Pennsylvania Avenue, NW., great bulk of the Fund’s resources (hereafter referred to as the ‘‘Act’’) Washington, DC 20220. devoted to the CDFI Program. However, provides authority for the Community FOR FURTHER INFORMATION CONTACT: The the Fund recognizes that many CDFIs Development Financial Institutions Community Development Financial may have specialized needs which the Fund (hereafter referred to as ‘‘the Institutions Fund, U.S. Department of Fund can most effectively address by Fund’’) to select and provide financial the Treasury, 1500 Pennsylvania supporting intermediary CDFIs that, in and technical assistance to eligible Avenue, NW., Washington, DC 20220, turn, address such specialized needs. applicants under the Community (202) 622–8662. (This is not a toll free Thus, to expand its reach, and better Development Financial Institutions number.) If you have any questions address the varied needs of the CDFI about the regulations, this Notice or the (‘‘CDFI’’) Program. The revised interim industry, the Fund is also having application packet, you may call or rule (12 CFR part 1805), published published elsewhere in this issue of the write to the Fund at the above telephone elsewhere in this issue of the Federal Federal Register a separate Notice number or address, or you may send Register, provides guidance on the containing an intermediary component questions by facsimile to (202) 622– contents of the necessary application of the CDFI Program. This intermediary 7754. To request an application packet, materials and program requirements. As component is also being published please send by facsimile a written of the date of this Notice and subject to pursuant to the revised interim rule (12 request which includes the name of the funding availability, the Fund intends to CFR part 1805). An applicant under the requester, organization, mailing address, award up to $32.5 million in intermediary component Notice shall telephone number and facsimile appropriated funds pursuant to this meet the eligibility requirements under number. Requests for an application Notice. The Fund reserves the right to § 1805.200. An additional requirement packet should be sent by facsimile to award in excess of $32.5 million in imposed upon each intermediary (202) 622–2599, which is the facsimile appropriated funds pursuant to this component applicant pursuant to number being used to received requests Notice provided that the funds are § 1805.200(a)(3) is that it must primarily for an application packet. available and the Fund deems it focus on financing CDFIs or CDFIs in appropriate to do so. This Notice is in SUPPLEMENTARY INFORMATION: formation. To illustrate the concept, an connection with the core component of I. Background intermediary CDFI may have a the CDFI Program. The core component specialized niche or niches focusing on provides direct assistance to CDFIs that Credit and investment capital are financing a specific type or types of serve their target markets through loans, essential ingredients in creating and CDFIs, providing small amounts of investments and other activities, rather retaining jobs, developing affordable capital per CDFI, financing CDFIs with than primarily through the financing of housing, starting or expanding specialized risk levels, or financing other CDFIs. Also being published businesses, revitalizing neighborhoods, CDFIs being formed or organized but elsewhere in this issue of the Federal and empowering people. As a key urban which are not yet CDFIs. By providing Register is a separate Notice in and rural policy initiative, the CDFI financial assistance to specialized connection with an intermediary Program is facilitating the creation of a intermediaries, the Fund believes it can component of the CDFI Program. The national network of financial leverage the expertise of such intermediary component provides institutions that are specifically intermediaries and strengthen the financial assistance to CDFIs that dedicated to community development. Fund’s capacity to support the provide financing primarily to other This strategy will build strong development and enhancement of the CDFIs and/or to support the formation institutions that make loans and CDFI industry. of CDFIs. The Fund currently investments and provide services to anticipates making available up to $7.5 economically distressed investment II. Eligibility million of appropriated funds for the areas and disadvantaged targeted The Act specifies the requirements intermediary component, making up to populations. The Act, enacted to that each applicant must meet in order $40 million the estimated aggregate implement this vision, authorizes the to be considered a CDFI. Entities that amount of appropriated funds available Fund to select entities to receive meet, or propose to meet, these under the CDFI Program pursuant to the financial and technical assistance. New requirements are eligible to apply for Notices being published in this issue of institutions are eligible to receive start- assistance. In general, a CDFI must have the Federal Register. (Since only the up assistance. Institutions in operation a primary mission of promoting subsidy cost, and not the face amount, at the time of application are eligible to community development, provide Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16461 lending or investments, serve an obtained or legally committed on or to organizations interested in applying investment area or a targeted after January 1, 1996. Applicants for assistance pursuant to this Notice. If population, provide development selected to receive assistance under this you wish to be on a mailing list to services, maintain community Notice must have firm commitments for receive information about the accountability, and be a nongovernment the matching funds required pursuant to scheduling of such workshops, please entity. The details of these requirements § 1805.600 by no later than August 31, contact the Fund. and other program requirements are 1997. The Fund may recapture and VIII. Other Matters described in the revised interim rule reprogram funds if an applicant fails to governing the CDFI Program (12 CFR raise the required match by such date. (a) Paperwork Reduction Act. The part 1805) which is published elsewhere The Fund reserves the right to grant an reader should refer to the revised in this issue of the Federal Register. A extension of such matching funds interim rule (12 CFR part 1805) CDFI, or proposed CDFI, whose primary deadline for specific applicants selected published elsewhere in this issue of the focus is financing other CDFIs and/or for assistance if the Fund deems it Federal Register for details on the providing financing to support the appropriate. information collection requirements of formation of CDFIs shall not be eligible the rule and this Notice. to apply pursuant to this Notice, but VI. Selection Factors (b) Environmental Impact. Pursuant to instead may be eligible to apply Applications will be selected on a Treasury Directive 75–02, the pursuant to the Notice on the competitive basis in accordance with Department of the Treasury has intermediary component published criteria described in §§ 1805.800 to determined that implementation of the elsewhere in this issue of the Federal 1805.802. Special emphasis is expected CDFI Program under the revised interim Register. to be placed on: rule is categorically excluded from the (1) The applicant’s track record, National Environmental Policy Act of III. Types of Assistance financial strength, and current 1969 (42 U.S.C. 4332) and does not An applicant may submit an operations; require an environmental review. The application for financial assistance, (2) The capacity, skills, and determination is available for public technical assistance, or both. Financial experience of the management team; inspection between 9:30 a.m. and 4:30 assistance may be provided through an (3) The quality of the applicant’s p.m. weekdays at the office of the Fund. comprehensive business plan; equity investment, a grant, a loan, Authority: 12 U.S.C. 4703, 4717: Chapter deposits, credit union shares, or some (4) The likelihood that the applicant X, Pub. L. 104–19, Stat. 237; 12 CFR combination thereof. Applicants for will be able to raise the required 1805.700. financial assistance shall indicate the matching funds; and Kirsten S. Moy, dollar amount, form, terms, and (5) The extent and nature of the potential community development Director, Community Development Financial conditions of assistance requested. Institutions Fund. impact that would be catalyzed by the Applicants for technical assistance shall [FR Doc. 97–8785 Filed 4–2–97; 1:09 pm] describe the types of technical Fund’s assistance, relative to the assistance requested, estimate the cost amount of such assistance to be BILLING CODE 4810±70±P to obtain such assistance, and provide a provided. The applicant’s track record, financial narrative justification of its needs for Community Development Financial strength and current operations are such assistance. Institutions Fund important to the extent they may be IV. Application Packet suggestive about the prospects for Notice of Funds Availability (NOFA) Except as described hereafter, an success in the future. In the case of a Inviting Applications for the applicant, whether applying for young or start-up institution with no or Community Development Financial financial assistance, technical a limited track record, extra emphasis Institutions (CDFI) ProgramÐ assistance, or both, shall submit the will be placed on the capacity, skills, Intermediary Component materials described in § 1805.701 and and experience of the applicant’s the application packet. To facilitate management team and the quality of its AGENCY: Community Development coherence and avoid duplication, an comprehensive business plan. Financial Institutions Fund, Department applicant may present its application in While previous awardees are eligible of the Treasury. an order and format that it believes to to apply pursuant to this Notice, it is the ACTION: Notice of Funds Availability be the most appropriate, provided that current expectation of the Fund that a (NOFA) inviting applications. the requested information is included substantial majority of the funds and that an index is provided to assist awarded pursuant to this Notice will be SUMMARY: The Community Development the Fund in locating the items requested to applicants that are not previous Banking and Financial Institutions Act by § 1805.701. awardees. Therefore, the Fund may give of 1994 (12 U.S.C. 4701 et seq.) If an applicant is currently certified as additional consideration to applicants (hereafter referred to as the ‘‘Act’’) a CDFI, it may, at its option, submit a that are not previous awardees. provides authority for the Community copy of the letter of certification in lieu The Fund has sole discretion in the Development Financial Institutions of the information requested in Part III, selection of applications for assistance. Fund (hereafter referred to as ‘‘the A through H, of the application packet. The anticipated maximum award per Fund’’) to select and provide assistance However, an applicant should include applicant under this Notice is $2 to eligible applicants under the in its application information that it million. However, the Fund, in its sole Community Development Financial believes is relevant to the substantive discretion, reserves the right to award Institutions (‘‘CDFI’’) Program. The review of the application specified in amounts in excess of $2 million for an revised interim rule (12 CFR part 1805), § 1805.802(b). applicant(s) if it deems it appropriate. published elsewhere in this issue of the Federal Register, provides guidance on V. Matching Funds VII. Workshops the contents of necessary application Applicants pursuant to this Notice The CDFI Fund expects to host materials and program requirements. may use for matching funds monies workshops to disseminate information This Notice is in connection with two 16462 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices competitive rounds of a new ADDRESSES: Applications must be sent advantage of the enormous potential of intermediary component of the CDFI to: The Community Development the growing CDFI industry, it is Program. This intermediary component Financial Institutions Fund, U.S. important that the Fund be on the will provide financial assistance to Department of the Treasury, 1500 cutting edge of innovation by expanding CDFIs that provide financing primarily Pennsylvania Avenue, NW., the tools it utilizes to assist CDFIs. This to other CDFIs and/or to support the Washington, DC 20220. Notice in connection with an formation of CDFIs. The Fund currently FOR FURTHER INFORMATION CONTACT: The intermediary component of the CDFI anticipates making awards of between Community Development Financial Program is one part of a broader effort $5.0 million and $7.5 million in Institutions Fund, U.S. Department of to develop and make available such new appropriated funds pursuant to this the Treasury, 1500 Pennsylvania tools. Notice. Also being published elsewhere Avenue, NW., Washington, DC 20220, The Fund recognizes that there are in in this issue of the Federal Register is (202) 622–8662. (This is not a toll free existence certain intermediary CDFIs, a separate Notice in connection with the number.) If you have any questions and others may be created over time, core component of the CDFI Program, about the regulations, this Notice or the that focus their financing activities with respect to which the Fund intends application packet, you may call or primarily on financing other CDFIs. to make available up to $32.5 million in write to the Fund at the above telephone Such institutions may have knowledge appropriated funds. number or address, or you may send and capacity to develop and implement a specialized niche or niches in their DATES/TWO ROUNDS: Applications may questions by facsimile to (202) 622– financing of CDFIs and/or CDFIs in be submitted at any time after April 4, 7754. To request an application packet, formation. The Fund believes that 1997. Applications will be evaluated please send by facsimile a written providing financial assistance to such competitively for the intermediary request which includes the name of the intermediaries can be an effective way component in two separate rounds. For requester, organization, mailing address, to expand its support of the CDFI the first round, the deadline for receipt telephone number and facsimile industry. To illustrate the concept of an of an application is 6 p.m. Eastern number. Requests for an application intermediary CDFI with a few examples, Standard Time on Friday, May 16, 1997. packet should be sent by facsimile to an intermediary may have a specialized For the second round, the deadline for (202) 622–2599, which is the facsimile niche or niches focusing on financing a receipt of an application is 6 p.m. number being used to receive requests specific type or types of CDFIs, for an application packet. Eastern Standard Time on Friday, June providing small amounts of capital per 20, 1997. Applications received after the SUPPLEMENTARY INFORMATION: CDFI, financing CDFIs with specialized deadline for the first round but before I. Background risk levels, or financing institutions the deadline for the second round will seeking to become CDFIs. By providing be considered as part of the second Credit and investment capital are financial assistance to specialized round. Applications received after the essential ingredients in creating and intermediaries, the Fund believes it can deadline for the second round will not retaining jobs, developing affordable leverage the expertise of such be accepted and will be returned to the housing, starting or expanding intermediaries and strengthen the sender. An applicant may apply in each businesses, revitalizing neighborhoods, Fund’s capacity to support the round. Applications sent to the Fund by and empowering people. As a key urban development and enhancement of the facsimile will not be accepted. and rural policy initiative, the CDFI CDFI industry. This Notice invites The Fund anticipates making Program is facilitating the creation of a applications from CDFIs, and available at least $5 million in national network of financial organizations seeking to become CDFIs, appropriated funds pursuant to this institutions that are specifically that are or plan to become such a Notice. If less than $2.5 million in dedicated to community development. specialized intermediary, focusing on appropriated funds is awarded in the This strategy will build strong providing loans to or investments in first round, the amount of available institutions that make loans and other CDFIs and/or to support the funds for the second round will be $5 investments and provide services to formation of CDFIs. This Notice is not million less the amount awarded in the economically distressed investment intended and should not be construed to first round. If $2.5 million or more is areas and disadvantaged targeted allow an applicant to file a joint awarded during the first round, the populations. This Notice is in application on behalf of a group of other amount of available funds for the connection with a new intermediary CDFIs, but rather to provide financial second round will be $2.5 million. As component of the CDFI Program. assistance to intermediaries who have of the date of this Notice, for the two Elsewhere in this issue of the Federal criteria for financing, in arms length rounds combined, the Fund intends to Register, the Fund is publishing a new transactions, other CDFIs and/or to award no more than $7.5 million in Notice of Funds Availability for support the formation of CDFIs. appropriated funds. The Fund reserves financial and technical assistance to This Notice implements the the right to award higher or lower CDFIs pursuant to the direct funding intermediary component by using two amounts in each round, and for the two approach used in the first round. That competitive rounds. This should rounds combined, than the amounts separate Notice is in connection with expedite the ability of intermediary described above, depending on the the core component of the CDFI CDFIs to provide financing to other quality of applications received in each Program, and the Fund anticipates that CDFIs, and should assist the ability of round. for the foreseeable future, the Fund will the intermediary component of the CDFI The anticipated maximum aggregate devote the great bulk of the financial Program to work effectively with the award per applicant under this Notice assistance available for the CDFI core component in a mutually (i.e. for both rounds combined) is $1.25 Program to this core component. In the supportive manner. Many CDFIs will be million. However, the Fund, in its sole separate Notice for the core component, facing the decision of whether they discretion, reserves the right to award the Fund is making available up to should devote the substantial time and amounts in excess of $1.25 million for $32.5 million in appropriated funds. effort necessary to prepare an an applicant(s) if it deems it The Fund also recognizes that to application, due by June 20, 1997, in appropriate. address the diverse needs and take full response to the core component Notice Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices 16463 published elsewhere in this issue of the requests by an intermediary applicant to selected to receive assistance under this Federal Register. Given what is utilize Fund assistance to enhance the Notice must have firm commitments for expected to be the highly competitive ability of the intermediary to make the matching funds required pursuant to nature of the core component round, grants to CDFIs or to support the § 1805.600 by no later than August 31, many CDFIs may decide not to apply for formation of CDFIs, as long as the 1997. The Fund may recapture and the core component, but instead to intermediary applicant makes a reprogram funds if an applicant fails to concentrate on seeking assistance from persuasive case that using Fund raise the required match by such date. an intermediary. assistance in this manner will further The Fund reserves the right to extend The Fund believes, however, that the purposes of the Act, and as long as such matching funds deadline for there may be some intermediary the intermediary’s predominant specific applicants selected for organizations that wish to apply for business activity will remain the assistance if the Fund deems it assistance in response to this provision of loans and/or development appropriate. intermediary component Notice, that investments. will need more time to submit a quality VI. Selection Factors application than is provided by the May IV. Application Packet Applications will be selected on a 16, 1997, deadline for the first round. Except as described hereafter, an competitive basis in accordance with Such organizations may apply in the applicant shall submit the materials criteria described in 12 CFR 1805.800 to second round by the June 20, 1997, described in § 1805.701 and the 1805.802. The Fund has sole discretion deadline. application packet. To facilitate in the selection of applications for coherence and avoid duplication, an assistance. Special emphasis is expected II. Eligibility applicant may present its application in to be placed on: An applicant for assistance pursuant an order and format that it believes to (1) The applicant’s track record, to this Notice must meet the eligibility be the most appropriate, provided that financial strength, and current requirements set forth in § 1805.200. In the requested information is included operations; addition, pursuant to § 1805.200(a)(3), and that an index is provided to assist (2) The capacity, skills, and this Notice is limited to applicants that the Fund in locating the items requested experience of the management team; satisfy the following requirements: (1) by § 1805.701. (3) The quality of the applicant’s The applicant’s financings (loans and/or If an applicant is currently certified as comprehensive business plan; development investments) must a CDFI, it may, at its option, submit a (4) The likelihood that the applicant primarily focus on financing other copy of the letter of certification in lieu will be able to raise the required CDFIs and/or supporting the formation of the information requested in Part III, matching funds; and of CDFIs; and (2) if the applicant is not A through H, of the application packet. (5) The extent and nature of the a CDFI at the time of application, the However, an applicant should include potential community development application shall include a realistic plan in its application information that it impact that would be catalyzed by the for the applicant to become a CDFI believes is relevant to the substantive Fund’s assistance, relative to the within one year of the date on which the review of the application specified in amount of such assistance to be Fund approves the applicant for § 1805.802(b). provided. financial assistance (which period may Since the target markets served by an The applicant’s track record, financial be extended at the sole discretion of the applicant pursuant to this Notice will strength, and current operations are Fund). In no event will the Fund depend on the target markets served by important to the extent they may be disburse assistance to the applicant CDFIs funded by the applicant, the suggestive about the prospects for until the applicant can be certified as a applicant need not fill out Part III, C. success in the future. In the case of a CDFI. Map of Investment Area(s), D. Studies or young or start-up institution with no or Analyses of Unmet Needs, or L. Target a limited track record, extra emphasis III. Types of Assistance Market Designation, or the Investment will be placed on the capacity, skills, An applicant may submit an Area Designation Worksheet. Instead the and experience of the applicant’s application for financial assistance in applicant should describe its target management team and the quality of its the form of an equity investment, loan, markets, which description may be comprehensive business plan. or grant (or a combination of these general in nature and may include target For the purposes of evaluating financial assistance instruments). markets that are regional or national in applications submitted pursuant to this Applicants for financial assistance shall scope. The application should include a Notice, the Fund will evaluate the indicate the dollar amount, form, terms, general description and analysis of extent to which provision of financial and conditions of assistance requested. target markets served by CDFIs and/or assistance by the Fund to an applicant The Fund will not accept applications CDFIs in formation which the applicant is likely to add substantial benefits to for technical assistance pursuant to this currently finances, and what changes in the CDFI industry, above and beyond Notice. such target markets, if any, may be what the Fund can expect to accomplish Since an intermediary that is selected expected if the applicant receives with its core component. Thus an pursuant to this Notice must be a CDFI financial assistance from the Fund. If applicant having a specialized niche or when funded, its predominant business applicable, the applicant should provide niches is important. At the same time, activity must be the provision of loans a list of CDFIs or CDFIs in formation the Fund is seeking to assist and/or development investments. Thus, that it has financed, and the amount and intermediaries whose potential even if an intermediary applicant form of financing, over at least the last customer base has broad applicability. receives a grant from the Fund, the three years. For example, the Fund does not seek to Fund will normally expect that the provide financial assistance to an intermediary will use such grant to V. Matching Funds intermediary that has a narrow list of enhance its ability to make loans and/ Applicants pursuant to this Notice preselected CDFIs it wishes to finance. or development investments in CDFIs or may use for matching funds monies The Fund seeks to finance to support the formation of CDFIs. obtained or legally committed on or intermediaries that have a more open- However, the Fund will consider after January 1, 1996. Applicants ended potential applicant pool and 16464 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Notices which will be making an independent interim rule (12 CFR part 1805) require an environmental review. The evaluation of each application, based on published separately in today’s Federal determination is available for public criteria specified in the intermediary Register for details on the information inspection between 9:30 a.m. and 4:30 applicant’s comprehensive business collection requirements of the rule and p.m. weekdays at the office of the Fund. plan. Moreover, the Fund may give a this Notice. preference to applicants that serve or Authority: 12 U.S.C. 4703, 4717: Chapter (b) Environmental Impact. Pursuant to X, Pub. L. 104–19, Stat. 237; 12 CFR expect to serve CDFIs or CDFIs in 1805.700. formation in a multi-state area or on a Treasury Directive 75–02, the national basis, as opposed to a single Department of the Treasury has Kirsten S. Moy, state. determined that implementation of the Director, Community Development Financial CDFI Program under the revised interim Institutions Fund. VII. Other Matters rule is categorically excluded from the [FR Doc. 97–8784 Filed 4–2–97; 1:09 pm] (a) Paperwork Reduction Act. The National Environmental Policy Act of BILLING CODE 4810±70±P reader should refer to the revised 1969 (42 U.S.C. 4332) and does not i

Reader Aids Federal Register Vol. 62, No. 65 Friday, April 4, 1997

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING APRIL

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 108...... 15751 3 CFR For additional information 523±5227 109...... 15751 Presidential Documents Proclamations: 119...... 15570 6980...... 16033 121...... 15570 Executive orders and proclamations 523±5227 6981...... 16035 125...... 15570 The United States Government Manual 523±5227 6982...... 16039 129...... 15751 135...... 15570 5 CFR Other Services 141...... 16220 591...... 16218 143...... 16220 Electronic and on-line services (voice) 523±4534 191...... 15751 523±3187 Privacy Act Compilation 7 CFR Proposed Rules: 523±5229 TDD for the hearing impaired 301...... 15809 39 ...... 15429, 15431, 15433, 723...... 15599 15435, 15437, 15439, 15441, ELECTRONIC BULLETIN BOARD 916...... 15355 15443, 15861, 16113, 16115 917...... 15355 71 ...... 15635, 15863, 15864 Free Electronic Bulletin Board service for Public Law numbers, Proposed Rules: Federal Register finding aids, and list of documents on public 15 CFR 300...... 16218 inspection. 202±275±0920 319...... 16218 902...... 15381 FAX-ON-DEMAND 1435...... 15622 16 CFR You may access our Fax-On-Demand service. You only need a fax 8 CFR Proposed Rules: machine and there is no charge for the service except for long 456...... 15865 distance telephone charges the user may incur. The list of 3...... 15362 703...... 15636 documents on public inspection and the daily Federal Register’s 208...... 15362 table of contents are available using this service. The document 236...... 15362 17 CFR numbers are 7050-Public Inspection list and 7051-Table of 312...... 15751 202...... 15604, 16076 Contents list. The public inspection list will be updated 9 CFR 18 CFR immediately for documents filed on an emergency basis. 205...... 15363 2...... 15827 NOTE: YOU WILL ONLY GET A LISTING OF DOCUMENTS ON FILE AND NOT THE ACTUAL DOCUMENT. Documents on 10 CFR 19 CFR public inspection may be viewed and copied in our office located 0...... 16053 19...... 15831 at 800 North Capitol Street, N.W., Suite 700. The Fax-On-Demand 113...... 15831 telephone number is: 301±713±6905 12 CFR 144...... 15831 208...... 15600 20 CFR FEDERAL REGISTER PAGES AND DATES, APRIL 213...... 15364, 16053 560...... 15819 404...... 15607 15355±15598...... 1 1805...... 16444 15599±15808...... 2 21 CFR Proposed Rules: 74...... 15389 15809±16052...... 3 226...... 15624 101...... 15390 16053±16464...... 4 545...... 15626 510...... 15751 556...... 15626 556...... 15391 557...... 15626 558...... 15391, 15751 561...... 15626 1300...... 15391 563...... 15626 1309...... 15391 563g...... 15626 1310...... 15391 13 CFR 23 CFR 120...... 15601 625...... 15392 14 CFR 24 CFR 1...... 16220 50...... 15800 21...... 15570 55...... 15800 25...... 15570 103...... 15794 39 ...... 15373, 15375, 15378, 16064, 16066, 16067, 16069, 25 CFR 16070, 16072, 16073 12...... 15610 61...... 16220 Proposed Rules: 71 ...... 15602, 15603, 15751, 41...... 15446 15825, 15826, 15827, 16075, 16076 30 CFR 91...... 15570 Proposed Rules: 107...... 15751 202...... 16121 ii Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Reader Aids

216...... 16121 63...... 15402, 15404 2...... 15978 373...... 15417 243...... 16116 80...... 16082 27...... 16099 374...... 15417 253...... 15639 81...... 15751 36...... 15412 376...... 15417 91...... 15806 73...... 15858 377...... 15417 32 CFR 180...... 15615 90...... 15978 378...... 15417 701...... 15614 271...... 15407 Proposed Rules: 533...... 15859 Proposed Rules: 300...... 15411, 15572 2...... 16004, 16129 Proposed Rules: 552...... 15639 Proposed Rules: 25...... 16129 192...... 16131 52...... 15867 63...... 15868 195...... 16131 33 CFR 63 ...... 15452, 15453, 15754 73 ...... 15869, 15870, 15871, 571...... 15353, 16131 117...... 15842 70...... 16124 15872 165 ...... 15398, 16080, 16081 300...... 15572 90...... 16004 50 CFR Proposed Rules: 117...... 16122 44 CFR 48 CFR 229...... 16108 64...... 16084 235...... 16099 648...... 15381, 15425 36 CFR 65...... 16087 679...... 16112 Proposed Rules: 67...... 16089 49 CFR Proposed Rules: 1258...... 15867 Proposed Rules: 29...... 15620 17 ...... 15640, 15646, 15872, 67...... 16125 171...... 16107 15873 38 CFR Ch. III ...... 16370 285...... 16132 1...... 15400 47 CFR 367...... 15417 630...... 16132 Ch. I ...... 16093 368...... 15417 644...... 16132 40 CFR 0...... 15852 371...... 15417 660...... 15874 52...... 15751, 15844 1...... 15852 372...... 15417 678...... 16132 Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Reader Aids iii

REMINDERS form; availability; Northeastern United States promulgation; various The items in this list were published 4-4-97 fisheriesÐ States; air quality planning editorially compiled as an aid TREASURY DEPARTMENT Northeast multispecies; purposes; designation of areas: to Federal Register users. Community Development comments due by 4-7- Inclusion or exclusion from Financial Institutions Fund 97; published 3-19-97 Oregon; comments due by West Coast States and 4-7-97; published 3-7-97 this list has no legal Community development Western Pacific significance. financial institutions Virginia; comments due by fisheriesÐ program; published 4-4-97 4-11-97; published 3-12- Pacific Coast groundfish; 97 VETERANS AFFAIRS RULES GOING INTO comments due by 4-8- Washington et al.; DEPARTMENT EFFECT APRIL 4, 1997 97; published 2-7-97 comments due by 4-7-97; Practice and procedure: Magnuson-Stevens Fishery published 3-7-97 DEFENSE DEPARTMENT Rulemaking notice-and- Conservation and Hazardous waste program comment provisions; Acquisition regulations: Management Act; authorizations: elimination; published 3-5- implementation: Nevada; comments due by Streamlined research and 97¶ development clause lists; Limited access permits; 4-7-97; published 3-7-97 central title and lien published 4-4-97 FEDERAL registry; comments due by RULES GOING INTO COMMUNICATIONS ENVIRONMENTAL 4-7-97; published 3-6-97 PROTECTION AGENCY EFFECT APRIL 5, 1997 COMMISSION DEFENSE DEPARTMENT Air programs: Radio stations; table of Acquisition regulations: assignments: Fuels and fuel additivesÐ TRANSPORTATION DEPARTMENT Berry Amendment Arkansas; comments due by Phoenix, AZ moderate Federal Aviation application to synthetic 4-7-97; published 2-21-97 ozone nonattainment fabric and coated Administration Idaho; comments due by 4- area; reformulated synthetic fabric and 7-97; published 2-21-97 gasoline program Airworthiness directives: contracts and extension; published 2- Airbus Industrie; published subcontracts for Illinois; comments due by 4- 18-97 3-28-97 commercial items; 7-97; published 2-21-97 Drinking water: comments due by 4-8-97; Kentucky; comments due by 4-7-97; published 2-21-97 National primary drinking COMMENTS DUE NEXT published 2-7-97 water regulationsÐ ENERGY DEPARTMENT Louisiana; comments due by WEEK 4-7-97; published 2-21-97 Radionuclides; maximum Federal Energy Regulatory contaminant levels; Commission Montana; comments due by AGRICULTURE 4-7-97; published 2-21-97 analytical methods; DEPARTMENT Natural gas companies published 3-5-97 (Natural Gas Act): North Dakota; comments Animal and Plant Health due by 4-7-97; published INTERIOR DEPARTMENT Authorization to construct, Inspection Service 2-21-97 Surface Mining Reclamation operate, or modify Exportation and importation of Tennessee; comments due and Enforcement Office facilities used for animals and animal exportation or importation by 4-7-97; published 2-21- Federal regulatory reform: products: of natural gas; comments 97 Permanent program and Exotic Newcastle Disease; due by 4-11-97; published Utah; comments due by 4- abandoned mine land disease status changeÐ 2-10-97 7-97; published 2-21-97 reclamation plan Great Britain; comments ENVIRONMENTAL Washington; comments due submissions; published 3- due by 4-8-97; PROTECTION AGENCY by 4-7-97; published 2-21- 5-97 published 2-7-97 Air quality implementation 97 NUCLEAR REGULATORY AGRICULTURE plans: FEDERAL EMERGENCY COMMISSION DEPARTMENT Preparation, adoption, and MANAGEMENT AGENCY Conduct of employees; CFR Cooperative State Research, submittalÐ Disaster assistance: part removed; published 4- Education, and Extension Sulfur oxide (sulfur 4-97 Robert T. Stafford Disaster Service dioxide) emissions Relief and Emergency TRANSPORTATION Small business innovation reduction; comments Assistance ActÐ DEPARTMENT research grants program; due by 4-11-97; Criminal and Civil Federal Aviation administrative provisions; published 3-20-97 penalties; comments Administration comments due by 4-10-97; Air quality implementation due by 4-11-97; Airworthiness directives: published 3-11-97 plans; approval and published 2-10-97 promulgation; various Air Tractor, Inc.; published AGRICULTURE GOVERNMENT ETHICS States: 2-18-97 DEPARTMENT OFFICE Delaware; comments due by Lockheed; published 2-28-97 Food and Consumer Service Conflict of interests; 4-11-97; published 3-12- Child nutrition programs: Pratt & Whitney; published 97 Executive agency ethics 2-3-97 Child and adult care food Illinois; comments due by 4- training programs; Rolls Royce plc; published programÐ 11-97; published 3-12-97 comments due by 4-11- 2-3-97 97; published 3-12-97 Day care home Oregon; comments due by TRANSPORTATION reimbursements; 4-7-97; published 3-7-97 HEALTH AND HUMAN targeting improvement; DEPARTMENT Pennsylvania; comments SERVICES DEPARTMENT comments due by 4-7- Federal Highway due by 4-10-97; published Food and Drug 97; published 1-7-97 Administration 3-11-97 Administration Motor carrier safety standards: COMMERCE DEPARTMENT Virginia; comments due by Food additives: Motor carrier regulation National Oceanic and 4-11-97; published 3-12- Paper and paperboard information system; Atmospheric Administration 97 componentsÐ interpretive guidance in Fishery conservation and Air quality implementation Perfluoroalkyl substituted question and answer management: plans; √A√approval and phophate ester acids, iv Federal Register / Vol. 62, No. 65 / Friday, April 4, 1997 / Reader Aids

ammonium salts; PERSONNEL MANAGEMENT Eurocopter Deutschland Basis reduction due to comments due by 4-7- OFFICE GmbH; comments due by discharge of 97; published 3-7-97 Employment: 4-7-97; published 2-4-97 indebtedness; comments HEALTH AND HUMAN Reduction in forceÐ McDonnell Douglas; due by 4-7-97; published SERVICES DEPARTMENT Retention service credit comments due by 4-7-97; 1-7-97 Public Health Service received based on job published 2-26-97 performance; comments Mitsubishi; comments due Income taxes: Fellowships, internships, due by 4-7-97; training: by 4-7-97; published 2-26- published 2-4-97 97 Inflation-indexed debt National Institutes of Health TRANSPORTATION instruments; cross- clinical research loan Raytheon; comments due by DEPARTMENT 4-7-97; published 1-29-97 reference; comments due repayment program for Federal Aviation Individuals from Class D airspace; comments by 4-7-97; published 1-6- Administration due by 4-7-97; published 2- 97 disadvantaged Airworthiness directives: backgrounds; comments 20-97 British Aerospace; due by 4-11-97; published Class E airspace; comments Obligation-shifting comments due by 4-9-97; 2-10-97 due by 4-7-97; published 2- transactions, multiple- published 2-28-97 19-97 party; realized income and JUSTICE DEPARTMENT Construcciones deductions; comments Privacy Act; implementation; Aeronauticas, S.A.; TREASURY DEPARTMENT comments due by 4-7-97; comments due by 4-10- Internal Revenue Service due by 4-8-97; published published 3-7-97 97; published 3-3-97 Income taxes, etc.: 12-27-96